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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 Industry sort iconPrimary Offense TypeYearPenalty Amount
Smith & Nephew PLCSmith & Nephewmedical equipment and suppliesForeign Corrupt Practices Act2012$5,400,000
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
Osiris TherapeuticsSmith & Nephewmedical equipment and suppliesaccounting fraud or deficiencies2017$1,500,000
Stryker Corp.Strykermedical equipment and suppliesForeign Corrupt Practices Act2018$7,800,000
MiMedx Group Inc.MiMedx Group, Incmedical equipment and suppliesaccounting fraud or deficiencies2019$1,500,000
Dentsply Sirona Inc.Dentsply Sironamedical equipment and suppliesinvestor protection violation2020$1,000,000
Baxter International Inc.Baxter Internationalmedical equipment and suppliesaccounting fraud or deficiencies2022$18,000,000
Standard & Poor's Ratings ServicesS&P Globalinformation technologytoxic securities abuses2015$58,000,000
PTC Inc.PTC Inc.information technologyForeign Corrupt Practices Act2016$13,622,000
SAP SESAPinformation technologyForeign Corrupt Practices Act2016$3,700,000
Oracle CorporationOracleinformation technologyForeign Corrupt Practices Act2012$2,000,000
International Business Machines Corp.IBM Corp.information technologyForeign Corrupt Practices Act2011$10,000,000
Akamai TechnologiesAkamai Technologiesinformation technologyForeign Corrupt Practices Act2016$671,885
Computer Sciences CorporationDXC Technologyinformation technologyaccounting fraud or deficiencies2015$190,000,000
NIC Inc.Tyler Technologiesinformation technologyaccounting fraud or deficiencies2011$500,000
Faro Technologies, Inc.Faro Technologiesinformation technologyForeign Corrupt Practices Act2008$439,637
International Business MachinesIBM Corp.information technologyaccounting fraud or deficiencies2007$7,000,000
Siebel Systems, Inc.Oracleinformation technologyinvestor protection violation2002$250,000
International Business Machines CorporationIBM Corp.information technologyForeign Corrupt Practices Act2000$300,000
Jack Henry & Associates, Inc.Jack Henry & Associatesinformation technologyaccounting fraud or deficiencies2016$780,000
The Dun & Bradstreet CorporationDun & Bradstreetinformation technologyForeign Corrupt Practices Act2018$9,221,484
Moody's Investors Service, Inc.Moody'sinformation technologyinvestor protection violation2018$1,250,000
Moody's Investors Service, Inc.Moody'sinformation technologyinvestor protection violation2018$15,000,000
Tangoe Inc.Tangoe Inc.information technologyaccounting fraud or deficiencies2018$1,500,000
Cognizant Technology Solutions CorporationCognizant Technology Solutionsinformation technologyForeign Corrupt Practices Act2019$6,000,000
Facebook Inc.Meta Platforms Inc.information technologyinvestor protection violation2019$100,000,000
Microsoft CorporationMicrosoftinformation technologyForeign Corrupt Practices Act2019$16,565,150
Bloomberg Tradebook LLCBloomberginformation technologyinvestor protection violation2020$5,000,000
S&P Dow Jones Indices LLCS&P Globalinformation technologyinvestor protection violation2021$9,000,000
Pearson plcPearsoninformation technologyprivacy violation2021$1,000,000
Paycom Software, Inc.Paycom Softwareinformation technologyinvestor protection violation2021$250,000
Synchronoss Technologies, Inc.Synchronoss Technologiesinformation technologyinvestor protection violation2022$12,500,000
S&P Global RatingsS&P Globalinformation technologyinvestor protection violation2022$2,500,000
Oracle CorporationOracleinformation technologyForeign Corrupt Practices Act2022$23,000,000
Bloomberg Finance L.P.Bloomberginformation technologyinvestor protection violation2023$5,000,000
Activision Blizzard Inc.Microsoftinformation technologyinvestor protection violation2023$35,000,000
Blackbaud Inc.Blackbaudinformation technologyinvestor protection violation2023$3,000,000
DXC Technology CompanyDXC Technologyinformation technologyaccounting fraud or deficiencies2023$8,000,000
Gartner, Inc.Gartnerinformation technologyForeign Corrupt Practices Act2023$2,456,764
SAP SESAPinformation technologyForeign Corrupt Practices Act2024$98,400,000
Comscore, Inc.ComScoreinformation servicesaccounting fraud or deficiencies2019$5,000,000
Rockwell Automation Inc.Rockwell Automationindustrial equipmentForeign Corrupt Practices Act2011$2,761,091
ITT CorporationITT Inc.industrial equipmentForeign Corrupt Practices Act2009$1,678,650
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
Ingersoll-Rand Company Ltd.Ingersoll Randindustrial equipmentForeign Corrupt Practices Act2007$4,220,987
Flowserve CorporationFlowserveindustrial equipmentinvestor protection violation2005$350,000
UQM Technologies, Inc.Danfossindustrial equipmentinvestor protection violation2019$500,000
Belden Inc.Beldenindustrial equipmentinvestor protection violation2020$650,000
Lumber Liquidators Holdings Inc.LL Flooring Holdingshousewares and home furnishingsinvestor protection violation2019$6,000,000
Tupperware Brands CorporationTupperware Brandshousewares and home furnishingsinvestor protection violation2022$900,000
