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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
Siemens AGSiemensdiversifiedForeign Corrupt Practices Act2008$350,000,000
Con-way Inc.XPO Logisticsfreight and logisticsForeign Corrupt Practices Act2008$300,000
Faro Technologies, Inc.Faro Technologiesinformation technologyForeign Corrupt Practices Act2008$439,637
Willbros Group, Inc.Primoris Servicesconstruction and engineeringForeign Corrupt Practices Act2008$10,300,000
VolvoVolvomotor vehiclesForeign Corrupt Practices Act2008$12,600,000
Flowserve CorporationFlowserveindustrial equipmentForeign Corrupt Practices Act2008$6,574,225
Westinghouse Air Brake Technologies CorporationWestinghouse Air Brake Technologies (Wabtec)industrial equipmentForeign Corrupt Practices Act2008$288,351
Lucent Technologies Inc.NokiatelecommunicationsForeign Corrupt Practices Act2007$1,500,000
Akzo Nobel N.V.Carlyle Groupprivate equity (including portfolio companies)Foreign Corrupt Practices Act2007$2,981,513
Chevron CorporationChevronoil and gasForeign Corrupt Practices Act2007$30,000,000
Ingersoll-Rand Company Ltd.Ingersoll Randindustrial equipmentForeign Corrupt Practices Act2007$4,220,987
York International CorporationJohnson Controlsautomotive partsForeign Corrupt Practices Act2007$12,032,880
Textron Inc.Textronaerospace and military contractingForeign Corrupt Practices Act2007$3,535,040
Delta & Pine Land Company and Turk Deltapine, Inc.BayerchemicalsForeign Corrupt Practices Act2007$300,000
Baker Hughes IncorporatedBaker Hughesoilfield services and suppliesForeign Corrupt Practices Act2007$33,000,000
Dow Chemical CompanyDow Inc.chemicalsForeign Corrupt Practices Act2007$325,000
El Paso CorporationKinder MorganpipelinesForeign Corrupt Practices Act2007$7,700,000
Diagnostic Products Corporation Foreign Corrupt Practices Act2005$2,788,622
The Titan CorporationL3Harris Technologiesaerospace and military contractingForeign Corrupt Practices Act2005$15,500,000
GE InVision, Inc. Foreign Corrupt Practices Act2005$617,703
Monsanto CompanyBayerchemicalsForeign Corrupt Practices Act2005$500,000
ABB LtdABB Ltd.utilities and power generationForeign Corrupt Practices Act2004$5,900,000
Schering-Plough CorporationMerckpharmaceuticalsForeign Corrupt Practices Act2004$500,000
Syncor International Corporation Foreign Corrupt Practices Act2002$500,000
BellSouth CorporationAT&TtelecommunicationsForeign Corrupt Practices Act2002$150,000
Chiquita Brands International, Inc.Chiquita Brands Internationalfood productsForeign Corrupt Practices Act2001$100,000
International Business Machines CorporationIBM Corp.information technologyForeign Corrupt Practices Act2000$300,000
Anheuser-Busch InBevAnheuser-Busch InBevbeveragesForeign Corrupt Practices Act2016$6,000,000
Och-Ziff Capital Management GroupSculptor Capital Managementfinancial servicesForeign Corrupt Practices Act2016$199,045,167
Embraer S.A.Embraeraerospace and military contractingForeign Corrupt Practices Act2016$98,000,000
JPMorgan Chase & Co.JPMorgan Chasefinancial servicesForeign Corrupt Practices Act2016$130,000,000
Braskem S.A.BraskemchemicalsForeign Corrupt Practices Act2016$65,000,000
Teva Pharmaceutical Industries LimitedTeva Pharmaceutical IndustriespharmaceuticalsForeign Corrupt Practices Act2016$236,000,000
General Cable CorporationPrysmian Groupelectrical and electronic equipmentForeign Corrupt Practices Act2016$55,000,000
Sociedad Quimica y Minera de Chile S.A. Foreign Corrupt Practices Act2017$15,000,000
Zimmer Biomet Holdings Inc.Zimmer Biometmedical equipment and suppliesForeign Corrupt Practices Act2017$13,022,000
Orthofix InternationalOrthofix Medicalmedical equipment and suppliesForeign Corrupt Practices Act2017$14,250,000
Halliburton CompanyHalliburtonoilfield services and suppliesForeign Corrupt Practices Act2017$29,200,000
Telia Company ABTelia Company ABtelecommunicationsForeign Corrupt Practices Act2017$457,000,000
Schnitzer Steel IndustriesSchnitzer Steel IndustriesmetalsForeign Corrupt Practices Act2006$7,725,201
Kinross Gold CorporationKinross Goldmining and mineralsForeign Corrupt Practices Act2018$950,000
Panasonic Corp.Panasonicelectrical and electronic equipmentForeign Corrupt Practices Act2018$143,000,000
The Dun & Bradstreet CorporationDun & Bradstreetinformation technologyForeign Corrupt Practices Act2018$9,221,484
Legg Mason Inc.Franklin Resourcesfinancial servicesForeign Corrupt Practices Act2018$34,500,000
Credit Suisse Group AGUBSfinancial servicesForeign Corrupt Practices Act2018$29,700,000
SanofiSanofipharmaceuticalsForeign Corrupt Practices Act2018$25,200,000
Vantage Drilling International Foreign Corrupt Practices Act2018$5,000,000
Stryker Corp.Strykermedical equipment and suppliesForeign Corrupt Practices Act2018$7,800,000
United Technologies CorporationRTX Corporationaerospace and military contractingForeign Corrupt Practices Act2018$13,900,000
