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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
Deutsche Bank AGDeutsche Bankfinancial servicesinvestor protection violation2015$55,000,000
BlackRock Advisors LLCBlackRockfinancial servicesinvestor protection violation2015$12,000,000
UBS Securities LLCUBSfinancial servicesinvestor protection violation2015$14,400,000
Morgan Stanley & Co. LLCMorgan Stanleyfinancial servicesinvestor protection violation2014$4,000,000
HSBC Private Bank (Suisse)HSBCfinancial servicesinvestor protection violation2014$12,500,000
Bank of America CorporationBank of Americafinancial servicesinvestor protection violation2014$7,650,000
Barclays Capital Inc.Barclaysfinancial servicesinvestor protection violation2014$15,000,000
Wells Fargo Advisors LLCWells Fargofinancial servicesinvestor protection violation2014$5,000,000
Morgan StanleyMorgan Stanleyfinancial servicestoxic securities abuses2014$275,000,000
Credit Suisse Group AGUBSfinancial servicesinvestor protection violation2014$196,000,000
Merrill LynchBank of Americafinancial servicestoxic securities abuses2013$131,800,000
Fifth Third BancorpFifth Third Bancorpfinancial servicesaccounting fraud or deficiencies2013$6,500,000
RBS Securities Inc.NatWest Group PLCfinancial servicestoxic securities abuses2013$153,700,000
JPMorgan & Co.JPMorgan Chasefinancial servicesaccounting fraud or deficiencies2013$200,000,000
UBS SecuritiesUBSfinancial servicestoxic securities abuses2013$50,000,000
Capital One Financial CorporationCapital One Financialfinancial servicesaccounting fraud or deficiencies2013$3,500,000
J.P. Morgan Securities LLCJPMorgan Chasefinancial servicestoxic securities abuses2012$296,900,000
Credit Suisse Securities (USA)UBSfinancial servicestoxic securities abuses2012$120,000,000
Massachusetts Mutual Life Insurance CompanyMassachusetts Mutual Life Insurancefinancial servicesinvestor protection violation2012$1,625,000
Goldman Sachs & Co.Goldman Sachsfinancial servicesillicit political contributions2012$12,000,000
Wells FargoWells Fargofinancial servicestoxic securities abuses2012$6,500,000
Mizuho Financial GroupMizuho Financialfinancial servicesinvestor protection violation2012$127,500,000
OppenheimerFunds Inc.Invescofinancial servicesinvestor protection violation2012$35,000,000
UBS Financial Services Inc. of Puerto RicoUBSfinancial servicesinvestor protection violation2012$26,600,000
Option One Mortgage CorporationOcwen Financialfinancial servicestoxic securities abuses2012$28,200,000
Goldman Sachs & Co.Goldman Sachsfinancial servicesinvestor protection violation2012$22,000,000
UBS Global Asset ManagementUBSfinancial servicesinvestor protection violation2012$300,000
Morgan Stanley Investment ManagementMorgan Stanleyfinancial servicesinvestor protection violation2011$3,300,000
UBS Securities LLCUBSfinancial servicesinvestor protection violation2011$8,000,000
CitigroupCitigroupfinancial servicestoxic securities abuses2011$285,000,000
RBC Capital Markets LLCRoyal Bank of Canadafinancial servicesinvestor protection violation2011$30,400,000
Janney Montgomery Scott LLCPenn Mutualfinancial servicesinvestor protection violation2011$850,000
Morgan Keegan & CompanyRaymond James Financialfinancial servicestoxic securities abuses2011$200,000,000
J.P. Morgan Securities LLCJPMorgan Chasefinancial servicestoxic securities abuses2011$153,600,000
Wells Fargo Securities LLCWells Fargofinancial servicestoxic securities abuses2011$11,000,000
TD Ameritrade Inc.Charles Schwab Corp.financial servicesinvestor protection violation2011$10,000,000
Charles Schwab Investment Management and Charles Schwab & Co., Inc.Charles Schwab Corp.financial servicesinvestor protection violation2011$118,000,000
Citigroup Inc.Citigroupfinancial servicestoxic securities abuses2010$75,000,000
Goldman Sachs & Co.Goldman Sachsfinancial servicestoxic securities abuses2010$550,000,000
Bank of AmericaBank of Americafinancial servicesinvestor protection violation2010$150,000,000
BNY MellonBank of New York Mellonfinancial servicesForeign Corrupt Practices Act2015$14,800,000
Allianz SEAllianzfinancial servicesForeign Corrupt Practices Act2012$12,396,423
Aon CorporationAonfinancial servicesForeign Corrupt Practices Act2011$14,545,020
State Street Bank and Trust CompanyState Street Corp.financial servicesinvestor protection violation2016$382,400,000
Citigroup Global MarketsCitigroupfinancial servicesdata submission deficiencies2016$7,000,000
Merrill LynchBank of Americafinancial servicesinvestor protection violation2016$10,000,000
Merrill LynchBank of Americafinancial servicesinvestor protection violation2016$415,000,000
Morgan Stanley Smith Barney LLCMorgan Stanleyfinancial servicesinvestor protection violation2016$1,000,000
INTL FCStoneStoneX Groupfinancial servicesaccounting fraud or deficiencies2016$150,000
KeyBanc Capital Markets Inc.KeyCorpfinancial servicesaccounting fraud or deficiencies2016$175,000
Ocwen Financial Corp.Ocwen Financialfinancial servicesaccounting fraud or deficiencies2016$2,000,000
State Street Bank and Trust CompanyState Street Corp.financial servicesillicit political contributions2016$12,000,000
