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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
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
Galena Biopharma, Inc.SELLAS Life Sciences Grouppharmaceuticalsaccounting fraud or deficiencies2017$200,000
KPMG LLPKPMGbusiness servicesaccounting fraud or deficiencies2017$6,230,999
Osiris TherapeuticsSmith & Nephewmedical equipment and suppliesaccounting fraud or deficiencies2017$1,500,000
Alere Inc.Abbott Laboratoriespharmaceuticalsaccounting fraud or deficiencies2017$13,023,885
Paritz & Company accounting fraud or deficiencies2017$132,049
Penn West Petroleum Ltd. accounting fraud or deficiencies2017$8,500,000
BDO Canada accounting fraud or deficiencies2018$50,000
KPMGKPMGbusiness servicesaccounting fraud or deficiencies2018$241,305
Deloitte & ToucheDeloittebusiness servicesaccounting fraud or deficiencies2018$99,057
Weinberg & Baer LLC accounting fraud or deficiencies2018$62,899
Elbit Imaging Ltd. accounting fraud or deficiencies2018$500,000
Li & Co. accounting fraud or deficiencies2018$70,143
Maxwell Technologies, Inc.Tesla Inc.motor vehiclesaccounting fraud or deficiencies2018$2,800,000
JH Darbie & Co. accounting fraud or deficiencies2018$50,113
Lally & Co., LLC accounting fraud or deficiencies2014$10,000
Joseph Yafeh CPA, Inc. accounting fraud or deficiencies2014$20,000
EFP Rotenberg, LLP accounting fraud or deficiencies2014$50,000
CitigroupCitigroupfinancial servicesaccounting fraud or deficiencies2018$10,500,000
BGC Financial accounting fraud or deficiencies2018$1,250,000
KBR Inc.KBRconstruction and engineeringaccounting fraud or deficiencies2018$2,500,000
Barrett Business Services Inc.Barrett Business Servicesmiscellaneous servicesaccounting fraud or deficiencies2018$1,500,000
Tangoe Inc.Tangoe Inc.information technologyaccounting fraud or deficiencies2018$1,500,000
Deloitte Touche Tohmatsu LLCDeloittebusiness servicesaccounting fraud or deficiencies2019$2,000,000
Grupo Simec S.A.B de C.V. accounting fraud or deficiencies2019$200,000
Lifeway Foods Inc. accounting fraud or deficiencies2019$100,000
Digital Turbine Inc. accounting fraud or deficiencies2019$100,000
CytoDyn Inc. accounting fraud or deficiencies2019$35,000
Crowe LLP accounting fraud or deficiencies2018$1,500,000
Agria Corporation accounting fraud or deficiencies2018$3,000,000
Pinnacle Accountancy Group, PLLC accounting fraud or deficiencies2019$300,000
Prosper Funding LLC accounting fraud or deficiencies2019$3,000,000
Brixmor Property Group Inc. accounting fraud or deficiencies2019$7,000,000
Conn's Inc. accounting fraud or deficiencies2019$1,100,000
KPMG LLPKPMGbusiness servicesaccounting fraud or deficiencies2019$50,000,000
RSM US LLP accounting fraud or deficiencies2019$950,000
Fiat Chrysler Automobiles N.V.Stellantismotor vehiclesaccounting fraud or deficiencies2019$40,000,000
Herbalife Nutrition Ltd.Herbalifefood productsaccounting fraud or deficiencies2019$20,000,000
Comscore, Inc.ComScoreinformation servicesaccounting fraud or deficiencies2019$5,000,000
NissanNissanmotor vehiclesaccounting fraud or deficiencies2019$15,000,000
Marvell Technology Group, Ltd.Marvell Technologyelectrical and electronic equipmentaccounting fraud or deficiencies2019$5,500,000
Deloitte Touche Tohmatsu Certified Public Accountants LimitedDeloittebusiness servicesaccounting fraud or deficiencies2015$500,000
Ernst & Young Hua Ming LLPErnst & Youngbusiness servicesaccounting fraud or deficiencies2015$500,000
KPMG HuazhenKPMGbusiness servicesaccounting fraud or deficiencies2015$500,000
PricewaterhouseCoopers Zhong Tian CPAs Limited CompanyPricewaterhouseCoopersbusiness servicesaccounting fraud or deficiencies2015$500,000
