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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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Company sort iconCurrent ParentCurrent Parent IndustryPrimary Offense TypeYearPenalty Amount
Up Global SEZC investor protection violation2023$3,520,000
Universal Travel Group accounting fraud or deficiencies2013$750,000
Universal Electronics Inc.Universal Electronics Inc.electrical and electronic equipmentinvestor protection violation2014$75,000
Universal Corporation Inc.Universal CorporationtobaccoForeign Corrupt Practices Act2010$4,500,000
United Technologies CorporationRTX Corporationaerospace and military contractingForeign Corrupt Practices Act2018$13,900,000
United Stock Transfer Inc. investor protection violation2001$10,000
United States Oil Fund LP and United States Commodity Funds LLC investor protection violation2021$1,250,000
United Rentals, IncUnited Rentalsmiscellaneous servicesaccounting fraud or deficiencies2008$14,000,000
United Industrial Corporation investor protection violation2009$337,679
United Health Products, Inc. accounting fraud or deficiencies2022$450,000
United Global Securities, Inc. investor protection violation2009$25,000
United Bankers' Bank investor protection violation2016$160,000
United American Ventures, LLC investor protection violation2012$9,079,372
United AirlinesUnited Airlines Holdingsairlinesaccounting fraud or deficiencies2016$2,400,000
Unikrn Inc. investor protection violation2020$6,100,000
Unified Fund Services, Inc. investor protection violation2006$125,000
Uni-Pixel Inc. investor protection violation2016$750,000
Under Armour Inc.Under Armourapparelinvestor protection violation2021$9,000,000
Umbrella Research, LLC investor protection violation2017$16,676
UMB Bank N.A. Investment Banking DivisionUMB Financial Corp.financial servicesinvestor protection violation2015$420,000
UBS Willow Management LLC and UBS Fund Advisor LLCUBSfinancial servicesinvestor protection violation2015$17,500,000
UBS Warburg LLCUBSfinancial servicesinvestor protection violation2003$80,000,000
UBS Securities LLC and UBS Financial Services Inc.UBSfinancial servicesinvestor protection violation2022$125,000,000
UBS Securities LLCUBSfinancial servicesinvestor protection violation2015$14,400,000
UBS Securities LLCUBSfinancial servicesinvestor protection violation2011$8,000,000
UBS Securities LLCUBSfinancial servicesinvestor protection violation2005$700,000
UBS SecuritiesUBSfinancial servicestoxic securities abuses2013$50,000,000
UBS PaineWebber, Inc.UBSfinancial servicesinvestor protection violation2003$500,000
UBS O'Connor, LLCUBSfinancial servicesinvestor protection violation2013$5,297,716
UBS Global Asset ManagementUBSfinancial servicesinvestor protection violation2012$300,000
UBS Financial Services, Inc.UBSfinancial servicesinvestor protection violation2017$3,500,000
UBS Financial Services Inc. of Puerto RicoUBSfinancial servicesinvestor protection violation2015$15,000,000
UBS Financial Services Inc. of Puerto RicoUBSfinancial servicesinvestor protection violation2012$26,600,000
UBS Financial Services Inc.UBSfinancial servicesinvestor protection violation2004$4,621,768
UBS Financial Services Inc.UBSfinancial servicesinvestor protection violation2015$480,000
UBS Financial Services Inc.UBSfinancial servicesinvestor protection violation2018$5,000,000
UBS Financial Services Inc.UBSfinancial servicesinvestor protection violation2020$10,000,000
UBS Financial Services Inc.UBSfinancial servicesinvestor protection violation2021$8,112,174
UBS Financial Services Inc.UBSfinancial servicesinvestor protection violation2022$25,000,000
UBS Financial Services Inc.UBSfinancial servicesinvestor protection violation2022$925,000
UBS Financial ServicesUBSfinancial servicesinvestor protection violation2014$56,400
UBS Financial ServicesUBSfinancial servicesinvestor protection violation2016$15,025,882
UBS AGUBSfinancial servicesinvestor protection violation2015$19,500,000
UBS AGUBSfinancial servicestax violations2009$200,000,000
UASNM, Inc. investor protection violation2014$100,000
U.S. Wind Farming, Inc. investor protection violation2006$38,487
U.S. Pension Trust Corp. and U.S. College Trust Corp.U.S. Pension Trust Corp.financial servicesinvestor protection violation2010$112,600,000
