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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
Goldman Sachs & Co.Goldman Sachsfinancial servicesinvestor protection violation2006$1,500,000
Goldman Sachs & Co.Goldman Sachsfinancial servicesinvestor protection violation2004$2,000,000
Goldman SachsGoldman Sachsfinancial servicesinvestor protection violation2003$9,305,382
Golden State Equity Investors, Inc. investor protection violation2009$1,577,579
Golden California Regional Center, LLC investor protection violation2019$50,295,232
Gold Mountain Management, LLC investor protection violation2015$200,000
Gold Asset Management, Inc. investor protection violation2000$20,000
GOL Linhas Aereas Inteligentes S.A. Foreign Corrupt Practices Act2022$24,500,000
Goelzer Investment Management, Inc.? investor protection violation2013$463,793
GMC Holding Corporation investor protection violation2009$2,090,000
GLR Advisers LLC accounting fraud or deficiencies2015$2,772,475
GlobalSantaFe Corp.Transoceanoilfield services and suppliesForeign Corrupt Practices Act2010$5,858,165
Global Telecom Services, L.L.C. d/b/a Medical Disposal Devices investor protection violation2004$1,431,369
Global Sentry Equity Transfer, Inc. investor protection violation2011$375,000
Global Predictions Inc. investor protection violation2024$175,000
Global Investment Strategy UK Ltd. investor protection violation2022$1,000,000
Global Infrastructure Management, LLC investor protection violation2021$4,500,000
Global Fixed Income, LLC, et al. investor protection violation2015$3,385,989
Global Development & Environmental Resources, Inc. investor protection violation2012$2,645,798
Global Corporate Strategies LLC investor protection violation2019$4,120,000
GLG Partners, LP investor protection violation2007$2,703,635
GLG Partners, L.P. investor protection violation2007$3,203,639
GLG Partners L.P. accounting fraud or deficiencies2013$8,954,346
GlennCap LLC investor protection violation2023$3,000,000
GLB Trading, Inc. investor protection violation2009$220,670
GlaxoSmithKline plcGlaxoSmithKlinepharmaceuticalskickbacks and bribery2016$20,000,000
Gintel Asset Management, Inc. and Gintel & Co. LLC investor protection violation2002$175,000
Gilford Securities, Incorporated investor protection violation2011$612,113
Gilder Gagnon Howe & Co. LLC investor protection violation2020$1,700,000
GGToor, Inc. investor protection violation2023$40,000
GFI Securities LLCBGC Partnersfinancial servicesinvestor protection violation2019$4,300,000
GetAnswers, Inc. investor protection violation2007$15,713,676
Gerald Klein & Associate, Inc. and Klein Pavlis & Peasley Financial, Inc investor protection violation2005$40,000
George K. Baum & Company investor protection violation2015$250,000
Gentex CorporationGentexautomotive partsinvestor protection violation2023$4,000,000
Genesis Global Capital, LLC investor protection violation2024$21,000,000
Genesis E&P, Inc. investor protection violation2020$192,768
Genesis Associates Limited Partnership investor protection violation2018$50,000
Genesis Advisory Services Corp. and ABJ Societe Anonyme Corp. investor protection violation2014$1,583,942
General Re CorporationBerkshire Hathawaydiversifiedaccounting fraud or deficiencies2010$12,200,000
General MotorsGeneral Motorsmotor vehiclesaccounting fraud or deficiencies2017$1,000,000
General Electric CompanyGeneral Electricdiversifiedaccounting fraud or deficiencies2009$50,000,000
General Electric Co.General Electricdiversifiedaccounting fraud or deficiencies2020$200,000,000
General ElectricGeneral ElectricdiversifiedForeign Corrupt Practices Act2010$23,400,000
General Cable CorporationPrysmian Groupelectrical and electronic equipmentForeign Corrupt Practices Act2016$55,000,000
General American Life Insurance CompanyMetLifefinancial servicesinvestor protection violation2007$3,300,000
Geneos Wealth Management Inc. investor protection violation2018$1,808,121
Gemstar-TV Guide International, Inc. accounting fraud or deficiencies2004$10,000,000
Gemisys Corporation investor protection violation2002$15,000
Gemini Fund Services, LLC investor protection violation2018$400,000
