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Violation Tracker Agency Summary Page

Agency Name: Securities and Exchange Commission
Penalty Total since 2000: $38,255,717,458
Number of Records: 2,801
Note: The parent penalty totals are adjusted to account for the fact that the list of individual entries below may include both agency records and settlement announcements for the same case; or else a penalty covering multiple locations may be listed in the individual records for each of the facilities. Duplicate penalty amounts are marked with an asterisk in the individual records list below.
Top 10 Current Parent CompaniesTotal Penalty $Number of Records
JPMorgan Chase$2,076,789,93829
Bank of America$1,933,986,17537
UBS$1,711,703,65443
Citigroup$1,555,476,21023
Goldman Sachs$966,302,86022
Wells Fargo$959,489,35627
Morgan Stanley$907,118,39537
American International Group$895,900,0004
State Street Corp.$831,780,0005
Allianz$748,996,4234

Individual Penalty Records:

Click on the company or penalty amount for more information on each case. Click on the current parent name to reach the summary page for that parent company.

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Company sort iconCurrent ParentCurrent Parent IndustryPrimary Offense TypeYearPenalty Amount
Hennessee Group LLC investor protection violation2009$814,644
Henley & Company Wealth Management LLC investor protection violation2019$36,866
Hemp Naturals Inc. investor protection violation2023$50,000
Helmerich & PayneHelmerich & Payneoilfield services and suppliesForeign Corrupt Practices Act2009$375,681
Hefren-Tilotson, Inc. investor protection violation2019$371,697
Hefren-Tillotson, Inc. investor protection violation2019$379,965
Hedgeable Inc. investor protection violation2018$80,000
Heartland Payment Systems, LLCGlobal Payments Inc.financial servicesinvestor protection violation2018$2,160,000
Heartland Advisors, Inc. investor protection violation2008$3,500,000
HealthSouth CorporationEncompass Healthhealthcare servicesaccounting fraud or deficiencies2005$100,000,000
Healthcare Services Group, Inc.Healthcare Services Group Inc.business servicesaccounting fraud or deficiencies2021$6,000,000
Health Net Inc.Centenehealthcare servicesinvestor protection violation2016$340,000
Health Insurance Innovations investor protection violation2022$11,000,000
HD Mile High Marketing, Inc. investor protection violation2014$250,076
HCR Wealth Advisors investor protection violation2019$220,000
HBA Advisors, LLC investor protection violation2018$15,000
Hazlett and Burt & Watson, Inc. investor protection violation2019$123,456
Hazan Capital Management LLC investor protection violation2009$4,000,000
Hawthorne Associates, Inc. investor protection violation2001$25,000
Harvest Financial Corporation investor protection violation2003$25,000
Harvest Capital Strategies LLC investor protection violation2015$84,454
Hartford Financial Services Group, Inc.Hartford Financial Servicesfinancial servicesinvestor protection violation2006$55,000,000
Harold Davidson & Associates Inc. investor protection violation2021$25,000
Harding Advisory LLC investor protection violation2019$850,000
Hard Asset Management, Inc. investor protection violation2004$62,439
Harbour Investments, Inc. investor protection violation2018$241,479
HarborLight Capital Management, LLC? investor protection violation2013$270,615
Harbinger Capital Partners, LLC investor protection violation2012$1,378,763
Hapoalim Securities USA investor protection violation2014$54,000
Hansen and Associates Financial Group Inc investor protection violation2023$50,000
Hanes Morgan & Co., Inc investor protection violation2011$100,000
Hancock Whitney Investment Services, Inc. investor protection violation2020$2,337,792
Hampton Roads BanksharesAtlantic Union Banksharesfinancial servicesaccounting fraud or deficiencies2014$200,000
Hamlin Capital Management, LLC? investor protection violation2018$900,000
Hamilton Investment Counsel, LLC investor protection violation2022$150,000
Halt, Buzas & Powell, Ltd. accounting fraud or deficiencies2008$101,711
Halliburton CompanyHalliburtonoilfield services and suppliesForeign Corrupt Practices Act2017$29,200,000
Halliburton Co.Halliburtonoilfield services and suppliesaccounting fraud or deficiencies2004$7,500,000
Halitron, Inc. investor protection violation2024$191,024
Haidar Capital Management, LLC investor protection violation2007$4,580,000
Haberman Value Fund, L.P. investor protection violation2010$263,443
H.D. Vest Investment Securities, Inc. investor protection violation2004$725,216
H.D. Vest Investment Securities investor protection violation2015$225,000
H&M Petroleum Corporation and American Energy Resources Corporation investor protection violation2008$510,000
GWFS Equities Inc. anti-money-laundering deficiencies2021$1,500,000
GW & Wade investor protection violation2013$250,000
