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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 TypeYear sort iconPenalty Amount
Ingersoll-Rand Company Ltd.Ingersoll Randindustrial equipmentForeign Corrupt Practices Act2007$4,220,987
Microphase Corp. investor protection violation2007$700,000
Nortel Networks Corporation accounting fraud or deficiencies2007$35,000,000
Sandell Asset Management Corp. investor protection violation2007$8,097,494
York International CorporationJohnson Controlsautomotive partsForeign Corrupt Practices Act2007$12,032,880
Federal Home Loan Mortgage Corporation (Freddie Mac)Freddie Mac (Federal Home Loan Mortgage Corporation)financial servicesinvestor protection violation2007$50,000,000
Regional Brokers, Inc. investor protection violation2007$100,000
Electronic Data Systems Corporation accounting fraud or deficiencies2007$490,902
Evergreen Investment Management CompanyWells Fargofinancial servicesinvestor protection violation2007$32,500,000
HSBC Bank USA, N.A.HSBCfinancial servicesinvestor protection violation2007$10,500,000
Swiss Re Financial Products CorporationSwiss Refinancial servicesinvestor protection violation2007$95,000
Sure Trace Security Corporation investor protection violation2007$1,098,900
Commonwealth Equity Services, LLP investor protection violation2007$250,000
Detwiler, Mitchell, Fenton & Graves, Inc. investor protection violation2007$250,000
Textron Inc.Textronaerospace and military contractingForeign Corrupt Practices Act2007$3,535,040
General American Life Insurance CompanyMetLifefinancial servicesinvestor protection violation2007$3,300,000
Platforms Wireless International Corp. investor protection violation2007$2,431,213
First BanCorpFirst Bancorp (Puerto Rico)financial servicesaccounting fraud or deficiencies2007$8,500,000
Cardinal Health, Inc.Cardinal Healthwholesalersaccounting fraud or deficiencies2007$35,000,000
Delta & Pine Land Company and Turk Deltapine, Inc.BayerchemicalsForeign Corrupt Practices Act2007$300,000
ConAgra Foods, Inc.ConAgra Brandsfood productsaccounting fraud or deficiencies2007$45,000,000
GLG Partners, L.P. investor protection violation2007$3,203,639
International Business MachinesIBM Corp.information technologyaccounting fraud or deficiencies2007$7,000,000
Camden Consulting, Inc. and SKS Consulting, Inc. investor protection violation2007$3,925,000
Brocade Communications Systems, Inc.Broadcomelectrical and electronic equipmentaccounting fraud or deficiencies2007$7,000,000
Mercury Interactive, LLC accounting fraud or deficiencies2007$28,000,000
Barclays Bank PLCBarclaysfinancial servicesinsider trading2007$10,943,561
The BISYS GroupCitigroupfinancial servicesaccounting fraud or deficiencies2007$25,000,000
Morgan Stanley & Co. IncorporatedMorgan Stanleyfinancial servicesinvestor protection violation2007$7,957,200
Motorola Inc.Motorola Solutionstelecommunicationsaccounting fraud or deficiencies2007$25,000,000
Zurich Capital Markets Inc.Zurich Insurancefinancial servicesinvestor protection violation2007$16,800,000
A.G. Edwards & Sons, Inc.Wells Fargofinancial servicesinvestor protection violation2007$3,860,000
Blue Bottle Limited investor protection violation2007$10,846,785
Baker Hughes IncorporatedBaker Hughesoilfield services and suppliesForeign Corrupt Practices Act2007$33,000,000
Tenet Healthcare CorporationTenet Healthcarehealthcare servicesinvestor protection violation2007$10,000,000
Nicor, Inc.Southern Companyutilities and power generationaccounting fraud or deficiencies2007$10,000,000
Banc of America Securities LLCBank of Americafinancial servicesfraud2007$26,000,000
Goldman Sachs Execution and Clearing L.P.Goldman Sachsfinancial servicesinvestor protection violation2007$2,000,000
Ashlin Capital, LLC and Kyoto Capital Group, LLC investor protection violation2007$455,700
Crestview Capital Partners investor protection violation2007$394,640
GetAnswers, Inc. investor protection violation2007$15,713,676
Dow Chemical CompanyDow Inc.chemicalsForeign Corrupt Practices Act2007$325,000
El Paso CorporationKinder MorganpipelinesForeign Corrupt Practices Act2007$7,700,000
RenaissanceRe Holdings Ltd.RenaissanceRe Holdingsfinancial servicesaccounting fraud or deficiencies2007$15,000,000
MBIA Inc.MBIAfinancial servicesaccounting fraud or deficiencies2007$50,000,000
Fred Alger Management, Inc.Alger Associatesfinancial servicesinvestor protection violation2007$40,000,000
20th Century Jackson Equities, Inc. investor protection violation2007$470,269
Morgan Stanley & Co. IncorporatedMorgan Stanleyfinancial servicesinvestor protection violation2007$17,000,000
Park Financial Group, Inc. investor protection violation2007$30,373
Founding Partners Capital Management Compan investor protection violation2007$182,244
