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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 Parent sort iconCurrent Parent IndustryPrimary Offense TypeYearPenalty Amount
Warburg Dillon Read LLCUBSfinancial servicesinvestor protection violation2000$6,680,000
UBS Financial ServicesUBSfinancial servicesinvestor protection violation2016$15,025,882
Credit Suisse AGUBSfinancial servicesaccounting fraud or deficiencies2016$90,000,000
UBS Financial Services, Inc.UBSfinancial servicesinvestor protection violation2017$3,500,000
Credit Suisse Securities (USA) LLCUBSfinancial servicesinvestor protection violation2017$5,754,714
UBS Financial Services Inc.UBSfinancial servicesinvestor protection violation2015$480,000
UBS O'Connor, LLCUBSfinancial servicesinvestor protection violation2013$5,297,716
Credit Suisse Alternative Capital, LLC and Credit Suisse Asset Management, LLCUBSfinancial servicesinvestor protection violation2011$2,500,000
Credit Suisse Group AGUBSfinancial servicesForeign Corrupt Practices Act2018$29,700,000
Credit Suisse Securities (USA) LLCUBSfinancial servicesinvestor protection violation2018$5,000,000
UBS Securities LLCUBSfinancial servicesinvestor protection violation2005$700,000
Credit Suisse First Boston, LLCUBSfinancial servicesinvestor protection violation2005$200,000
Donaldson, Lufkin & Jenrette Securities Corp.UBSfinancial servicesinvestor protection violation2004$1,000,000
UBS Financial Services Inc.UBSfinancial servicesinvestor protection violation2018$5,000,000
UBS Financial Services Inc.UBSfinancial servicesinvestor protection violation2020$10,000,000
Credit Suisse Securities (USA) LLCUBSfinancial servicesinvestor protection violation2020$600,000
UBS Financial Services Inc.UBSfinancial servicesinvestor protection violation2021$8,112,174
Credit Suisse Group AGUBSfinancial servicesForeign Corrupt Practices Act2021$99,000,000
UBS Financial Services Inc.UBSfinancial servicesinvestor protection violation2022$25,000,000
UBS Financial Services Inc.UBSfinancial servicesinvestor protection violation2022$925,000
Credit Suisse Securities (USA) LLCUBSfinancial servicesinvestor protection violation2022$125,000,000
UBS Securities LLC and UBS Financial Services Inc.UBSfinancial servicesinvestor protection violation2022$125,000,000
Credit Suisse Securities (USA) LLCUBSfinancial servicesinvestor protection violation2023$10,000,000
U.S. Pension Trust Corp. and U.S. College Trust Corp.U.S. Pension Trust Corp.financial servicesinvestor protection violation2010$112,600,000
U.S. Bank Municipal Securities GroupU.S. Bancorpfinancial servicesinvestor protection violation2015$60,000
U.S. Bank National AssociationU.S. Bancorpfinancial servicesinvestor protection violation2005$500,000
MUFG Securities Americas Inc.U.S. Bancorpfinancial servicesinvestor protection violation2018$1,400,000
U.S. Bancorp Investments, Inc.U.S. Bancorpfinancial servicesinvestor protection violation2020$15,992,441
U.S. Bancorp Investments Inc.U.S. Bancorpfinancial servicesinvestor protection violation2024$8,000,000
Tyson Foods Inc.Tyson Foodsfood productsForeign Corrupt Practices Act2011$5,000,000
Tyson Foods, Inc.Tyson Foodsfood productsaccounting fraud or deficiencies2005$1,500,000
NIC Inc.Tyler Technologiesinformation technologyaccounting fraud or deficiencies2011$500,000
Tupperware Brands CorporationTupperware Brandshousewares and home furnishingsinvestor protection violation2022$900,000
SunTrust Capital Markets Inc.Truist Financialfinancial servicesinvestor protection violation2006$125,000
SunTrust BanksTruist Financialfinancial servicesinvestor protection violation2017$1,100,000
BB&T Securities, LLCTruist Financialfinancial servicesinvestor protection violation2016$200,000
BB&T Securities, LLCTruist Financialfinancial servicesinvestor protection violation2015$200,000
BB&T Securities, LLCTruist Financialfinancial servicesinvestor protection violation2018$100,000
BB&T SecuritiesTruist Financialfinancial servicesinvestor protection violation2019$5,709,753
BB&T Securities, LLCTruist Financialfinancial servicesinvestor protection violation2019$376,059
YourPeople, Inc., dba Zenefits FTW Insurance ServicesTriNet Groupbusiness servicesinvestor protection violation2017$450,000
NeuStar IncTransUnionmiscellaneous servicesinvestor protection violation2016$180,000
Transocean Inc.Transoceanoilfield services and suppliesForeign Corrupt Practices Act2010$7,265,080
GlobalSantaFe Corp.Transoceanoilfield services and suppliesForeign Corrupt Practices Act2010$5,858,165
TPG CapitalTPG Capitalprivate equity (including portfolio companies)investor protection violation2001$50,000
TPG Capital Advisors, LLCTPG Capitalprivate equity (including portfolio companies)investor protection violation2017$12,487,620
Total, S.A.TotalEnergies SEoil and gasForeign Corrupt Practices Act2013$153,000,000
ConvergEx GroupToronto-Dominion Bankfinancial servicesinvestor protection violation2013$107,424,429
TD BankToronto-Dominion Bankfinancial servicesinvestor protection violation2013$15,000,000
TD Waterhouse Investor Services, Inc.Toronto-Dominion Bankfinancial servicesinvestor protection violation2004$2,000,000
SG Cowen & Co., LLC f/k/a SG Cowen Securities CorporationToronto-Dominion Bankfinancial servicesinvestor protection violation2004$125,000