Iconix Brand Group Inc.Iconix Brand Groupapparelaccounting fraud or deficiencies2019$5,500,000
MiMedx Group Inc.MiMedx Group, Incmedical equipment and suppliesaccounting fraud or deficiencies2019$1,500,000
Hill International, Inc. accounting fraud or deficiencies2020$500,000
BorgWarner Inc.BorgWarnerautomotive partsaccounting fraud or deficiencies2020$950,000
Super Micro Computer, Inc.Super Micro Computer Inc.electrical and electronic equipmentaccounting fraud or deficiencies2020$17,500,000
Bausch HealthBausch Healthpharmaceuticalsaccounting fraud or deficiencies2020$45,000,000
The Cheesecake Factory IncorporatedCheesecake Factoryrestaurants and foodserviceaccounting fraud or deficiencies2020$125,000
Andeavor LLCMarathon Petroleumoil and gasaccounting fraud or deficiencies2020$20,000,000
Hilton Worldwide Holdings Inc.Hilton Worldwidehotelsaccounting fraud or deficiencies2020$600,000
HP Inc.HP Inc.electrical and electronic equipmentaccounting fraud or deficiencies2020$6,000,000
Interface Inc. accounting fraud or deficiencies2020$5,000,000
BMW AGBMWmotor vehiclesaccounting fraud or deficiencies2020$18,000,000
Power Solutions International Inc. accounting fraud or deficiencies2020$1,700,000
Revolution Lighting Technologies Inc. accounting fraud or deficiencies2020$1,250,000
RPM International Inc.RPM Internationalchemicalsaccounting fraud or deficiencies2020$2,022,500
Luckin Coffee Inc. accounting fraud or deficiencies2020$180,000,000
General Electric Co.General Electricdiversifiedaccounting fraud or deficiencies2020$200,000,000
Kraft Heinz CompanyKraft Heinzfood productsaccounting fraud or deficiencies2021$62,000,000
Healthcare Services Group, Inc.Healthcare Services Group Inc.business servicesaccounting fraud or deficiencies2021$6,000,000
Ernst & Young LLPErnst & Youngbusiness servicesaccounting fraud or deficiencies2021$10,000,000
Tandy Leather Factory Inc. accounting fraud or deficiencies2021$200,000
TIAA-CREF Individual & Institutional Services LLCTIAAfinancial servicesaccounting fraud or deficiencies2021$97,000,000
Baxter International Inc.Baxter Internationalmedical equipment and suppliesaccounting fraud or deficiencies2022$18,000,000
CohnReznick LLP accounting fraud or deficiencies2022$1,900,000
United Health Products, Inc. accounting fraud or deficiencies2022$450,000
Rollins Inc.Rollins Inc.miscellaneous servicesaccounting fraud or deficiencies2022$8,000,000
Granite Construction, IncorporatedGranite Constructionconstruction and engineeringaccounting fraud or deficiencies2022$12,000,000
Mattel Inc.Mattelmiscellaneous manufacturingaccounting fraud or deficiencies2022$3,500,000
RSM US LLP accounting fraud or deficiencies2022$3,750,000
Deloitte Touche Tohmatsu Certified Public Accountants LLP (Deloitte-China)Deloittebusiness servicesaccounting fraud or deficiencies2022$20,000,000
Evoqua Water Technologies Corp.Xylemmiscellaneous servicesaccounting fraud or deficiencies2023$8,500,000
DXC Technology CompanyDXC Technologyinformation technologyaccounting fraud or deficiencies2023$8,000,000
Vale S.A.Vale S.A.mining and mineralsaccounting fraud or deficiencies2023$55,900,000
Boyle CP LLC accounting fraud or deficiencies2023$50,000
Marcum LLP accounting fraud or deficiencies2023$10,000,000
Crowe U.K. LLP accounting fraud or deficiencies2023$750,000
Fluor CorporationFluorconstruction and engineeringaccounting fraud or deficiencies2023$14,500,000
Newell Brands Inc.Newell Brandshousewares and home furnishingsaccounting fraud or deficiencies2023$12,500,000
Charter Communications Inc.Charter Communicationstelecommunicationsaccounting fraud or deficiencies2023$25,000,000
Royal Bank of CanadaRoyal Bank of Canadafinancial servicesaccounting fraud or deficiencies2023$6,000,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.