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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 IndustryPrimary Offense Type sort iconYearPenalty Amount
Monster Worldwide, Inc.Randstadbusiness servicesaccounting fraud or deficiencies2009$2,500,000
Take-Two Interactive Software, Inc.Take-Two Interactive Software Inc.entertainmentaccounting fraud or deficiencies2009$3,000,000
Zurich Financial ServicesZurich Insurancefinancial servicesaccounting fraud or deficiencies2008$25,000,000
Conversion Solutions Holding Corporation accounting fraud or deficiencies2008$250,000
United Rentals, IncUnited Rentalsmiscellaneous servicesaccounting fraud or deficiencies2008$14,000,000
Analog Devices, Inc.Analog Devices Inc.electrical and electronic equipmentaccounting fraud or deficiencies2008$3,000,000
Marvell Technology Group, Ltd.Marvell Technologyelectrical and electronic equipmentaccounting fraud or deficiencies2008$10,000,000
McCann-Erickson WorldwideInterpublicmiscellaneous servicesaccounting fraud or deficiencies2008$12,000,000
Biovail CorporationBausch Healthpharmaceuticalsaccounting fraud or deficiencies2008$10,000,000
W.P. Carey & Co.W.P. Carey Inc.real estateaccounting fraud or deficiencies2008$30,000,000
Halt, Buzas & Powell, Ltd. accounting fraud or deficiencies2008$101,711
K.W. Brown & Company, 21st Century Advisors Inc., and K.W. Brown Investments, Inc. accounting fraud or deficiencies2008$9,983,586
Nortel Networks Corporation accounting fraud or deficiencies2007$35,000,000
Electronic Data Systems Corporation accounting fraud or deficiencies2007$490,902
First BanCorpFirst Bancorp (Puerto Rico)financial servicesaccounting fraud or deficiencies2007$8,500,000
Cardinal Health, Inc.Cardinal Healthwholesalersaccounting fraud or deficiencies2007$35,000,000
ConAgra Foods, Inc.ConAgra Brandsfood productsaccounting fraud or deficiencies2007$45,000,000
International Business MachinesIBM Corp.information technologyaccounting fraud or deficiencies2007$7,000,000
Brocade Communications Systems, Inc.Broadcomelectrical and electronic equipmentaccounting fraud or deficiencies2007$7,000,000
Mercury Interactive, LLC accounting fraud or deficiencies2007$28,000,000
The BISYS GroupCitigroupfinancial servicesaccounting fraud or deficiencies2007$25,000,000
Motorola Inc.Motorola Solutionstelecommunicationsaccounting fraud or deficiencies2007$25,000,000
Nicor, Inc.Southern Companyutilities and power generationaccounting fraud or deficiencies2007$10,000,000
RenaissanceRe Holdings Ltd.RenaissanceRe Holdingsfinancial servicesaccounting fraud or deficiencies2007$15,000,000
MBIA Inc.MBIAfinancial servicesaccounting fraud or deficiencies2007$50,000,000
Doral Financial Corporation accounting fraud or deficiencies2006$25,000,000
Endocare, Inc. accounting fraud or deficiencies2006$750,000
Raytheon CompanyRTX Corporationaerospace and military contractingaccounting fraud or deficiencies2006$12,000,000
Scientific-Atlanta, Inc.Cisco Systemselectrical and electronic equipmentaccounting fraud or deficiencies2006$20,000,000
Federal National Mortgage Association (Fannie Mae)Fannie Maefinancial servicesaccounting fraud or deficiencies2006$400,000,000
Tyco International Ltd.Johnson Controlsautomotive partsaccounting fraud or deficiencies2006$50,000,000
McAfee, Inc.Advent Internationalprivate equity (including portfolio companies)accounting fraud or deficiencies2006$50,000,000
KPMG LLP (KPMG Canada)KPMGbusiness servicesaccounting fraud or deficiencies2005$73,682
HealthSouth CorporationEncompass Healthhealthcare servicesaccounting fraud or deficiencies2005$100,000,000
Take-Two Interactive Software, Inc.Take-Two Interactive Software Inc.entertainmentaccounting fraud or deficiencies2005$7,500,000
Huntington Bancshares, Inc.Huntington Bancsharesfinancial servicesaccounting fraud or deficiencies2005$7,500,000
Tyson Foods, Inc.Tyson Foodsfood productsaccounting fraud or deficiencies2005$1,500,000
Deloitte & Touche LLPDeloittebusiness servicesaccounting fraud or deficiencies2005$375,000
Deloitte & Touche LLPDeloittebusiness servicesaccounting fraud or deficiencies2005$50,000,000
KPMG LLPKPMGbusiness servicesaccounting fraud or deficiencies2005$22,000,000
Dollar General CorporationDollar Generalretailingaccounting fraud or deficiencies2005$10,000,000
Time Warner Inc. accounting fraud or deficiencies2005$300,000,000
TALX CorporationEquifaxmiscellaneous servicesaccounting fraud or deficiencies2005$2,500,000
Elan Corporation, plcPerrigopharmaceuticalsaccounting fraud or deficiencies2005$15,000,000
Qwest Communications International Inc.Lumen Technologiestelecommunicationsaccounting fraud or deficiencies2004$250,000,000
Computer Associates International, Inc.Broadcomelectrical and electronic equipmentaccounting fraud or deficiencies2004(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $225,000,000
Dean Foods CompanyDairy Farmers of America (DFA)food productsaccounting fraud or deficiencies2004$400,000
Digital Exchange Systems, Inc. accounting fraud or deficiencies2004$100,000
Kemps LLC, f/k/a Marigold Foods LLC accounting fraud or deficiencies2004$150,000
