Basic Search  |  Summaries  |  Advanced Search

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.

Download results as CSV or XML or Save your search (Click here for information on download subscriptions)
CompanyCurrent ParentCurrent Parent IndustryPrimary Offense TypeYear sort iconPenalty Amount
Piper Jaffray & Co.Piper Sandlerfinancial servicesinvestor protection violation2006$125,000
RBC Dain Rauscher IncRoyal Bank of Canadafinancial servicesinvestor protection violation2006$1,500,000
SunTrust Capital Markets Inc.Truist Financialfinancial servicesinvestor protection violation2006$125,000
Wachovia Capital Markets, LLCWells Fargofinancial servicesinvestor protection violation2006$125,000
Federal National Mortgage Association (Fannie Mae)Fannie Maefinancial servicesaccounting fraud or deficiencies2006$400,000,000
Morgan Stanley & Co.Morgan Stanleyfinancial servicesdata submission deficiencies2006$10,000,000
Unified Fund Services, Inc. investor protection violation2006$125,000
Bio-Heal Laboratories, Inc. investor protection violation2006$618,135
Deephaven Capital Management, LLC insider trading2006$5,709,958
Tyco International Ltd.Johnson Controlsautomotive partsaccounting fraud or deficiencies2006$50,000,000
National Clearing Corporation investor protection violation2006$2,000,000
Bear, Stearns & Co., Inc.JPMorgan Chasefinancial servicesinvestor protection violation2006$250,000,000
Langley Partners, North Olmsted Partners and Quantico Partners investor protection violation2006$13,517,928
Vector Medical Technologies, Inc. investor protection violation2006$14,208,718
Venture Capital Holdings LLC investor protection violation2006$4,808,953
American International Group, Inc.American International Groupfinancial servicesinvestor protection violation2006$800,000,000
McAfee, Inc.Advent Internationalprivate equity (including portfolio companies)accounting fraud or deficiencies2006$50,000,000
Schnitzer Steel IndustriesSchnitzer Steel IndustriesmetalsForeign Corrupt Practices Act2006$7,725,201
Deutsche Bank Securities, Inc.Deutsche Bankfinancial servicesinvestor protection violation2006$442,954
Deutsche Asset Management, Inc. and Deutsche Investment Management Americas, Inc.Deutsche Bankfinancial servicesinvestor protection violation2006$17,200,000
Spinner Asset Management, LLC and Spinner Global Technology Fund, Ltd.? investor protection violation2006$495,596
Kaplan & Co., Securities, Inc. investor protection violation2006$100,000
FCA Corp. investor protection violation2006$25,000
Statoil, ASAEquinoroil and gasinvestor protection violation2006$10,500,000
Wall Street Access investor protection violation2006$688,084
Strong Capital Management, Inc.Wells Fargofinancial servicesinvestor protection violation2006$2,185,927
Cantella & Company, Inc. investor protection violation2006$50,000
Deutsche Investment Management Americas, Inc. et al.Deutsche Bankfinancial servicesinvestor protection violation2006$19,329,729
Dunham & Associates Investment Counsel, Inc. investor protection violation2006$150,000
Delaware Service Company, Inc. investor protection violation2006$435,000
Waddell & Reed, Inc.Macquariefinancial servicesinvestor protection violation2006$50,000,000
Senior Resources Asset Fund, LLC investor protection violation2006$3,699,203
Herzog, Heine, Geduld, LLC investor protection violation2006$1,500,000
IFMG Securities, Inc. investor protection violation2006$1,000,000
Weiss Research, Inc investor protection violation2006$1,991,141
CapitalWorks Investment Partners, LLC investor protection violation2006$40,000
Hutchens Investment Management, Inc.? investor protection violation2006$40,000
Computershare Trust Company of Canada investor protection violation2006$1,101,868
INET ATS, Inc. investor protection violation2006$350,000
Metropolitan Life Insurance CompanyMetLifefinancial servicesinvestor protection violation2006$250,000
New England Securities Corp.MetLifefinancial servicesinvestor protection violation2006$2,614,865
Morgan Keegan & Co., Inc.Raymond James Financialfinancial servicesinvestor protection violation2006$558,806
Veras Capital Master Fund, VEY Partners Master Fund and Veras Investment Partners, LLC investor protection violation2005$36,200,488
Emission Controls Corporation fraud2005$343,333
Ameriprise Financial, Inc.Ameriprise Financialfinancial servicesinvestor protection violation2005$15,000,000
Ameriprise Financial, Inc.Ameriprise Financialfinancial servicesinvestor protection violation2005$30,000,000
Millennium Partners, L.P., Millennium Management, L.L.C., Millennium International Management investor protection violation2005$148,000,000
