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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 TypeYearPenalty Amount sort icon
Putnam Investment Management, LLCFranklin Resourcesfinancial servicesinvestor protection violation2005$40,000,001
Evergreen Investment Management Company LLCWells Fargofinancial servicesinvestor protection violation2009$40,000,000
Fred Alger Management, Inc.Alger Associatesfinancial servicesinvestor protection violation2007$40,000,000
Goldman, Sachs & Co.Goldman Sachsfinancial servicesinvestor protection violation2005$40,000,000
Morgan Stanley & Co.Morgan Stanleyfinancial servicesinvestor protection violation2005$40,000,000
Fiat Chrysler Automobiles N.V.Stellantismotor vehiclesaccounting fraud or deficiencies2019$40,000,000
Grupo Aval Acciones y Valores S.A. Foreign Corrupt Practices Act2023$40,000,000
Ritchie Multi-Strategy Global Trading Ltd. and Ritchie Capital Management LLC investor protection violation2008$39,900,000
VALIC Financial Advisors Inc.American International Groupfinancial servicesinvestor protection violation2020$39,900,000
First Eagle Investment Management and FEF Distributors investor protection violation2015$39,748,260
ABB Ltd.ABB Ltd.utilities and power generationForeign Corrupt Practices Act2010$39,300,000
Blackstone GroupBlackstoneprivate equity (including portfolio companies)investor protection violation2015$39,000,000
Akazoo S.A. investor protection violation2021$38,800,000
Citibank N.A.Citigroupfinancial servicesinvestor protection violation2018$38,700,000
BMO Harris Financial Advisors Inc. and BMO Asset Management Corp.Bank of Montrealfinancial servicesinvestor protection violation2019$37,980,000
Navellier & Associates, Inc. investor protection violation2020$37,478,190
Bio Defense Corp. investor protection violation2019$37,475,717
Tri Energy, Inc. fraud2009$37,048,466
Wachovia CorporationWells Fargofinancial servicesinvestor protection violation2004$37,000,000
Symbol Technologies, Inc.Zebra Technologieselectrical and electronic equipmentaccounting fraud or deficiencies2004$37,000,000
Veras Capital Master Fund, VEY Partners Master Fund and Veras Investment Partners, LLC investor protection violation2005$36,200,488
Banc of America Securities LLCBank of Americafinancial servicesprice-fixing or anti-competitive practices2010$36,096,442
Archer-Daniels-Midland CompanyArcher Daniels MidlandagribusinessForeign Corrupt Practices Act2013$36,000,000
State Street Bank and Trust CompanyState Street Corp.financial servicesinvestor protection violation2017$35,300,000
Banca IMI Securities Corp.Intesa Sanpaolofinancial servicesinvestor protection violation2017$35,300,000
Barclays Capital Inc.Barclaysfinancial servicesinvestor protection violation2016$35,000,000
OppenheimerFunds Inc.Invescofinancial servicesinvestor protection violation2012$35,000,000
F-Squared Investments investor protection violation2014$35,000,000
Nortel Networks Corporation accounting fraud or deficiencies2007$35,000,000
Cardinal Health, Inc.Cardinal Healthwholesalersaccounting fraud or deficiencies2007$35,000,000
Altaba Inc. investor protection violation2018$35,000,000
Wells Fargo Clearing Services and Wells Fargo Advisors Financial NetworkWells Fargofinancial servicesinvestor protection violation2020$35,000,000
International Investment Group, LLC investor protection violation2020$35,000,000
J.P. Morgan Securities LLCJPMorgan Chasefinancial servicesinvestor protection violation2020$35,000,000
Morgan Stanley Smith Barney LLCMorgan Stanleyfinancial servicesinvestor protection violation2022$35,000,000
Sparkster Ltd investor protection violation2022$35,000,000
Activision Blizzard Inc.Microsoftinformation technologyinvestor protection violation2023$35,000,000
BNP Paribas Securities Corp.BNP Paribasfinancial servicesinvestor protection violation2023$35,000,000
SG Americas Securities, LLCSociete Generalefinancial servicesinvestor protection violation2023$35,000,000
Wells Fargo Clearing Services LLCWells Fargofinancial servicesinvestor protection violation2023$35,000,000
Interactive Brokers Corp.Interactive Brokers Groupfinancial servicesinvestor protection violation2023$35,000,000
Empires Consulting Corp. investor protection violation2023$34,839,951
Legg Mason Inc.Franklin Resourcesfinancial servicesForeign Corrupt Practices Act2018$34,500,000
Walgreens Boots Alliance Inc.Walgreens Boots Allianceretailinginvestor protection violation2018$34,500,000
Bank of America CorporationBank of Americafinancial servicesinvestor protection violation2009$33,000,000
Baker Hughes IncorporatedBaker Hughesoilfield services and suppliesForeign Corrupt Practices Act2007$33,000,000
Robertson Stephens Inc. investor protection violation2003$33,000,000
Prudential Financial Inc.Prudential Financialfinancial servicesinvestor protection violation2019$32,600,000