J.P. Morgan Investment Management Inc.JPMorgan Chasefinancial servicesinvestor protection violation2015$1,084,210
Omega Advisors, Inc.Omega Advisorsfinancial servicesinvestor protection violation2015$134,026
Guggenheim Partners Investment Management LLCGuggenheim Partnersfinancial servicesinvestor protection violation2015$20,000,000
OZ Management LPSculptor Capital Managementfinancial servicesdata submission deficiencies2015$4,250,000
BMO Capital Markets GKST Inc.Piper Sandlerfinancial servicesinvestor protection violation2015$250,000
BNY Mellon Capital Markets, LLCBank of New York Mellonfinancial servicesinvestor protection violation2015$120,000
Citigroup Global Markets Inc.Citigroupfinancial servicesinvestor protection violation2015$500,000
Goldman, Sachs & Co.Goldman Sachsfinancial servicesinvestor protection violation2015$500,000
Hutchinson, Shockey, Erley & Co.Huntington Bancsharesfinancial servicesinvestor protection violation2015$220,000
J.P. Morgan Securities LLCJPMorgan Chasefinancial servicesinvestor protection violation2015$500,000
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBank of Americafinancial servicesinvestor protection violation2015$500,000
Morgan Stanley & Co. LLCMorgan Stanleyfinancial servicesinvestor protection violation2015$500,000
The Northern Trust CompanyNorthern Trustfinancial servicesinvestor protection violation2015$60,000
Oppenheimer & Co. Inc.Oppenheimer Holdingsfinancial servicesinvestor protection violation2015$400,000
Piper Jaffray & Co.Piper Sandlerfinancial servicesinvestor protection violation2015$500,000
Raymond James & Associates, Inc.Raymond James Financialfinancial servicesinvestor protection violation2015$500,000
RBC Capital Markets, LLCRoyal Bank of Canadafinancial servicesinvestor protection violation2015$500,000
Stifel, Nicolaus & Company, Inc.Stifel Financialfinancial servicesinvestor protection violation2015$500,000
First BancorpFirst Bancorp (North Carolina)financial servicesaccounting fraud or deficiencies2015$275,000
Nationwide Life Insurance CompanyNationwidefinancial servicesinvestor protection violation2015$8,000,000
Macquarie Capital (USA) Inc.Macquariefinancial servicesinvestor protection violation2015$15,000,000
Hampton Roads BanksharesAtlantic Union Banksharesfinancial servicesaccounting fraud or deficiencies2014$200,000
Wedbush SecuritiesWedbush Securitiesfinancial servicesinvestor protection violation2014$2,440,000
Charles Schwab & Co.Charles Schwab Corp.financial servicesinvestor protection violation2014$61,800
Interactive Brokers LLCInteractive Brokers Groupfinancial servicesinvestor protection violation2014$56,000
Investment Professionals Inc.Ameriprise Financialfinancial servicesinvestor protection violation2014$67,800
J.P. Morgan SecuritiesJPMorgan Chasefinancial servicesinvestor protection violation2014$54,000
Oppenheimer & Co.Oppenheimer Holdingsfinancial servicesinvestor protection violation2014$61,200
Stifel Nicolaus & Co.Stifel Financialfinancial servicesinvestor protection violation2014$60,000
TD AmeritradeCharles Schwab Corp.financial servicesinvestor protection violation2014$100,800
UBS Financial ServicesUBSfinancial servicesinvestor protection violation2014$56,400
Wedbush Securities Inc.Wedbush Securitiesfinancial servicesinvestor protection violation2014$67,200
E*TRADE SecuritiesMorgan Stanleyfinancial servicesinvestor protection violation2014$2,500,000
BlackRock Institutional Trust CompanyBlackRockfinancial servicesinvestor protection violation2014$1,675,350
Wilmington TrustM&T Bankfinancial servicesaccounting fraud or deficiencies2014$18,500,000
LavaFlow Inc.Citigroupfinancial servicesinvestor protection violation2014$5,000,000
New York Stock ExchangeIntercontinentalExchange Groupfinancial servicesinvestor protection violation2014$4,500,000
Transamerica Financial AdvisorsAegonfinancial servicesinvestor protection violation2014$1,107,248
ScottradeCharles Schwab Corp.financial servicesdata submission deficiencies2014$2,500,000
Western Asset Management CompanyFranklin Resourcesfinancial servicesinvestor protection violation2014$19,400,000
ConvergEx GroupToronto-Dominion Bankfinancial servicesinvestor protection violation2013$107,424,429
TD BankToronto-Dominion Bankfinancial servicesinvestor protection violation2013$15,000,000
Claritas Investments Ltd.Principal Financialfinancial servicesinvestor protection violation2013$144,819
Chicago Board Options ExchangeCBOE Holdingsfinancial servicesinvestor protection violation2013$6,000,000
New York Stock ExchangeIntercontinentalExchange Groupfinancial servicesinvestor protection violation2012$5,000,000
AXA RosenbergAXAfinancial servicesinvestor protection violation2011$242,000,000
Merrill LynchBank of Americafinancial servicesinvestor protection violation2011$10,000,000
Regions BankRegions Financialfinancial servicesinvestor protection violation2010$1,000,001
U.S. Pension Trust Corp. and U.S. College Trust Corp.U.S. Pension Trust Corp.financial servicesinvestor protection violation2010$112,600,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.