U.S. Gas & Electric, Inc. investor protection violation2006$167,000
U.S. Bank National AssociationU.S. Bancorpfinancial servicesinvestor protection violation2005$500,000
U.S. Bank Municipal Securities GroupU.S. Bancorpfinancial servicesinvestor protection violation2015$60,000
U.S. Bancorp Piper Jaffray Inc.Piper Sandlerfinancial servicesinvestor protection violation2003$32,500,000
U.S. Bancorp Piper Jaffray Inc.Piper Sandlerfinancial servicesdata submission deficiencies2002$1,650,000
U.S. Bancorp Piper Jaffray Inc.Piper Sandlerfinancial servicesinvestor protection violation2002$100,000
U.S. Bancorp Investments Inc.U.S. Bancorpfinancial servicesinvestor protection violation2024$8,000,000
U.S. Bancorp Investments, Inc.U.S. Bancorpfinancial servicesinvestor protection violation2020$15,992,441
tZERO ATS, LLC investor protection violation2022$800,000
Tyson Foods, Inc.Tyson Foodsfood productsaccounting fraud or deficiencies2005$1,500,000
Tyson Foods Inc.Tyson Foodsfood productsForeign Corrupt Practices Act2011$5,000,000
Tyco International Ltd.Johnson Controlsautomotive partsForeign Corrupt Practices Act2012$13,131,509
Tyco International Ltd.Johnson Controlsautomotive partsaccounting fraud or deficiencies2006$50,000,000
Two Triangle Consulting Group, LLC d/b/a Goldman Small Cap Research investor protection violation2021$83,582
Two Point Capital Management, Inc. investor protection violation2022$75,000
Tupperware Brands CorporationTupperware Brandshousewares and home furnishingsinvestor protection violation2022$900,000
TSP Capital Management Group, LLC investor protection violation2020$60,000
TruTankless, Inc. investor protection violation2021$25,000
Trustcore Financial Services, LLC investor protection violation2019$422,261
Trust Advisory Group, Ltd. investor protection violation2022$214,460
Trust & Investment Advisors, Inc. investor protection violation2015$50,000
True Link Financial Advisors, LLC investor protection violation2022$200,000
True Capital Management, LLC investor protection violation2023$821,793
Trowbridge Capital Partners LLC investor protection violation2023$60,000
Troubh Partners investor protection violation2014$408,710
Trinity Capital Corporation accounting fraud or deficiencies2015$1,500,000
Trinad Management, LLC investor protection violation2014$95,000
Tri-Star Advisors, Inc. investor protection violation2015$150,000
Tri Energy, Inc. fraud2009$37,048,466
TRH Financial LLC investor protection violation2017$35,000
TrendsGroup International, Inc. investor protection violation2003$445,691
Trends Investments Inc. investor protection violation2023$4,007,027
Transocean Inc.Transoceanoilfield services and suppliesForeign Corrupt Practices Act2010$7,265,080
Transamerica Financial Advisors, Inc.Aegonfinancial servicesinvestor protection violation2019$6,023,072
Transamerica Financial AdvisorsAegonfinancial servicesinvestor protection violation2014$1,107,248
Transamerica Asset Management, Inc.Aegonfinancial servicesinvestor protection violation2020$5,946,782
Train, Babcock Advisors LLC investor protection violation2017$1,700,725
Tradition Securities and Derivatives, LLC investor protection violation2021$1,787,459
Tradier Brokerage Inc. investor protection violation2021$50,000
TradeZero America, Inc. investor protection violation2022$100,000
TradeZero America Inc. investor protection violation2022$100,000
TradeStation Securities, Inc. investor protection violation2022$425,000
TradeStation Crypto, Inc. investor protection violation2024$1,500,000
Tradenet Capital Markets Ltd. investor protection violation2020$130,000
Tradebot Systems Inc. investor protection violation2014$50,000
Tradamax Group, Inc. fraud2002$149,408
TPG Capital Advisors, LLCTPG Capitalprivate equity (including portfolio companies)investor protection violation2017$12,487,620
TPG CapitalTPG Capitalprivate equity (including portfolio companies)investor protection violation2001$50,000
TPG Advisors LLC investor protection violation2016$328,437
Touradji Capital Management, L.P. investor protection violation2011$1,303,336
Total, S.A.TotalEnergies SEoil and gasForeign Corrupt Practices Act2013$153,000,000
TokenLot LLC investor protection violation2018$478,929
Toews Corporation investor protection violation2022$150,000
TMC Bonds LLC privacy violation2019$2,100,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.