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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
TMC Bonds LLC privacy violation2019$2,100,000
TLC Investments & Trade Co. investor protection violation2001$106,600,000
TL Ventures Inc illicit political contributions2014$294,894
TJM Proprietary Trading LLC investor protection violation2009$541,000
Titan Global Capital Management USA LLC investor protection violation2023$1,042,454
Titan Fund Management, LLC investor protection violation2022$95,000
Time Warner Inc. accounting fraud or deficiencies2005$300,000,000
Tilden Loucks & Woodnorth and LLC, Lasalle St. Securities, LLC investor protection violation2012$200,000
Tiffany Capital Advisors, Inc. investor protection violation2001$40,000
Tierion, Inc. investor protection violation2020$250,000
Tier One, Inc. investor protection violation2007$85,500
Tidewater Inc.Tidewater Inc.miscellaneous servicesForeign Corrupt Practices Act2010$8,321,362
Tiber Creek Corp. investor protection violation2019$209,797
TIAA-CREF Individual & Institutional Services, LLCTIAAfinancial servicesinvestor protection violation2019$2,395,722
TIAA-CREF Individual & Institutional Services LLCTIAAfinancial servicesaccounting fraud or deficiencies2021$97,000,000
TIAA-CREF Individual & Institutional Services LLCTIAAfinancial servicesinvestor protection violation2024$2,200,000
Three Bridge Wealth Advisors, LLC investor protection violation2019$60,000
Thoroughbred Financial Services, LLC investor protection violation2018$1,108,618
Thor Technologies, Inc. investor protection violation2023$1,053,193
Thor Industries Inc.Thor Industriesmotor vehiclesaccounting fraud or deficiencies2011$1,000,000
Thompson Price Holding Inc. investor protection violation2009$288,815
Thompson Consulting Inc. investor protection violation2010$400,000
Thomas Weisel Partners LLCStifel Financialfinancial servicesinvestor protection violation2004$12,500,000
THL Managers V, LLC and THL Managers VI, LLC investor protection violation2018$6,506,016
TherapeuticsMD Inc. investor protection violation2019$200,000
Theorem Fund Services LLC investor protection violation2023$122,271
The Winning Edge Financial Group, Inc. investor protection violation2022$10,000
The Titan CorporationL3Harris Technologiesaerospace and military contractingForeign Corrupt Practices Act2005$15,500,000
The Phoenix Companies, Inc. investor protection violation2014$100,000
The Phoenix Companies, Inc. investor protection violation2014$375,000
The Parrish Group, LLC investor protection violation2019$184,767
The Options Clearing Corporation investor protection violation2019$15,000,000
The Options Clearing Corporation investor protection violation2023$17,000,000
The Northern Trust CompanyNorthern Trustfinancial servicesinvestor protection violation2015$60,000
The Marquie Group Inc. investor protection violation2023$10,000
The Lighthouse Events, LLC investor protection violation2020$3,381,686
The Legal Funding Group of Georgia, LLC investor protection violation2022$37,500
The Huntington Investment Company investor protection violation2019$207,946
The Hartcourt Companies, Inc. fraud2005$832,598
The Globus Group investor protection violation2001$300,000
The Gaming Factory, Inc. investor protection violation2003$2,100,102
The Frazer Lanier Company, Incorporated investor protection violation2015$100,000
The Eideard Group, LLC investor protection violation2023$80,000
The Dun & Bradstreet CorporationDun & Bradstreetinformation technologyForeign Corrupt Practices Act2018$9,221,484
The Dow Chemical CompanyDow Inc.chemicalsinvestor protection violation2018$1,750,000
The Cheesecake Factory IncorporatedCheesecake Factoryrestaurants and foodserviceaccounting fraud or deficiencies2020$125,000
The Cavanaugh Group Inc. investor protection violation2021$50,000
The Buckingham Research Group, Inc. and Buckingham Capital Management investor protection violation2010$125,000
The BISYS GroupCitigroupfinancial servicesaccounting fraud or deficiencies2007$25,000,000
The Bank Of New YorkBank of New York Mellonfinancial servicesinvestor protection violation2007$750,000
The Bancorp, Inc. investor protection violation2019$1,400,000
The Bancorp, Inc. investor protection violation2022$1,750,000