Federated Investors, Inc.Federated Hermesfinancial servicesinvestor protection violation2005$72,000,000
House Asset Management, L.L.C. and House Edge, L.P. investor protection violation2005$1,375,767
Canadian Imperial Bank of CommerceCanadian Imperial Bank of Commercefinancial servicesinvestor protection violation2005$125,000,000
KPMG LLP (KPMG Canada)KPMGbusiness servicesaccounting fraud or deficiencies2005$73,682
HealthSouth CorporationEncompass Healthhealthcare servicesaccounting fraud or deficiencies2005$100,000,000
Ford Motor Credit CompanyFord Motormotor vehiclesinvestor protection violation2005$700,000
Take-Two Interactive Software, Inc.Take-Two Interactive Software Inc.entertainmentaccounting fraud or deficiencies2005$7,500,000
Zomax Inc. insider trading2005$2,000,000
Huntington Bancshares, Inc.Huntington Bancsharesfinancial servicesaccounting fraud or deficiencies2005$7,500,000
Citigroup, Inc.Citigroupfinancial servicesinvestor protection violation2005$208,000,000
Diagnostic Products Corporation Foreign Corrupt Practices Act2005$2,788,622
DB Investment Managers, Inc. investor protection violation2005$33,159
Galleon Management, L.P. investor protection violation2005$2,020,450
Oaktree Capital Management, LLCBrookfield Corporationdiversifiedinvestor protection violation2005$345,701
Stracq, Inc. investor protection violation2005$660,000
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
New York Stock Exchange, Inc.IntercontinentalExchange Groupfinancial servicesinvestor protection violation2005$20,000,000
Dollar General CorporationDollar Generalretailingaccounting fraud or deficiencies2005$10,000,000
Capital Concept Marketing, Inc. investor protection violation2005$580,000
Flowserve CorporationFlowserveindustrial equipmentinvestor protection violation2005$350,000
Citigroup Global Markets, Inc.Citigroupfinancial servicesinvestor protection violation2005$20,000,000
Time Warner Inc. accounting fraud or deficiencies2005$300,000,000
The Hartcourt Companies, Inc. fraud2005$832,598
TALX CorporationEquifaxmiscellaneous servicesaccounting fraud or deficiencies2005$2,500,000
The Titan CorporationL3Harris Technologiesaerospace and military contractingForeign Corrupt Practices Act2005$15,500,000
CIBC Mellon Trust Company fraud2005$6,030,043
GE InVision, Inc. Foreign Corrupt Practices Act2005$617,703
Banc of America Capital Management LLC, BACAP Distributors LLC and Banc of America Securities LLCBank of Americafinancial servicesinvestor protection violation2005$375,000,000
Columbia Management Advisors Inc. and Columbia Funds Distributor Inc.Ameriprise Financialfinancial servicesinvestor protection violation2005$140,000,000
Elan Corporation, plcPerrigopharmaceuticalsaccounting fraud or deficiencies2005$15,000,000
Herman's World of Sports, Inc. investor protection violation2005$663,685
Goldman, Sachs & Co.Goldman Sachsfinancial servicesinvestor protection violation2005$40,000,000
Morgan Stanley & Co.Morgan Stanleyfinancial servicesinvestor protection violation2005$40,000,000
Southwest Securities, Inc.Hilltop Holdingsfinancial servicesinvestor protection violation2005$10,000,000
Monsanto CompanyBayerchemicalsForeign Corrupt Practices Act2005$500,000
Schultz Investment Advisors, Inc. investor protection violation2005$114,534
CIBC World Markets CorporationCanadian Imperial Bank of Commercefinancial servicesinvestor protection violation2005$496,598
Renn Capital Group, Inc. investor protection violation2005$2,961,362
Blue River Capital LLC investor protection violation2005$150,000
Instinet, LLC and INET ATS, Inc. investor protection violation2005$700,000
International Equity Advisors, LLC investor protection violation2005$3,190,000
Applied Financial Group Inc. investor protection violation2005$50,000
State Street Research & Management CompanyBlackRockfinancial servicesinvestor protection violation2005$585,743
Springer Investment Management, Inc.? investor protection violation2005$50,000
Legg Mason Wood Walker, IncorporatedFranklin Resourcesfinancial servicesinvestor protection violation2005$1,000,000
CMS Fund Advisers, Inc. investor protection violation2005$115,000
U.S. Bank National AssociationU.S. Bancorpfinancial servicesinvestor protection violation2005$500,000
Prudential Equity Group, LLCPrudential Financialfinancial servicesinvestor protection violation2005$125,000
UBS Securities LLCUBSfinancial servicesinvestor protection violation2005$700,000
Gerald Klein & Associate, Inc. and Klein Pavlis & Peasley Financial, Inc investor protection violation2005$40,000
Marketxt, Inc. investor protection violation2005$49,965
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.