SG Cowen Securities CorporationToronto-Dominion Bankfinancial servicesinvestor protection violation2003$5,000,000
TD Securities (USA) LLCToronto-Dominion Bankfinancial servicesinvestor protection violation2016$500,000
TD Options LLCToronto-Dominion Bankfinancial servicesinvestor protection violation2009$1,000,000
Convergex Execution Solutions LLCToronto-Dominion Bankfinancial servicesdata submission deficiencies2018$2,750,000
TD Securities (USA) LLCToronto-Dominion Bankfinancial servicesinvestor protection violation2022$152,955
Tidewater Inc.Tidewater Inc.miscellaneous servicesForeign Corrupt Practices Act2010$8,321,362
TIAA-CREF Individual & Institutional Services, LLCTIAAfinancial servicesinvestor protection violation2019$2,395,722
TIAA-CREF Individual & Institutional Services LLCTIAAfinancial servicesaccounting fraud or deficiencies2021$97,000,000
Nuveen Securities LLCTIAAfinancial servicesinvestor protection violation2023$8,500,000
TIAA-CREF Individual & Institutional Services LLCTIAAfinancial servicesinvestor protection violation2024$2,200,000
Thor Industries Inc.Thor Industriesmotor vehiclesaccounting fraud or deficiencies2011$1,000,000
Textron Inc.Textronaerospace and military contractingForeign Corrupt Practices Act2007$3,535,040
Teva Pharmaceutical Industries LimitedTeva Pharmaceutical IndustriespharmaceuticalsForeign Corrupt Practices Act2016$236,000,000
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
Tesla Inc.Tesla Inc.motor vehiclesinvestor protection violation2018$20,000,000
Terex CorporationTerexheavy equipmentaccounting fraud or deficiencies2009$8,000,000
Tenet Healthcare CorporationTenet Healthcarehealthcare servicesinvestor protection violation2007$10,000,000
Telia Company ABTelia Company ABtelecommunicationsForeign Corrupt Practices Act2017$457,000,000
FLIR Systems Inc.Teledyne Technologiesmiscellaneous manufacturingForeign Corrupt Practices Act2015$9,500,000
Technip S.A.TechnipFMCoilfield services and suppliesForeign Corrupt Practices Act2010$98,000,000
FMC TechnologiesTechnipFMCoilfield services and suppliesaccounting fraud or deficiencies2016$2,500,000
TechnipFMC plcTechnipFMCoilfield services and suppliesForeign Corrupt Practices Act2019$5,061,906
Tenaris S.A.TechintdiversifiedForeign Corrupt Practices Act2011$5,400,000
TenarisTechintdiversifiedForeign Corrupt Practices Act2022$78,000,000
Satyam Computer Services LimitedTech Mahindramiscellaneous servicesaccounting fraud or deficiencies2011$10,000,000
Tangoe Inc.Tangoe Inc.information technologyaccounting fraud or deficiencies2018$1,500,000
Take-Two Interactive Software, Inc.Take-Two Interactive Software Inc.entertainmentaccounting fraud or deficiencies2009$3,000,000
Take-Two Interactive Software, Inc.Take-Two Interactive Software Inc.entertainmentaccounting fraud or deficiencies2005$7,500,000
Synchronoss Technologies, Inc.Synchronoss Technologiesinformation technologyinvestor protection violation2022$12,500,000
Swiss Re Financial Products CorporationSwiss Refinancial servicesinvestor protection violation2007$95,000
Super Micro Computer, Inc.Super Micro Computer Inc.electrical and electronic equipmentaccounting fraud or deficiencies2020$17,500,000
Beam Suntory Inc.Suntorybeveragesinvestor protection violation2018$8,181,838
Massachusetts Financial Services CompanySun Life Financialfinancial servicesinvestor protection violation2004$50,000,000
Massachusetts Financial Services Co.Sun Life Financialfinancial servicesinvestor protection violation2004$225,000,000
Massachusetts Financial Services CompanySun Life Financialfinancial servicesinvestor protection violation2003$917,858
Massachusetts Financial Services CompanySun Life Financialfinancial servicesinvestor protection violation2018$1,900,000
SMBC Nikko Securities America, Inc.Sumitomo Groupdiversifiedinvestor protection violation2023$9,000,000
Stryker CorporationStrykermedical equipment and suppliesForeign Corrupt Practices Act2013$13,200,000
Stryker Corp.Strykermedical equipment and suppliesForeign Corrupt Practices Act2018$7,800,000
INTL FCStoneStoneX Groupfinancial servicesaccounting fraud or deficiencies2016$150,000
AmTrust Financial Services Inc.Stone Point Capitalprivate equity (including portfolio companies)investor protection violation2020$10,300,000
Stifel, Nicolaus & Company, Inc.Stifel Financialfinancial servicesinvestor protection violation2015$500,000
Stifel Nicolaus & Co.Stifel Financialfinancial servicesinvestor protection violation2014$60,000
Thomas Weisel Partners LLCStifel Financialfinancial servicesinvestor protection violation2004$12,500,000
Stifel, Nicolaus & Co., Inc.Stifel Financialfinancial servicesinvestor protection violation2016$24,500,000
Stifel, Nicolaus & Company, IncorporatedStifel Financialfinancial servicesinvestor protection violation2017$300,000
Stifel and Nicolaus & Company, IncorporatedStifel Financialfinancial servicesinvestor protection violation2019$6,037,175
Stifel, Nicolaus & Co., Inc.Stifel Financialfinancial servicesinvestor protection violation2019$2,700,000
Stericycle, Inc.Stericyclewaste management and environmental servicesForeign Corrupt Practices Act2022$28,200,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.