Mobile TeleSystems PJSCMobile TeleSystems PJSCtelecommunicationsForeign Corrupt Practices Act2019$100,000,000
Cognizant Technology Solutions CorporationCognizant Technology Solutionsinformation technologyForeign Corrupt Practices Act2019$6,000,000
Polycom, Inc.Plantronicsmiscellaneous manufacturingForeign Corrupt Practices Act2018$3,800,000
Centrais Eletricas Brasileiras S.A.? Foreign Corrupt Practices Act2018$2,500,000
Fresenius Medical Care AG & Co KGaAFresenius Medical Carehealthcare servicesForeign Corrupt Practices Act2019$147,000,000
Telefonica Brasil S.A. Foreign Corrupt Practices Act2019$4,124,000
Deutsche Bank AGDeutsche Bankfinancial servicesForeign Corrupt Practices Act2019$16,178,850
Juniper Networks, Inc.Juniper Networkselectrical and electronic equipmentForeign Corrupt Practices Act2019$11,745,018
Microsoft CorporationMicrosoftinformation technologyForeign Corrupt Practices Act2019$16,565,150
WalmartWalmartretailingForeign Corrupt Practices Act2019$144,000,000
Westport Fuels Systems, Inc. Foreign Corrupt Practices Act2019$4,046,000
Barclays PLCBarclaysfinancial servicesForeign Corrupt Practices Act2019$6,308,726
Quad/Graphics Inc.Quad/Graphicsmiscellaneous servicesForeign Corrupt Practices Act2019$9,895,334
TechnipFMC plcTechnipFMCoilfield services and suppliesForeign Corrupt Practices Act2019$5,061,906
Cardinal Health, Inc.Cardinal HealthwholesalersForeign Corrupt Practices Act2020$8,000,000
EricssonEricssontelecommunicationsForeign Corrupt Practices Act2019$539,000,000
Eni S.p.A.ENIoil and gasForeign Corrupt Practices Act2020$24,500,000
Herbalife Nutrition Ltd.Herbalifefood productsForeign Corrupt Practices Act2020$67,000,000
World Acceptance CorporationWorld Acceptance Corporationfinancial servicesForeign Corrupt Practices Act2020$21,700,000
Alexion Pharmaceuticals Inc.AstraZenecapharmaceuticalsForeign Corrupt Practices Act2020$21,000,000
Novartis AGNovartispharmaceuticalsForeign Corrupt Practices Act2020$112,800,000
Goldman Sachs Group Inc.Goldman Sachsfinancial servicesForeign Corrupt Practices Act2020(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $1,006,000,000
JBS S.A.JBSfood productsForeign Corrupt Practices Act2020$27,000,000
Deutsche Bank AGDeutsche Bankfinancial servicesForeign Corrupt Practices Act2021$43,000,000
Amec Foster Wheeler LimitedWood Groupoilfield services and suppliesForeign Corrupt Practices Act2021$10,100,000
Credit Suisse Group AGUBSfinancial servicesForeign Corrupt Practices Act2021$99,000,000
WPP plcWPPbusiness servicesForeign Corrupt Practices Act2021$19,100,000
KT Corporation Foreign Corrupt Practices Act2022$6,300,000
TenarisTechintdiversifiedForeign Corrupt Practices Act2022$78,000,000
Stericycle, Inc.Stericyclewaste management and environmental servicesForeign Corrupt Practices Act2022$28,200,000
GOL Linhas Aereas Inteligentes S.A. Foreign Corrupt Practices Act2022$24,500,000
Oracle CorporationOracleinformation technologyForeign Corrupt Practices Act2022$23,000,000
ABB LtdABB Ltd.utilities and power generationForeign Corrupt Practices Act2022$75,000,000
Honeywell International Inc.Honeywell InternationaldiversifiedForeign Corrupt Practices Act2022$81,000,000
Rio Tinto plcRio Tintomining and mineralsForeign Corrupt Practices Act2023$15,000,000
Flutter Entertainment plcFlutter Entertainment PLCentertainmentForeign Corrupt Practices Act2023$4,000,000
Philips N.V.Royal PhilipsdiversifiedForeign Corrupt Practices Act2023$62,000,000
Gartner, Inc.Gartnerinformation technologyForeign Corrupt Practices Act2023$2,456,764
Grupo Aval Acciones y Valores S.A. Foreign Corrupt Practices Act2023$40,000,000
3M Company3M Companymiscellaneous manufacturingForeign Corrupt Practices Act2023$6,500,000
Albemarle CorporationAlbemarlechemicalsForeign Corrupt Practices Act2023$103,600,000
Clear Channel Outdoor Holdings Inc.Clear Channel Outdoor Holdingsbusiness servicesForeign Corrupt Practices Act2023$26,100,000
SAP SESAPinformation technologyForeign Corrupt Practices Act2024$98,400,000
Credit Suisse Securities (USA) LLCUBSfinancial servicesdata submission deficiencies2015$4,250,000
Citigroup Global MarketsCitigroupfinancial servicesdata submission deficiencies2016$7,000,000
OZ Management LPSculptor Capital Managementfinancial servicesdata submission deficiencies2015$4,250,000
ScottradeCharles Schwab Corp.financial servicesdata submission deficiencies2014$2,500,000
Morgan Stanley & Co.Morgan Stanleyfinancial servicesdata submission deficiencies2006$10,000,000
Deutsche Bank Securities Inc.Deutsche Bankfinancial servicesdata submission deficiencies2002$1,650,000
Goldman, Sachs & Co.Goldman Sachsfinancial servicesdata submission deficiencies2002$1,650,000
Morgan Stanley & Co. IncorporatedMorgan Stanleyfinancial servicesdata submission deficiencies2002$1,650,000
Salomon Smith Barney Inc.Morgan Stanleyfinancial servicesdata submission deficiencies2002$1,650,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.