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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
Marco Investment Management, LLC investor protection violation2016$232,345
Marcum LLP accounting fraud or deficiencies2023$10,000,000
Marion Bass Securities Corp. investor protection violation2000$150,000
Marketxt, Inc. investor protection violation2005$49,965
Marrone Bio Innovations accounting fraud or deficiencies2016$1,750,000
Marshall Holdings International, Inc. investor protection violation2009$8,974,033
Martin Currie investor protection violation2012$8,300,000
Martin Nelson & Co., Inc. investor protection violation2015$100,000
Marvell Technology Group, Ltd.Marvell Technologyelectrical and electronic equipmentaccounting fraud or deficiencies2008$10,000,000
Marvell Technology Group, Ltd.Marvell Technologyelectrical and electronic equipmentaccounting fraud or deficiencies2019$5,500,000
Marwood Group Research LLC investor protection violation2015$375,000
Mason Investment Advisory Services, Inc investor protection violation2021$975,057
Massachusetts Financial Services Co.Sun Life Financialfinancial servicesinvestor protection violation2004$225,000,000
Massachusetts Financial Services CompanySun Life Financialfinancial servicesinvestor protection violation2004$50,000,000
Massachusetts Financial Services CompanySun Life Financialfinancial servicesinvestor protection violation2003$917,858
Massachusetts Financial Services CompanySun Life Financialfinancial servicesinvestor protection violation2018$1,900,000
Massachusetts Mutual Life Insurance CompanyMassachusetts Mutual Life Insurancefinancial servicesinvestor protection violation2012$1,625,000
Mattel Inc.Mattelmiscellaneous manufacturingaccounting fraud or deficiencies2022$3,500,000
Maxim Group, LLC investor protection violation2023$800,000
Maximus, Inc.Maximusmiscellaneous servicesinvestor protection violation2023$500,000
Maxwell Technologies Inc.Tesla Inc.motor vehiclesForeign Corrupt Practices Act2011$6,350,890
Maxwell Technologies, Inc.Tesla Inc.motor vehiclesaccounting fraud or deficiencies2018$2,800,000
Mazuma Corporation et al. investor protection violation2013$1,449,978
MBIA Inc.MBIAfinancial servicesaccounting fraud or deficiencies2007$50,000,000
McAfee, Inc.Advent Internationalprivate equity (including portfolio companies)accounting fraud or deficiencies2006$50,000,000
McCann-Erickson WorldwideInterpublicmiscellaneous servicesaccounting fraud or deficiencies2008$12,000,000
McDermott Investment Advisors, LLC investor protection violation2022$304,262
McDonald Partners, LLC investor protection violation2021$194,682
McElhenny Sheffield Capital Management LLC investor protection violation2023$60,000
MCL Financial Group, Inc. investor protection violation2007$60,000
MDC Partners accounting fraud or deficiencies2017$1,500,000
Mead Johnson Nutrition CompanyReckitt Benckiserhousehold and personal care productsForeign Corrupt Practices Act2015$12,000,000
Measurement Specialties, Inc. accounting fraud or deficiencies2004$1,000,000
Medallion Wealth Advisors LLC investor protection violation2021$25,000
MedCap Management & Research LLC investor protection violation2008$70,632
Medifast Inc.Medifast Inc.miscellaneous servicesaccounting fraud or deficiencies2013$200,000
Medley Management investor protection violation2022$10,000,000
MedLink International Inc. accounting fraud or deficiencies2013$8,084,515
Medsis International, Inc. investor protection violation2024$15,871,200
Mer Telemanagement Solutions Ltd. investor protection violation2017$50,000
Merchant Capital, L.L.C. investor protection violation2015$100,000
Merchant Capital, L.L.C. investor protection violation2009$55,000
Mercury Capital investor protection violation2012$45,747
Mercury Interactive, LLC accounting fraud or deficiencies2007$28,000,000
Merrill LynchBank of Americafinancial servicesinvestor protection violation2015$10,900,000
Merrill LynchBank of Americafinancial servicestoxic securities abuses2013$131,800,000
Merrill LynchBank of Americafinancial servicesinvestor protection violation2016$10,000,000
Merrill LynchBank of Americafinancial servicesinvestor protection violation2016$415,000,000
Merrill LynchBank of Americafinancial servicesinvestor protection violation2011$10,000,000
Merrill LynchBank of Americafinancial servicesinvestor protection violation2016$12,500,000
Merrill Lynch & Co. Inc.Bank of Americafinancial servicesaccounting fraud or deficiencies2003$80,000,000
Merrill Lynch, Pierce and Fenner & Smith IncorporatedBank of Americafinancial servicesinvestor protection violation2018$8,872,723
