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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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CompanyCurrent ParentCurrent Parent Industry sort iconPrimary Offense TypeYearPenalty Amount
SanofiSanofipharmaceuticalsForeign Corrupt Practices Act2018$25,200,000
Clovis Oncology Inc.Clovis Oncologypharmaceuticalsinvestor protection violation2018$20,000,000
Mylan N.V.Viatrispharmaceuticalsinvestor protection violation2019$30,000,000
Bausch HealthBausch Healthpharmaceuticalsaccounting fraud or deficiencies2020$45,000,000
Alexion Pharmaceuticals Inc.AstraZenecapharmaceuticalsForeign Corrupt Practices Act2020$21,000,000
Novartis AGNovartispharmaceuticalsForeign Corrupt Practices Act2020$112,800,000
Amyris, Inc.Amyrispharmaceuticalsinvestor protection violation2021$300,000
Ball CorporationBall Corp.paper and packagingForeign Corrupt Practices Act2011$300,000
Weatherford International LimitedWeatherford Internationaloilfield services and suppliesForeign Corrupt Practices Act2013$65,600,000
Pride International Inc.Valarisoilfield services and suppliesForeign Corrupt Practices Act2010$23,529,718
Transocean Inc.Transoceanoilfield services and suppliesForeign Corrupt Practices Act2010$7,265,080
GlobalSantaFe Corp.Transoceanoilfield services and suppliesForeign Corrupt Practices Act2010$5,858,165
Noble CorporationNoble Corp.oilfield services and suppliesForeign Corrupt Practices Act2010$5,576,998
Technip S.A.TechnipFMCoilfield services and suppliesForeign Corrupt Practices Act2010$98,000,000
NATCO Group Inc.Schlumbergeroilfield services and suppliesForeign Corrupt Practices Act2010$65,000
Key Energy Services Inc.Key Energy Servicesoilfield services and suppliesForeign Corrupt Practices Act2016$5,000,000
Helmerich & PayneHelmerich & Payneoilfield services and suppliesForeign Corrupt Practices Act2009$375,681
Baker Hughes IncorporatedBaker Hughesoilfield services and suppliesForeign Corrupt Practices Act2007$33,000,000
Halliburton Co.Halliburtonoilfield services and suppliesaccounting fraud or deficiencies2004$7,500,000
Weatherford InternationalWeatherford Internationaloilfield services and suppliesaccounting fraud or deficiencies2016$140,000,000
FMC TechnologiesTechnipFMCoilfield services and suppliesaccounting fraud or deficiencies2016$2,500,000
Halliburton CompanyHalliburtonoilfield services and suppliesForeign Corrupt Practices Act2017$29,200,000
TechnipFMC plcTechnipFMCoilfield services and suppliesForeign Corrupt Practices Act2019$5,061,906
Amec Foster Wheeler LimitedWood Groupoilfield services and suppliesForeign Corrupt Practices Act2021$10,100,000
Total, S.A.TotalEnergies SEoil and gasForeign Corrupt Practices Act2013$153,000,000
Parker Drilling CompanyParker Drillingoil and gasForeign Corrupt Practices Act2013$4,090,818
Royal Dutch ShellShell PLCoil and gasForeign Corrupt Practices Act2010$18,149,459
ENI S.p.A. and Snamprogetti Netherlands B.V.ENIoil and gasForeign Corrupt Practices Act2010$125,000,000
Magnum Hunter Resources CorporationBlue Ridge Mountain Resourcesoil and gasaccounting fraud or deficiencies2016$250,000
BPBPoil and gasinvestor protection violation2012$525,000,000
Chevron CorporationChevronoil and gasForeign Corrupt Practices Act2007$30,000,000
Royal Dutch Petroleum CompanyShell PLCoil and gasaccounting fraud or deficiencies2004$120,000,000