Royal Dutch Petroleum CompanyShell PLCoil and gasaccounting fraud or deficiencies2004$120,000,000
Doeren Mayhew & Co. P.C. accounting fraud or deficiencies2004$115,126
Grant Thornton LLPGrant Thorntonbusiness servicesaccounting fraud or deficiencies2004$1,500,000
Bristol-Myers Squibb CompanyBristol-Myers Squibbpharmaceuticalsaccounting fraud or deficiencies2004$150,000,000
Halliburton Co.Halliburtonoilfield services and suppliesaccounting fraud or deficiencies2004$7,500,000
Measurement Specialties, Inc. accounting fraud or deficiencies2004$1,000,000
Gemstar-TV Guide International, Inc. accounting fraud or deficiencies2004$10,000,000
i2 Technologies, Inc. accounting fraud or deficiencies2004$10,000,000
Symbol Technologies, Inc.Zebra Technologieselectrical and electronic equipmentaccounting fraud or deficiencies2004$37,000,000
Del Global Technologies Corp., Inc. accounting fraud or deficiencies2004$400,000
Lucent Technologies Inc.Nokiatelecommunicationsaccounting fraud or deficiencies2004$25,000,000
PricewaterhouseCoopers LLPPricewaterhouseCoopersbusiness servicesaccounting fraud or deficiencies2004$2,400,000
Vivendi Universal, S.A.Comcasttelecommunicationsaccounting fraud or deficiencies2003$50,000,000
Canadian Imperial Bank of CommerceCanadian Imperial Bank of Commercefinancial servicesaccounting fraud or deficiencies2003$80,000,000
American International Group, Inc.American International Groupfinancial servicesaccounting fraud or deficiencies2003$10,000,000
Gardere Wynne Sewell LLP accounting fraud or deficiencies2003$2,000,000
Citigroup, Inc.Citigroupfinancial servicesaccounting fraud or deficiencies2003$101,000,000
Citigroup, Inc.Citigroupfinancial servicesaccounting fraud or deficiencies2003$19,000,000
J.P. Morgan Chase & Co.JPMorgan Chasefinancial servicesaccounting fraud or deficiencies2003$135,000,000
WorldCom Inc.Verizon Communicationstelecommunicationsaccounting fraud or deficiencies2003$500,000,000
PricewaterhouseCoopers LLPPricewaterhouseCoopersbusiness servicesaccounting fraud or deficiencies2003$1,000,000
Merrill Lynch & Co. Inc.Bank of Americafinancial servicesaccounting fraud or deficiencies2003$80,000,000
ICN Pharmaceuticals, Inc.Bausch Healthpharmaceuticalsaccounting fraud or deficiencies2002$1,000,000
Dynegy Inc.Vistra Energyutilities and power generationaccounting fraud or deficiencies2002$3,000,000
Oxford Health Plans, Inc.UnitedHealth Grouphealthcare servicesaccounting fraud or deficiencies2002$250,000
PricewaterhouseCoopers LLPricewaterhouseCoopersbusiness servicesaccounting fraud or deficiencies2002$5,000,000
Moret Ernst & Young Accountants accounting fraud or deficiencies2002$400,000
Xerox CorporationXeroxmiscellaneous servicesaccounting fraud or deficiencies2002$10,000,000
Financial Asset Management, Inc. accounting fraud or deficiencies2002$25,000
Arthur Andersen LLP accounting fraud or deficiencies2001$7,000,000
America Online, Inc.Apollo Global Managementprivate equity (including portfolio companies)accounting fraud or deficiencies2000$3,500,000
Portugal Telecom SGPS S.A. accounting fraud or deficiencies2016$125,000
Ernst & YoungErnst & Youngbusiness servicesaccounting fraud or deficiencies2016$9,300,000
Park National CorporationPark National Corp.financial servicesaccounting fraud or deficiencies2016$500,000
Orrstown Financial Services, Inc. accounting fraud or deficiencies2016$1,000,000
Weatherford InternationalWeatherford Internationaloilfield services and suppliesaccounting fraud or deficiencies2016$140,000,000
International Game TechnologyInternational Game Technologymiscellaneous manufacturingaccounting fraud or deficiencies2016$500,000
Credit Suisse AGUBSfinancial servicesaccounting fraud or deficiencies2016$90,000,000
Lime Energy Co. accounting fraud or deficiencies2016$1,000,000
Ernst & Young LLPErnst & Youngbusiness servicesaccounting fraud or deficiencies2016$11,800,000
FMC TechnologiesTechnipFMCoilfield services and suppliesaccounting fraud or deficiencies2016$2,500,000
Powersecure International, Inc. accounting fraud or deficiencies2016$470,000
United AirlinesUnited Airlines Holdingsairlinesaccounting fraud or deficiencies2016$2,400,000
KPMG LLPKPMGbusiness servicesaccounting fraud or deficiencies2016$230,000
Jack Henry & Associates, Inc.Jack Henry & Associatesinformation technologyaccounting fraud or deficiencies2016$780,000
L3 Technologies Inc.L3Harris Technologiesaerospace and military contractingaccounting fraud or deficiencies2017$1,600,000
Mondelez International, Inc.Mondelez Internationalfood productsaccounting fraud or deficiencies2017$13,000,000
General MotorsGeneral Motorsmotor vehiclesaccounting fraud or deficiencies2017$1,000,000
MDC Partners accounting fraud or deficiencies2017$1,500,000
HomeStreet IncHomeStreet Inc.financial servicesaccounting fraud or deficiencies2017$500,000
Overseas Shipholding GroupOverseas Shipholding Groupfreight and logisticsaccounting fraud or deficiencies2017$5,000,000
MagnaChip Semiconductor Corporation accounting fraud or deficiencies2017$3,000,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.