The Banc Funds Company investor protection violation2017$75,000
The Baker Group, LP investor protection violation2015$250,000
Thakkar CPA, PLLC investor protection violation2016$359,487
Textron Inc.Textronaerospace and military contractingForeign Corrupt Practices Act2007$3,535,040
Texon Energy Corp. and Lonestar Petroleum Corp. investor protection violation2002$1,268,253
Texas Coastal Energy Company investor protection violation2018$7,200,000
Teva Pharmaceutical Industries LimitedTeva Pharmaceutical IndustriespharmaceuticalsForeign Corrupt Practices Act2016$236,000,000
Tesla Inc.Tesla Inc.motor vehiclesinvestor protection violation2018$20,000,000
Terex CorporationTerexheavy equipmentaccounting fraud or deficiencies2009$8,000,000
Tenet Healthcare CorporationTenet Healthcarehealthcare servicesinvestor protection violation2007$10,000,000
Tenaris S.A.TechintdiversifiedForeign Corrupt Practices Act2011$5,400,000
TenarisTechintdiversifiedForeign Corrupt Practices Act2022$78,000,000
Temple Securities, Ltd. investor protection violation2007$268,346
Tellone Management Group, Inc. investor protection violation2017$75,000
Telia Company ABTelia Company ABtelecommunicationsForeign Corrupt Practices Act2017$457,000,000
TelexElectric, LLLP investor protection violation2018$2,022,239
Telex Mobile Holdings, Inc. investor protection violation2018$500,870
Telegram Group Inc. investor protection violation2020$18,500,000
Telefonica Brasil S.A. Foreign Corrupt Practices Act2019$4,124,000
Tel-Instrument Electronics Corp. investor protection violation2014$75,000
TechnipFMC plcTechnipFMCoilfield services and suppliesForeign Corrupt Practices Act2019$5,061,906
Technip S.A.TechnipFMCoilfield services and suppliesForeign Corrupt Practices Act2010$98,000,000
TeamVinh.com LLC investor protection violation2017$2,681,072
TD Waterhouse Investor Services, Inc.Toronto-Dominion Bankfinancial servicesinvestor protection violation2004$2,000,000
TD Securities (USA) LLCToronto-Dominion Bankfinancial servicesinvestor protection violation2016$500,000
TD Securities (USA) LLCToronto-Dominion Bankfinancial servicesinvestor protection violation2022$152,955
TD Options LLCToronto-Dominion Bankfinancial servicesinvestor protection violation2009$1,000,000
TD BankToronto-Dominion Bankfinancial servicesinvestor protection violation2013$15,000,000
TD Ameritrade, Inc.Charles Schwab Corp.financial servicesinvestor protection violation2018$500,000
TD Ameritrade Inc.Charles Schwab Corp.financial servicesinvestor protection violation2011$10,000,000
TD AmeritradeCharles Schwab Corp.financial servicesinvestor protection violation2014$100,800
TCMP3 Partners L.P., TCMP3 Capital LLC, and Titan Capital Management, LLC investor protection violation2007$1,045,060
TBG Holdings Corporation investor protection violation2022$100,000
Taronis Technologies, Inc. investor protection violation2022$5,107,900
Tangoe Inc.Tangoe Inc.information technologyaccounting fraud or deficiencies2018$1,500,000
Tandy Leather Factory Inc. accounting fraud or deficiencies2021$200,000
TALX CorporationEquifaxmiscellaneous servicesaccounting fraud or deficiencies2005$2,500,000
Talkot Capital investor protection violation2013$84,537
Talimco, LLC investor protection violation2019$399,000
TAL Education Group investor protection violation2023$1,250,000
Take-Two Interactive Software, Inc.Take-Two Interactive Software Inc.entertainmentaccounting fraud or deficiencies2009$3,000,000
Take-Two Interactive Software, Inc.Take-Two Interactive Software Inc.entertainmentaccounting fraud or deficiencies2005$7,500,000
Taglich Brothers, Inc. investor protection violation2004$50,000
TAC International Ltd. fraud2001$11,548,454
Taberna Capital Management investor protection violation2015$21,500,000
Syndicated Capital, Inc. investor protection violation2019$38,991
Syncor International Corporation Foreign Corrupt Practices Act2002$500,000
Synchronoss Technologies, Inc.Synchronoss Technologiesinformation technologyinvestor protection violation2022$12,500,000
Symbol Technologies, Inc.Zebra Technologieselectrical and electronic equipmentaccounting fraud or deficiencies2004$37,000,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.