SandRidge Energy, Inc.SandRidge Energyoil and gasinvestor protection violation2016$1,400,000
Statoil, ASAEquinoroil and gasinvestor protection violation2006$10,500,000
Eni S.p.A.ENIoil and gasForeign Corrupt Practices Act2020$24,500,000
Andeavor LLCMarathon Petroleumoil and gasaccounting fraud or deficiencies2020$20,000,000
Maxwell Technologies Inc.Tesla Inc.motor vehiclesForeign Corrupt Practices Act2011$6,350,890
Daimler AGMercedes-Benz Groupmotor vehiclesForeign Corrupt Practices Act2010$91,400,000
Navistar International Corp.Volkswagenmotor vehiclesinvestor protection violation2016$7,500,000
PACCARPaccarmotor vehiclesaccounting fraud or deficiencies2013$225,000
Thor Industries Inc.Thor Industriesmotor vehiclesaccounting fraud or deficiencies2011$1,000,000
Fiat S.p.A.Stellantismotor vehiclesForeign Corrupt Practices Act2008$10,809,142
VolvoVolvomotor vehiclesForeign Corrupt Practices Act2008$12,600,000
Ford Motor Credit CompanyFord Motormotor vehiclesinvestor protection violation2005$700,000
General MotorsGeneral Motorsmotor vehiclesaccounting fraud or deficiencies2017$1,000,000
Maxwell Technologies, Inc.Tesla Inc.motor vehiclesaccounting fraud or deficiencies2018$2,800,000
Tesla Inc.Tesla Inc.motor vehiclesinvestor protection violation2018$20,000,000
Fiat Chrysler Automobiles N.V.Stellantismotor vehiclesaccounting fraud or deficiencies2019$40,000,000
NissanNissanmotor vehiclesaccounting fraud or deficiencies2019$15,000,000
Fiat Chrysler Automobiles N.V.Stellantismotor vehiclesinvestor protection violation2020$9,500,000
BMW AGBMWmotor vehiclesaccounting fraud or deficiencies2020$18,000,000
Nikola CorporationNikola Corporationmotor vehiclesinvestor protection violation2021$125,000,000
Canoo Inc.Canoo Inc.motor vehiclesinvestor protection violation2023$1,500,000
Lordstown Motors Corp.Lordstown Motorsmotor vehiclesinvestor protection violation2024$25,500,000
Volkswagen AGVolkswagenmotor vehiclesinvestor protection violation2024$48,750,000
Tidewater Inc.Tidewater Inc.miscellaneous servicesForeign Corrupt Practices Act2010$8,321,362
Great Lakes Dredge & Dock CorporationGreat Lakes Dredge & Dock Corporationmiscellaneous servicesaccounting fraud or deficiencies2014$150,000
Medifast Inc.Medifast Inc.miscellaneous servicesaccounting fraud or deficiencies2013$200,000
Huron Consulting Group Inc.Huron Consulting Groupmiscellaneous servicesaccounting fraud or deficiencies2012$1,000,000
Satyam Computer Services LimitedTech Mahindramiscellaneous servicesaccounting fraud or deficiencies2011$10,000,000
United Rentals, IncUnited Rentalsmiscellaneous servicesaccounting fraud or deficiencies2008$14,000,000
McCann-Erickson WorldwideInterpublicmiscellaneous servicesaccounting fraud or deficiencies2008$12,000,000
TALX CorporationEquifaxmiscellaneous servicesaccounting fraud or deficiencies2005$2,500,000
Xerox CorporationXeroxmiscellaneous servicesaccounting fraud or deficiencies2002$10,000,000
NeuStar IncTransUnionmiscellaneous servicesinvestor protection violation2016$180,000
Barrett Business Services Inc.Barrett Business Servicesmiscellaneous servicesaccounting fraud or deficiencies2018$1,500,000
Hertz Global Holdings, Inc.Hertzmiscellaneous servicesinvestor protection violation2018$16,000,000
Quad/Graphics Inc.Quad/Graphicsmiscellaneous servicesForeign Corrupt Practices Act2019$9,895,334