Newell Brands Inc.Newell Brandshousewares and home furnishingsaccounting fraud or deficiencies2023$12,500,000
Mead Johnson Nutrition CompanyReckitt Benckiserhousehold and personal care productsForeign Corrupt Practices Act2015$12,000,000
Nature's Sunshine Products Inc.Nature's Sunshine Productshousehold and personal care productsForeign Corrupt Practices Act2009$600,000
Nu Skin Enterprises, Inc.Nu Skin Enterpriseshousehold and personal care productsinvestor protection violation2016$765,688
Starwood Hotel & Resorts Worldwide, Inc.Marriott Internationalhotelsinvestor protection violation2014$75,000
Hilton Worldwide Holdings Inc.Hilton Worldwidehotelsaccounting fraud or deficiencies2020$600,000
Terex CorporationTerexheavy equipmentaccounting fraud or deficiencies2009$8,000,000
Greenbrier Companies Inc.Greenbrier Companiesheavy equipmentinvestor protection violation2023$1,000,000
Bio-Rad Laboratories Inc.Bio-Rad Laboratorieshealthcare servicesForeign Corrupt Practices Act2014$40,700,000
Health Net Inc.Centenehealthcare servicesinvestor protection violation2016$340,000
WellCare Health Plans, Inc.Centenehealthcare servicesinvestor protection violation2009$10,000,000
Tenet Healthcare CorporationTenet Healthcarehealthcare servicesinvestor protection violation2007$10,000,000
HealthSouth CorporationEncompass Healthhealthcare servicesaccounting fraud or deficiencies2005$100,000,000
Oxford Health Plans, Inc.UnitedHealth Grouphealthcare servicesaccounting fraud or deficiencies2002$250,000
Fresenius Medical Care AG & Co KGaAFresenius Medical Carehealthcare servicesForeign Corrupt Practices Act2019$147,000,000
Panalpina, Inc.DSVfreight and logisticsForeign Corrupt Practices Act2010$11,329,369
ModusLink Global Solutions Inc.Steel Connect Inc.freight and logisticsaccounting fraud or deficiencies2016$1,600,000
Con-way Inc.XPO Logisticsfreight and logisticsForeign Corrupt Practices Act2008$300,000
Overseas Shipholding GroupOverseas Shipholding Groupfreight and logisticsaccounting fraud or deficiencies2017$5,000,000
Roadrunner Transportation Systems, IncRoadrunner Transportation Systemsfreight and logisticsinvestor protection violation2023$9,635,911
Tyson Foods Inc.Tyson Foodsfood productsForeign Corrupt Practices Act2011$5,000,000
Diamond FoodsCampbell Soupfood productsaccounting fraud or deficiencies2014$5,000,000
ConAgra Foods, Inc.ConAgra Brandsfood productsaccounting fraud or deficiencies2007$45,000,000
Tyson Foods, Inc.Tyson Foodsfood productsaccounting fraud or deficiencies2005$1,500,000
Dean Foods CompanyDairy Farmers of America (DFA)food productsaccounting fraud or deficiencies2004$400,000
Chiquita Brands International, Inc.Chiquita Brands Internationalfood productsForeign Corrupt Practices Act2001$100,000
Mondelez International, Inc.Mondelez Internationalfood productsaccounting fraud or deficiencies2017$13,000,000
Omega Protein CorporationCooke Inc.food productsinvestor protection violation2019$400,000
Herbalife Nutrition Ltd.Herbalifefood productsaccounting fraud or deficiencies2019$20,000,000
Herbalife Nutrition Ltd.Herbalifefood productsForeign Corrupt Practices Act2020$67,000,000
JBS S.A.JBSfood productsForeign Corrupt Practices Act2020$27,000,000
Kraft Heinz CompanyKraft Heinzfood productsaccounting fraud or deficiencies2021$62,000,000
Barclays Capital Inc.Barclaysfinancial servicesinvestor protection violation2016$35,000,000
Credit Suisse Securities (USA) LLCUBSfinancial servicesinvestor protection violation2016$54,300,000
Goldman Sachs & Co.Goldman Sachsfinancial servicesinvestor protection violation2016$15,000,000
J.P. Morgan Securities LLCJPMorgan Chasefinancial servicesinvestor protection violation2016$4,000,000
Morgan Stanley Investment ManagementMorgan Stanleyfinancial servicesinvestor protection violation2015$8,800,000
J.P. Morgan Securities LLC and JPMorgan Chase Bank N.A.JPMorgan Chasefinancial servicesinvestor protection violation2015$267,000,000
ICBC Standard Bank PlcIndustrial and Commercial Bank of Chinafinancial servicesinvestor protection violation2015$4,200,000
UBS Willow Management LLC and UBS Fund Advisor LLCUBSfinancial servicesinvestor protection violation2015$17,500,000
UBS AGUBSfinancial servicesinvestor protection violation2015$19,500,000
UBS Financial Services Inc. of Puerto RicoUBSfinancial servicesinvestor protection violation2015$15,000,000
Credit Suisse Securities (USA) LLCUBSfinancial servicesdata submission deficiencies2015$4,250,000
Citigroup Global MarketsCitigroupfinancial servicesinvestor protection violation2015$15,000,000
Citigroup Global Markets Inc. and Citigroup Alternative Investments LLCCitigroupfinancial servicesinvestor protection violation2015$180,000,000
Edward D. Jones & Co. LPJones Financialfinancial servicesinvestor protection violation2015$20,000,000
Goldman Sachs & Co.Goldman Sachsfinancial servicesinvestor protection violation2015$7,000,000
Merrill LynchBank of Americafinancial servicesinvestor protection violation2015$10,900,000
Deutsche Bank AGDeutsche Bankfinancial servicesinvestor protection violation2015$55,000,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.