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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
Wedbush Securities Inc.Wedbush Securitiesfinancial servicesinvestor protection violation2019$1,852,540
Wedbush Securities Inc.Wedbush Securitiesfinancial servicesinvestor protection violation2021$1,207,000
Wedbush Securities Inc.Wedbush Securitiesfinancial servicesinvestor protection violation2023$10,000,000
Wedbush SecuritiesWedbush Securitiesfinancial servicesinvestor protection violation2014$2,440,000
Weatherford International LimitedWeatherford Internationaloilfield services and suppliesForeign Corrupt Practices Act2013$65,600,000
Weatherford InternationalWeatherford Internationaloilfield services and suppliesaccounting fraud or deficiencies2016$140,000,000
Wealthfront Advisers LLC investor protection violation2018$250,000
WealthCFO, LLC investor protection violation2018$409,405
Wealth Plus, Inc. investor protection violation2022$398,232
Wealth Management LLC investor protection violation2010$1,471,002
WCAS Management Corporation? investor protection violation2018$778,819
WCAS Management Corporation investor protection violation2020$100,000
WBI Investments Inc. investor protection violation2020$750,000
Wayzata Investment Partners LLC investor protection violation2024$60,000
Wave Equity Partners LLC investor protection violation2022$325,000
Watts Water Technologies Inc.Watts Water Technologies Inc.miscellaneous manufacturingForeign Corrupt Practices Act2011$2,955,815
Watermark Securities, Inc. investor protection violation2022$25,000
Water Island Capital LLC investor protection violation2015$50,000
Washington Wealth Management, LLC investor protection violation2016$50,000
Warrior Fund LLC investor protection violation2010$221,384
Warburg Dillon Read LLCUBSfinancial servicesinvestor protection violation2000$6,680,000
War Chest Capital Partners LLC investor protection violation2015$351,818
War Chest Capital Partners investor protection violation2013$327,569
WalmartWalmartretailingForeign Corrupt Practices Act2019$144,000,000
Wall Street Capital Funding LLC investor protection violation2011$300,000
Wall Street Access investor protection violation2006$688,084
Wall Street Access investor protection violation2022$97,523
Walgreens Boots Alliance Inc.Walgreens Boots Allianceretailinginvestor protection violation2018$34,500,000
Wahed Invest, LLC investor protection violation2022$300,000
Waddell & Reed, LLCMacquariefinancial servicesinvestor protection violation2022$200,000
Waddell & Reed, Inc.Macquariefinancial servicesinvestor protection violation2006$50,000,000
Wachovia Securities, LLCWells Fargofinancial servicesinvestor protection violation2004$4,844,465
Wachovia CorporationWells Fargofinancial servicesinvestor protection violation2004$37,000,000
Wachovia Capital Markets, LLCWells Fargofinancial servicesinvestor protection violation2006$125,000
W.P. Carey & Co.W.P. Carey Inc.real estateaccounting fraud or deficiencies2008$30,000,000
W.L. Lyons, LLC investor protection violation2016$200,000
W.J. Nolan & Co., Inc. investor protection violation2002$192,028
W.J. Nolan & Co. investor protection violation2001$192,028
Vuuzle Media Corp. et al. investor protection violation2023$28,599,662
VTB Capital plc investor protection violation2021$6,429,883
Vstock Transfer LLC investor protection violation2020$65,000
VSS Fund Management LLC investor protection violation2018$200,000
Voya Holdings Inc.Voya Financialfinancial servicesinvestor protection violation2018$3,600,000
Voya Financial Advisors, Inc.Voya Financialfinancial servicesinvestor protection violation2017$3,095,953
Voya Financial Advisors, Inc.Voya Financialfinancial servicesinvestor protection violation2020$22,919,155
Voya Financial Advisors Inc.Voya Financialfinancial servicesinvestor protection violation2018$1,000,000
Voxeljet AG investor protection violation2022$175,000
VolvoVolvomotor vehiclesForeign Corrupt Practices Act2008$12,600,000
Vollero Beach Capital Partners investor protection violation2013$864,427