Merrill Lynch, Pierce and Fenner & Smith, IncorporatedBank of Americafinancial servicesinvestor protection violation2020$325,376
Merrill Lynch, Pierce, Fenner & SmithBank of Americafinancial servicesinvestor protection violation2018$8,900,000
Merrill Lynch, Pierce, Fenner & SmithBank of Americafinancial servicesinvestor protection violation2018$42,000,000
Merrill Lynch, Pierce, Fenner & Smith IncBank of Americafinancial servicesinvestor protection violation2018$1,404,000
Merrill Lynch, Pierce, Fenner & Smith Inc.Bank of Americafinancial servicesinvestor protection violation2009$7,000,000
Merrill Lynch, Pierce, Fenner & Smith Inc.Bank of Americafinancial servicesinvestor protection violation2018$15,700,000
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBank of Americafinancial servicesinvestor protection violation2015$500,000
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBank of Americafinancial servicesinvestor protection violation2006$1,500,000
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBank of Americafinancial servicesinvestor protection violation2000$5,000,000
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBank of Americafinancial servicesanti-money-laundering deficiencies2017$13,000,000
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBank of Americafinancial servicesinvestor protection violation2019$8,014,000
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBank of Americafinancial servicesinvestor protection violation2023$9,660,000
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBank of Americafinancial servicesanti-money-laundering deficiencies2023$6,000,000
Merrill Lynch, Pierce, Fenner & Smith, Inc.Bank of Americafinancial servicesinvestor protection violation2009$1,000,000
Merrill Lynch, Pierce, Fenner & Smith, IncorporatedBank of Americafinancial servicesinvestor protection violation2003$200,000,000
Merrimac Advisors Company investor protection violation2002$50,000
Merriman Curhan Ford & Co. investor protection violation2009$100,000
Meru Capital Group investor protection violation2013$398,512
Merus Capital Partners investor protection violation2013$73,465
Mesirow Financial Investment Management, Inc. investor protection violation2022$752,834
Mesirow Financial, Inc. investor protection violation2015$100,000
Messineo & Co., CPAs, LLC investor protection violation2015$25,000
Metis Wealth Advisors, LLC investor protection violation2015$71,489
MetLife, Inc.MetLifefinancial servicesinvestor protection violation2019$10,000,000
Metropolis Holdings, LLC fraud2004$3,320,000
Metropolitan Life Insurance CompanyMetLifefinancial servicesinvestor protection violation2006$250,000
MIAI, Inc. investor protection violation2019$488,579
Michigan Advisors Inc. investor protection violation2019$327,976
Microphase Corp. investor protection violation2007$700,000
Microsoft CorporationMicrosoftinformation technologyForeign Corrupt Practices Act2019$16,565,150
Mid Atlantic Financial Management, Inc. investor protection violation2019$300,000
Mid-Ohio Securities Corp. investor protection violation2003$25,000
MiddleCove Capital, LLC investor protection violation2013$788,118
Midwood Capital Management investor protection violation2014$142,947
Mighty Oak Strong America Investment Company investor protection violation2021$25,000
Milan Capital Group, Inc. and Investment Offices d/b/a AC Financial, Inc. investor protection violation2001$9,395,066
Milan Group Inc. investor protection violation2013$4,141,148
Milkie/Ferguson Investments, Inc. investor protection violation2008$25,000
Millenium Capital Advisors of Pennsylvania, Inc investor protection violation2002$50,000
Millennium Group of New York, LLC investor protection violation2001$7,602
Millennium Management LLC investor protection violation2017$630,000
Millennium Management LLC investor protection violation2017$638,709
Millennium Partners, L.P., Millennium Management, L.L.C., Millennium International Management investor protection violation2005$148,000,000
Millennium Software Solutions, Inc. investor protection violation2000$760,450
Miller Energy Resources accounting fraud or deficiencies2016$5,000,000
Millington Securities Inc. investor protection violation2020$250,000
MiMedx Group Inc.MiMedx Group, Incmedical equipment and suppliesaccounting fraud or deficiencies2019$1,500,000
MineralRite Corporation investor protection violation2014$25,000
Minot DeBlois Advisors LLC investor protection violation2021$97,523
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.