Morgan Stanley & Co. IncorporatedMorgan Stanleyfinancial servicesinvestor protection violation2007$7,500,000
Consulting Services Group, LLC investor protection violation2007$20,000
MCL Financial Group, Inc. investor protection violation2007$60,000
Smith Barney Fund Management LLCMorgan Stanleyfinancial servicesinvestor protection violation2007$450,000
Putnam Investment Management, LLCFranklin Resourcesfinancial servicesinvestor protection violation2007$350,000
AllianceBernstein, L.P.Equitable Holdingsfinancial servicesinvestor protection violation2007$450,000
Intervoice investor protection violation2007$942,628
D.M. Keck & Company, Inc. investor protection violation2007$15,000
Financial Design Associates, Inc. investor protection violation2007$300,000
Folger Nolan Fleming Douglas Capital Management, Inc. investor protection violation2007$244,921
Haidar Capital Management, LLC investor protection violation2007$4,580,000
GLG Partners, LP investor protection violation2007$2,703,635
John Hancock Investment Management Services, LLCManulife Financialfinancial servicesinvestor protection violation2007$19,787,879
Amaranth Advisors L.L.C. investor protection violation2007$716,819
Citigroup Global Markets, Inc.Citigroupfinancial servicesinvestor protection violation2007$200,000
Tier One, Inc. investor protection violation2007$85,500
Ernst & Young LLPErnst & Youngbusiness servicesinvestor protection violation2007$1,587,170
Imperium Advisors, LLC investor protection violation2007$119,964
Temple Securities, Ltd. investor protection violation2007$268,346
Vertical Capital Partners, Inc. investor protection violation2007$490,432
Pacific Growth Equities, LLC investor protection violation2007$425,000
Kelmoore Investment Company, Inc. investor protection violation2007$100,000
Deutsche Bank Trust Company AmericasDeutsche Bankfinancial servicesinvestor protection violation2007$750,000
The Bank Of New YorkBank of New York Mellonfinancial servicesinvestor protection violation2007$750,000
Wilmington Trust CompanyM&T Bankfinancial servicesinvestor protection violation2007$100,000
Friedman, Billings, Ramsey & Co., Inc.Arlington Asset Investment Corp.financial servicesinsider trading2006$3,755,839
Jefferies & Co., Inc.Jefferies Financial Groupdiversifiedkickbacks and bribery2006$4,200,000
1st Global Capital Corp. investor protection violation2006$100,000
Focus Financial Associates, Inc. and Focus Development Center, Inc. fraud2006$6,272,264
Hartford Financial Services Group, Inc.Hartford Financial Servicesfinancial servicesinvestor protection violation2006$55,000,000
U.S. Wind Farming, Inc. investor protection violation2006$38,487
U.S. Gas & Electric, Inc. investor protection violation2006$167,000
Graycort Financial, LLC investor protection violation2006$100,000
BISYS Fund Services, Inc. investor protection violation2006$21,400,000
Doral Financial Corporation accounting fraud or deficiencies2006$25,000,000
American-Amicable Life Insurance Company of Texas, Pioneer American Insurance Company, and Pioneer Security Life Insurance Company investor protection violation2006$10,000,000
Endocare, Inc. accounting fraud or deficiencies2006$750,000
Raytheon CompanyRTX Corporationaerospace and military contractingaccounting fraud or deficiencies2006$12,000,000
Morgan Stanley & Co.Morgan Stanleyfinancial servicesinvestor protection violation2006$10,000,000
Scientific-Atlanta, Inc.Cisco Systemselectrical and electronic equipmentaccounting fraud or deficiencies2006$20,000,000
A.G. Edwards & Sons, Inc.Wells Fargofinancial servicesinvestor protection violation2006$125,000
Banc of America Securities LLCBank of Americafinancial servicesinvestor protection violation2006$750,000
Bear, Stearns & Co., Inc.JPMorgan Chasefinancial servicesinvestor protection violation2006$1,500,000
Citigroup Global Markets, Inc.Citigroupfinancial servicesinvestor protection violation2006$1,500,000
Goldman Sachs & Co.Goldman Sachsfinancial servicesinvestor protection violation2006$1,500,000
J.P. Morgan Securities, Inc.JPMorgan Chasefinancial servicesinvestor protection violation2006$1,500,000
Lehman Brothers Inc. investor protection violation2006$1,500,000
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBank of Americafinancial servicesinvestor protection violation2006$1,500,000
Morgan Keegan & Company, Inc.Raymond James Financialfinancial servicesinvestor protection violation2006$125,000
Morgan Stanley & Co. Incorporated/ Morgan Stanley DW Inc.Morgan Stanleyfinancial servicesinvestor protection violation2006$1,500,000
Piper Jaffray & Co.Piper Sandlerfinancial servicesinvestor protection violation2006$125,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.