Geluk Capital Management Ltd. investor protection violation2022$92,688
GeaSphere LLC investor protection violation2024$100,000
GE InVision, Inc. Foreign Corrupt Practices Act2005$617,703
Gateway Technologies, Inc. and The Cheyenne Holding Corp. fraud2001$5,083,378
Gateway One Lending & Finance, LLC investor protection violation2021$6,513,192
Gartner, Inc.Gartnerinformation technologyForeign Corrupt Practices Act2023$2,456,764
Gartmore Investment Limited investor protection violation2010$1,347,251
Garrison Point Capital, LLC investor protection violation2022$3,500,000
Garrison Investment Group LP and Garrison Capital Advisers LLC investor protection violation2019$250,000
Garrison Investment Group LP investor protection violation2022$330,000
Gardere Wynne Sewell LLP accounting fraud or deficiencies2003$2,000,000
Gardere Wynne Sewell LLP data submission deficiencies2002$1,200,000
Galleon Management, L.P. investor protection violation2005$2,020,450
Galena Biopharma, Inc.SELLAS Life Sciences Grouppharmaceuticalsaccounting fraud or deficiencies2017$200,000
Gaia Inc. investor protection violation2023$2,000,000
Gabelli Funds, LLCGamco Investors Inc.financial servicesinvestor protection violation2009$450,000
Gabelli Funds LLCGamco Investors Inc.financial servicesinvestor protection violation2008$16,000,000
GA Investors investor protection violation2024$1,191,938
G Asset Management, LLC investor protection violation2015$175,000
FX & Beyond Corporation investor protection violation2018$1,392,656
Future Strategies Srl a/k/a Future Strategies International investor protection violation2001$1,500,073
Future Fintech Group Inc. investor protection violation2023$1,650,000
Further Lane Asset Management investor protection violation2013$150,000
Fuqi International Inc. accounting fraud or deficiencies2013$1,000,000
Fundrise Advisors, LLC investor protection violation2023$250,000
Funding the Gap, LLC investor protection violation2020$30,000
Fulton Financial CorporationFulton Financialfinancial servicesinvestor protection violation2020$1,500,000
FTN Financial Securities Corp. investor protection violation2011$1,873,636
FT Interactive Data investor protection violation2003$125,000
FSC Securities Corporation investor protection violation2023$100,000
Fry Hensley and Company investor protection violation2013$894,657
Frontier Wealth Management, LLC investor protection violation2021$658,712
Frontier Oilfield Services, Inc. investor protection violation2018$25,000
Friedman, Billings, Ramsey & Co., Inc.Arlington Asset Investment Corp.financial servicesinsider trading2006$3,755,839
Friedman, Billings, Ramsey & Co., Inc.Arlington Asset Investment Corp.financial servicesinvestor protection violation2004$125,000
Fresenius Medical Care AG & Co KGaAFresenius Medical Carehealthcare servicesForeign Corrupt Practices Act2019$147,000,000
Fremont Investment Advisors investor protection violation2004$4,146,000
Freedom Financial, Inc. investor protection violation2004$25,000
Fred Alger Management, Inc.Alger Associatesfinancial servicesinvestor protection violation2007$40,000,000
Franklin Templeton Investments Corp.Franklin Resourcesfinancial servicesinvestor protection violation2020$75,000
Franklin Advisers, Inc. and Franklin Templeton Distributors, Inc.Franklin Resourcesfinancial servicesinvestor protection violation2004$20,000,000
Franklin Advisers, Inc.Franklin Resourcesfinancial servicesinvestor protection violation2004$50,000,000
Franklin Advisers and Inc.Franklin Resourcesfinancial servicesinvestor protection violation2020$250,000
FP Resources USA Inc investor protection violation2018$92,383
Foxhall Capital Management, Inc investor protection violation2013$122,430
Founding Partners Capital Management Compan investor protection violation2007$182,244
Founders Financial Securities, LLC investor protection violation2019$1,475,465
Founders Asset Management LLC investor protection violation2000$50,000
Foundations Asset Management, LLC investor protection violation2019$363,947
Fortress Investment Management, LLC investor protection violation2020$104,097
Fortius Financial Advisors, LLC investor protection violation2016$94,070
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.