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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 Parent sort iconCurrent Parent IndustryPrimary Offense TypeYearPenalty Amount
PTC Inc.PTC Inc.information technologyForeign Corrupt Practices Act2016$13,622,000
General Cable CorporationPrysmian Groupelectrical and electronic equipmentForeign Corrupt Practices Act2016$55,000,000
Prudential Equity Group, LLC f/k/a Prudential Securities Inc.Prudential Financialfinancial servicesinvestor protection violation2004$375,000
American Skandia Investment Services, Inc.Prudential Financialfinancial servicesinvestor protection violation2009$68,000,000
Prudential Equity Group, LLCPrudential Financialfinancial servicesinvestor protection violation2005$125,000
Prudential Financial Inc.Prudential Financialfinancial servicesinvestor protection violation2019$32,600,000
Pruco Securities, LLCPrudential Financialfinancial servicesinvestor protection violation2020$18,252,341
Claritas Investments Ltd.Principal Financialfinancial servicesinvestor protection violation2013$144,819
Principal Securities, Inc.Principal Financialfinancial servicesinvestor protection violation2019$1,764,624
Willbros Group, Inc.Primoris Servicesconstruction and engineeringForeign Corrupt Practices Act2008$10,300,000
Primoris Services CorporationPrimoris Servicesconstruction and engineeringinvestor protection violation2018$200,000
PricewaterhouseCoopersPricewaterhouseCoopersbusiness servicesaccounting fraud or deficiencies2011$6,000,000
PricewaterhouseCoopers LLPPricewaterhouseCoopersbusiness servicesaccounting fraud or deficiencies2004$2,400,000
PricewaterhouseCoopers LLPPricewaterhouseCoopersbusiness servicesaccounting fraud or deficiencies2003$1,000,000
PricewaterhouseCoopers LLPricewaterhouseCoopersbusiness servicesaccounting fraud or deficiencies2002$5,000,000
PricewaterhouseCoopers LLPPricewaterhouseCoopersbusiness servicesinvestor protection violation2019$7,944,055
PricewaterhouseCoopers Zhong Tian CPAs Limited CompanyPricewaterhouseCoopersbusiness servicesaccounting fraud or deficiencies2015$500,000
Precigen, Inc.Precigenagribusinessinvestor protection violation2020$2,500,000
PNC Capital Markets LLCPNC Financial Servicesfinancial servicesinvestor protection violation2015$500,000
PNC Investments LLCPNC Financial Servicesfinancial servicesinvestor protection violation2018$7,307,770
PNC Capital Markets LLCPNC Financial Servicesfinancial servicesinvestor protection violation2022$198,323
Plug Power Inc.Plug Power Inc.utilities and power generationinvestor protection violation2023$1,250,000
Platinum Equity Advisors, LLCPlatinum Equityprivate equity (including portfolio companies)investor protection violation2017$3,402,132
Ingram Micro Inc.Platinum Equityprivate equity (including portfolio companies)investor protection violation2009$15,000,000
Polycom Inc.Plantronicsmiscellaneous manufacturingaccounting fraud or deficiencies2015$750,000
Polycom, Inc.Plantronicsmiscellaneous manufacturingForeign Corrupt Practices Act2018$3,800,000
BMO Capital Markets GKST Inc.Piper Sandlerfinancial servicesinvestor protection violation2015$250,000
Piper Jaffray & Co.Piper Sandlerfinancial servicesinvestor protection violation2015$500,000
Piper Jaffray & Co.Piper Sandlerfinancial servicesinvestor protection violation2006$125,000
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
Piper Jaffray & Co.Piper Sandlerfinancial servicesinvestor protection violation2013$300,000
U.S. Bancorp Piper Jaffray Inc.Piper Sandlerfinancial servicesinvestor protection violation2002$100,000