Volkswagen AGVolkswagenmotor vehiclesinvestor protection violation2024$48,750,000
VMware, Inc.Broadcomelectrical and electronic equipmentinvestor protection violation2022$8,000,000
Vivic Corp. investor protection violation2023$60,000
Vivendi Universal, S.A.Comcasttelecommunicationsaccounting fraud or deficiencies2003$50,000,000
Vitesse Semiconductor Corp.Microchip Technology Inc.electrical and electronic equipmentaccounting fraud or deficiencies2010$3,000,000
Visium Asset Management LP investor protection violation2018$10,120,711
VisionPoint Advisory Group, LLC investor protection violation2017$45,000
Vision Financial Markets LLC anti-money-laundering deficiencies2019$625,000
Virtus Investment Advisers, Inc. investor protection violation2015$16,500,000
Virtua Capital Management, LLC investor protection violation2022$1,864,089
Virtu ITG Canada Corp. investor protection violation2020$200,000
Virtu Americas LLCVirtu Financialfinancial servicesinvestor protection violation2019$1,500,000
Vinci Partners Investimentos investor protection violation2014$448,707
VimpelCom Ltd.VEONtelecommunicationsForeign Corrupt Practices Act2016$167,500,000
Vika Ventures LLC investor protection violation2023$8,929,120
VII Peaks Capital, LLC investor protection violation2021$1,030,699
Victoire Finance Capital LLC investor protection violation2008$215,631
vFinance Investments, Inc. investor protection violation2008$26,559
vFinance Investments, Inc. investor protection violation2005$50,000
Veteri Place Corp. investor protection violation2018$75,000
Verus Capital Partners, LLC investor protection violation2021$45,000
Verto Capital Management LLC investor protection violation2018$620,594
Verto Capital Management investor protection violation2017$4,158,517
Vertical Capital Partners, Inc. investor protection violation2007$490,432
Vertical Capital Asset Management, LLC investor protection violation2017$9,034,957
Vero Capital Management LLC accounting fraud or deficiencies2015$3,068,706
VeriFone Holdings, Inc.Francisco Partnersprivate equity (including portfolio companies)accounting fraud or deficiencies2009$25,000
Vereit, Inc.Realty Incomereal estateinvestor protection violation2020$8,000,000
Verde Bio Holdings Inc. investor protection violation2023$90,000
Veraz Networks Inc. Foreign Corrupt Practices Act2010$300,000
Veras Capital Master Fund, VEY Partners Master Fund and Veras Investment Partners, LLC investor protection violation2005$36,200,488
Venture Capital Holdings LLC investor protection violation2006$4,808,953
Vector Medical Technologies, Inc. investor protection violation2006$14,208,718
VCAP Securities investor protection violation2015$1,477,332
Vantage Drilling International Foreign Corrupt Practices Act2018$5,000,000
Vandham Securities Corp. investor protection violation2019$200,000
Vanderbilt Capital Advisors LLC investor protection violation2002$125,000
Van Wagoner Capital Management, Inc. investor protection violation2004$800,000
Van Eck Associates Corporation investor protection violation2024$1,750,000
Van der Moolen Specialists USA, LLC investor protection violation2004$57,675,104
Value Line Inc. investor protection violation2009$43,705,765
Valor Capital Asset Management, LLC investor protection violation2018$715,871
Valo Holdings Group investor protection violation2023$668,240
VALIC Financial Advisors Inc.American International Groupfinancial servicesinvestor protection violation2020$39,900,000
Valentine Capital Asset Management, Inc.? investor protection violation2010$432,007
Vale S.A.Vale S.A.mining and mineralsaccounting fraud or deficiencies2023$55,900,000
UTStarcom, Inc. Foreign Corrupt Practices Act2009$1,500,000
Ustocktrade LLC investor protection violation2023$75,000
USA Financial Securities Corporation investor protection violation2021$249,455
UQM Technologies, Inc.Danfossindustrial equipmentinvestor protection violation2019$500,000
Upright Financial Corp. investor protection violation2021$517,209
Up Global SEZC investor protection violation2023$3,520,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.