Morningstar Credit Ratings, LLCMorningstar Inc.miscellaneous servicesinvestor protection violation2020$3,500,000
Morningstar Credit Ratings, LLCMorningstar Inc.miscellaneous servicesinvestor protection violation2022$1,150,000
Rollins Inc.Rollins Inc.miscellaneous servicesaccounting fraud or deficiencies2022$8,000,000
Brink's CompanyBrink'smiscellaneous servicesinvestor protection violation2022$400,000
Evoqua Water Technologies Corp.Xylemmiscellaneous servicesaccounting fraud or deficiencies2023$8,500,000
Maximus, Inc.Maximusmiscellaneous servicesinvestor protection violation2023$500,000
Lyft Inc.Lyft Inc.miscellaneous servicesinvestor protection violation2023$10,000,000
Qualcomm Inc.Qualcommmiscellaneous manufacturingForeign Corrupt Practices Act2016$7,500,000
FLIR Systems Inc.Teledyne Technologiesmiscellaneous manufacturingForeign Corrupt Practices Act2015$9,500,000
Bruker CorporationBrukermiscellaneous manufacturingForeign Corrupt Practices Act2014$2,400,000
Smith & Wesson Holding CorporationSmith & Wessonmiscellaneous manufacturingForeign Corrupt Practices Act2014$2,000,000
Diebold Inc.Diebold Nixdorfmiscellaneous manufacturingForeign Corrupt Practices Act2013$22,900,000
Watts Water Technologies Inc.Watts Water Technologies Inc.miscellaneous manufacturingForeign Corrupt Practices Act2011$2,955,815
Polycom Inc.Plantronicsmiscellaneous manufacturingaccounting fraud or deficiencies2015$750,000
Diebold, Inc.Diebold Nixdorfmiscellaneous manufacturingaccounting fraud or deficiencies2010$25,000,000
Avery Dennison CorporationAvery Dennisonmiscellaneous manufacturingForeign Corrupt Practices Act2009$518,470
International Game TechnologyInternational Game Technologymiscellaneous manufacturingaccounting fraud or deficiencies2016$500,000
Polycom, Inc.Plantronicsmiscellaneous manufacturingForeign Corrupt Practices Act2018$3,800,000
Mattel Inc.Mattelmiscellaneous manufacturingaccounting fraud or deficiencies2022$3,500,000
3M Company3M Companymiscellaneous manufacturingForeign Corrupt Practices Act2023$6,500,000
Advanced Emissions Solutions, Inc.Advanced Emissions Solutionsmiscellaneous energy products and systemsinvestor protection violation2017$500,000
BHP BillitonBHP Groupmining and mineralsForeign Corrupt Practices Act2015$25,000,000
Kinross Gold CorporationKinross Goldmining and mineralsForeign Corrupt Practices Act2018$950,000
Compass Minerals International Inc.Compass Minerals Internationalmining and mineralsinvestor protection violation2022$12,000,000
Rio Tinto plcRio Tintomining and mineralsForeign Corrupt Practices Act2023$15,000,000
Vale S.A.Vale S.A.mining and mineralsaccounting fraud or deficiencies2023$55,900,000
Rio Tinto PLCRio Tintomining and mineralsinvestor protection violation2023$28,000,000
Alcoa Inc.AlcoametalsForeign Corrupt Practices Act2014$161,000,000
Schnitzer Steel IndustriesSchnitzer Steel IndustriesmetalsForeign Corrupt Practices Act2006$7,725,201
Stryker CorporationStrykermedical equipment and suppliesForeign Corrupt Practices Act2013$13,200,000
Orthofix International N.V.Orthofix Medicalmedical equipment and suppliesForeign Corrupt Practices Act2012$5,200,000
Biomet Inc.Zimmer Biometmedical equipment and suppliesForeign Corrupt Practices Act2012$1,586,032
Smith & Nephew PLCSmith & Nephewmedical equipment and suppliesForeign Corrupt Practices Act2012$5,400,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.