Evergreen Investment Management CompanyWells Fargofinancial servicesinvestor protection violation2007$32,500,000
U.S. Bancorp Piper Jaffray Inc.Piper Sandlerfinancial servicesinvestor protection violation2003$32,500,000
Hewlett-PackardHP Inc.electrical and electronic equipmentForeign Corrupt Practices Act2014$31,500,000
Magyar Telekom PlcDeutsche TelekomtelecommunicationsForeign Corrupt Practices Act2011$31,200,000
RBC Capital Markets LLCRoyal Bank of Canadafinancial servicesinvestor protection violation2011$30,400,000
City National Rochdale, LLC investor protection violation2022$30,361,803
Kohlberg Kravis Roberts & Co.KKR & Co.private equity (including portfolio companies)investor protection violation2015$30,000,000
W.P. Carey & Co.W.P. Carey Inc.real estateaccounting fraud or deficiencies2008$30,000,000
Chevron CorporationChevronoil and gasForeign Corrupt Practices Act2007$30,000,000
Ameriprise Financial, Inc.Ameriprise Financialfinancial servicesinvestor protection violation2005$30,000,000
Mylan N.V.Viatrispharmaceuticalsinvestor protection violation2019$30,000,000
Payward Ventures, Inc. and Payward Trading Ltd. investor protection violation2023$30,000,000
BitClave PTE Ltd investor protection violation2020$29,744,197
Credit Suisse Group AGUBSfinancial servicesForeign Corrupt Practices Act2018$29,700,000
Eli Lilly and CompanyEli LillypharmaceuticalsForeign Corrupt Practices Act2012$29,398,734
Halliburton CompanyHalliburtonoilfield services and suppliesForeign Corrupt Practices Act2017$29,200,000
Vuuzle Media Corp. et al. investor protection violation2023$28,599,662
Option One Mortgage CorporationOcwen Financialfinancial servicestoxic securities abuses2012$28,200,000
Stericycle, Inc.Stericyclewaste management and environmental servicesForeign Corrupt Practices Act2022$28,200,000
Pequot Capital Management, Inc. investor protection violation2010$28,000,000
Mercury Interactive, LLC accounting fraud or deficiencies2007$28,000,000
Rio Tinto PLCRio Tintomining and mineralsinvestor protection violation2023$28,000,000
ClearPath Wealth Management, LLC investor protection violation2024$27,130,905
A.C.L.N. Ltd. and Scandinavian Car Carriers investor protection violation2004$27,000,000
JBS S.A.JBSfood productsForeign Corrupt Practices Act2020$27,000,000
UBS Financial Services Inc. of Puerto RicoUBSfinancial servicesinvestor protection violation2012$26,600,000
Stiefel Laboratories Inc. investor protection violation2020$26,510,000
Nomura Securities International Inc.Nomurafinancial servicesinvestor protection violation2019$26,400,000
Pfizer Inc.PfizerpharmaceuticalsForeign Corrupt Practices Act2012$26,339,944
PaineWebber IncorporatedUBSfinancial servicesinvestor protection violation2000$26,200,000
Success Trade, Inc. and Success Trade Securities, Inc. investor protection violation2015$26,158,214
Clear Channel Outdoor Holdings Inc.Clear Channel Outdoor Holdingsbusiness servicesForeign Corrupt Practices Act2023$26,100,000
Banc of America Securities LLCBank of Americafinancial servicesfraud2007$26,000,000
Lordstown Motors Corp.Lordstown Motorsmotor vehiclesinvestor protection violation2024$25,500,000
SanofiSanofipharmaceuticalsForeign Corrupt Practices Act2018$25,200,000
Jefferies LLCJefferies Financial Groupdiversifiedinvestor protection violation2014$25,000,000
Novartis AGNovartispharmaceuticalsForeign Corrupt Practices Act2016$25,000,000
BHP BillitonBHP Groupmining and mineralsForeign Corrupt Practices Act2015$25,000,000
Diebold, Inc.Diebold Nixdorfmiscellaneous manufacturingaccounting fraud or deficiencies2010$25,000,000
ICAP plcCME Groupfinancial servicesinvestor protection violation2009$25,000,000
Zurich Financial ServicesZurich Insurancefinancial servicesaccounting fraud or deficiencies2008$25,000,000
The BISYS GroupCitigroupfinancial servicesaccounting fraud or deficiencies2007$25,000,000
Motorola Inc.Motorola Solutionstelecommunicationsaccounting fraud or deficiencies2007$25,000,000
Doral Financial Corporation accounting fraud or deficiencies2006$25,000,000
RS Investment Management L.P. investor protection violation2004$25,000,000
Lucent Technologies Inc.Nokiatelecommunicationsaccounting fraud or deficiencies2004$25,000,000
J.P. Morgan Securities Inc.JPMorgan Chasefinancial servicesinvestor protection violation2003$25,000,000
UBS Financial Services Inc.UBSfinancial servicesinvestor protection violation2022$25,000,000
BMO Capital Markets CorpBank of Montrealfinancial servicesinvestor protection violation2023$25,000,000
Mizuho Securities USA LLCMizuho Financialfinancial servicesinvestor protection violation2023$25,000,000
Hyzon Motors Inc. fraud2023$25,000,000
DWS Investment Management Americas Inc.Deutsche Bankfinancial servicesinvestor protection violation2023$25,000,000
Charter Communications Inc.Charter Communicationstelecommunicationsaccounting fraud or deficiencies2023$25,000,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.