Gutt Financial Management, LLC investor protection violation2022$25,000
Guggenheim Securities, LLC investor protection violation2021$208,912
Guggenheim Securities LLC investor protection violation2024$15,000,000
Guggenheim Partners Investment Management LLCGuggenheim Partnersfinancial servicesinvestor protection violation2015$20,000,000
Guardians Trustee, LLC investor protection violation2018$179,253
Guaranteed Investigations, Inc. investor protection violation2019$16,846
GTV Media Group Inc., Saraca Media Group Inc., and Voice of Guo Media Inc. investor protection violation2021$539,000,000
GT Advanced Technologies Inc. investor protection violation2019$140,000
Grupo Simec S.A.B de C.V. accounting fraud or deficiencies2019$200,000
Grupo Aval Acciones y Valores S.A. Foreign Corrupt Practices Act2023$40,000,000
Group One Trading, L.P. investor protection violation2009$1,800,000
Groh Asset Management, Inc. investor protection violation2004$45,000
GreneCo, LLC investor protection violation2022$414,364
Grenda Group, LLC investor protection violation2024$400,000
Greentree Investment Services Inc. investor protection violation2021$10,000
Greenbrier Companies Inc.Greenbrier Companiesheavy equipmentinvestor protection violation2023$1,000,000
Green Tree Investment Group investor protection violation2017$770,356
Green Stream Holdings Inc. investor protection violation2023$75,000
Green Automotive Company investor protection violation2014$50,000
Greater Wenatchee Regional Events Center Public Facilities District investor protection violation2013$20,000
Great Point Partners investor protection violation2014$109,597
Great Plains Trust Company, Inc. investor protection violation2020$300,000
Great Lakes Dredge & Dock CorporationGreat Lakes Dredge & Dock Corporationmiscellaneous servicesaccounting fraud or deficiencies2014$150,000
Graystone Company Inc. investor protection violation2023$25,000
Graycort Financial, LLC investor protection violation2006$100,000
Gray Financial Group, Inc. investor protection violation2017$401,298
Grassi & Co., CPAs and P.C. investor protection violation2016$401,510
Grant Thornton LLPGrant Thorntonbusiness servicesaccounting fraud or deficiencies2015$4,500,000
Grant Thornton LLPGrant Thorntonbusiness servicesaccounting fraud or deficiencies2004$1,500,000
Grant Thornton India LLP and Grant Thornton Audit Pty LimitedGrant Thorntonbusiness servicesaccounting fraud or deficiencies2015$365,085
Granite Construction, IncorporatedGranite Constructionconstruction and engineeringaccounting fraud or deficiencies2022$12,000,000
Grand Teton Capital Management, LLC? investor protection violation2018$141,443
Graham, Bordelon and Golson & Gilbert, Inc. investor protection violation2020$176,399
GPS Partners, LLC investor protection violation2010$1,284,171
Goodyear Tire & Rubber Co.Goodyear Tire & Rubberautomotive partsForeign Corrupt Practices Act2015$16,000,000
Golf Emporium Corporation fraud2000$8,622,014
Goldstone Financial Group, LLC investor protection violation2022$70,000
Goldman, Sachs & Co.Goldman Sachsfinancial servicesinvestor protection violation2015$500,000
Goldman, Sachs & Co.Goldman Sachsfinancial servicesinvestor protection violation2005$40,000,000
Goldman, Sachs & Co.Goldman Sachsfinancial servicesinvestor protection violation2003$110,000,000
Goldman, Sachs & Co.Goldman Sachsfinancial servicesdata submission deficiencies2002$1,650,000
Goldman, Sachs & Co.Goldman Sachsfinancial servicesinvestor protection violation2000$5,200,000
Goldman Sachs Group Inc.Goldman Sachsfinancial servicesForeign Corrupt Practices Act2020(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $1,006,000,000
Goldman Sachs Execution and Clearing L.P.Goldman Sachsfinancial servicesinvestor protection violation2007$2,000,000
Goldman Sachs Execution & Clearing, L.P. and SLK-Hull Derivatives LLCGoldman Sachsfinancial servicesinvestor protection violation2009$7,200,000
Goldman Sachs Execution & Clearing, L.P.Goldman Sachsfinancial servicesinvestor protection violation2010$225,000
Goldman Sachs Asset Management, L.P.Goldman Sachsfinancial servicesinvestor protection violation2022$4,000,000
Goldman Sachs & Co. LLCGoldman Sachsfinancial servicesinvestor protection violation2022$125,000,000
Goldman Sachs & Co. LLCGoldman Sachsfinancial servicesinvestor protection violation2023$6,000,000
Goldman Sachs & Co.Goldman Sachsfinancial servicesinvestor protection violation2016$15,000,000
Goldman Sachs & Co.Goldman Sachsfinancial servicesinvestor protection violation2015$7,000,000
Goldman Sachs & Co.Goldman Sachsfinancial servicesillicit political contributions2012$12,000,000
Goldman Sachs & Co.Goldman Sachsfinancial servicesinvestor protection violation2012$22,000,000
Goldman Sachs & Co.Goldman Sachsfinancial servicestoxic securities abuses2010$550,000,000
Goldman Sachs & Co.Goldman Sachsfinancial servicesinvestor protection violation2006$1,500,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.