Pfizer Inc.PfizerpharmaceuticalsForeign Corrupt Practices Act2012$26,339,944
Wyeth LLCPfizerpharmaceuticalsForeign Corrupt Practices Act2012$18,876,624
Elan Corporation, plcPerrigopharmaceuticalsaccounting fraud or deficiencies2005$15,000,000
Janney Montgomery Scott LLCPenn Mutualfinancial servicesinvestor protection violation2011$850,000
Janney Montgomery Scott LLCPenn Mutualfinancial servicesinvestor protection violation2004$875,000
Janney Montgomery Scott LLCPenn Mutualfinancial servicesinvestor protection violation2016$500,000
Janney Montgomery Scott LLCPenn Mutualfinancial servicesinvestor protection violation2000$100,000
Janney Montgomery Scott LLCPenn Mutualfinancial servicesinvestor protection violation2019$241,227
Pearson plcPearsoninformation technologyprivacy violation2021$1,000,000
Paycom Software, Inc.Paycom Softwareinformation technologyinvestor protection violation2021$250,000
Parker Drilling CompanyParker Drillingoil and gasForeign Corrupt Practices Act2013$4,090,818
Park National CorporationPark National Corp.financial servicesaccounting fraud or deficiencies2016$500,000
Panasonic Corp.Panasonicelectrical and electronic equipmentForeign Corrupt Practices Act2018$143,000,000
PACCARPaccarmotor vehiclesaccounting fraud or deficiencies2013$225,000
Overseas Shipholding GroupOverseas Shipholding Groupfreight and logisticsaccounting fraud or deficiencies2017$5,000,000
Orthofix International N.V.Orthofix Medicalmedical equipment and suppliesForeign Corrupt Practices Act2012$5,200,000
Orthofix InternationalOrthofix Medicalmedical equipment and suppliesForeign Corrupt Practices Act2017$14,250,000
Oracle CorporationOracleinformation technologyForeign Corrupt Practices Act2012$2,000,000
Siebel Systems, Inc.Oracleinformation technologyinvestor protection violation2002$250,000
Oracle CorporationOracleinformation technologyForeign Corrupt Practices Act2022$23,000,000
Oppenheimer & Co. Inc.Oppenheimer Holdingsfinancial servicesinvestor protection violation2015$400,000
Oppenheimer & Co.Oppenheimer Holdingsfinancial servicesinvestor protection violation2014$61,200
Oppenheimer Asset Management Inc. and Oppenheimer Alternative Investment Management, LLCOppenheimer Holdingsfinancial servicesinvestor protection violation2013$2,886,677
Oppenheimer & Co. IncOppenheimer Holdingsfinancial servicesinvestor protection violation2009$850,000
Josephthal & Co., Inc.Oppenheimer Holdingsfinancial servicesinvestor protection violation2002$75,000
Fahnestock & Co., Inc.Oppenheimer Holdingsfinancial servicesinvestor protection violation2000$20,000
Oppenheimer & Co. Inc. and Oppenheimer Asset Management Inc.Oppenheimer Holdingsfinancial servicesinvestor protection violation2019$3,528,377
Oppenheimer & Co. Inc.Oppenheimer Holdingsfinancial servicesinvestor protection violation2024$12,000,000
Omega Advisors, Inc.Omega Advisorsfinancial servicesinvestor protection violation2015$134,026
Office Depot, Inc.ODP Corporationretailinginvestor protection violation2010$1,000,000
Option One Mortgage CorporationOcwen Financialfinancial servicestoxic securities abuses2012$28,200,000
Ocwen Financial Corp.Ocwen Financialfinancial servicesaccounting fraud or deficiencies2016$2,000,000
NVIDIA CorporationNvidiaelectrical and electronic equipmentinvestor protection violation2022$5,500,000
Nu Skin Enterprises, Inc.Nu Skin Enterpriseshousehold and personal care productsinvestor protection violation2016$765,688
Novo Nordisk A/SNovo Holdings A/SpharmaceuticalsForeign Corrupt Practices Act2009$9,030,149
Novartis AGNovartispharmaceuticalsForeign Corrupt Practices Act2016$25,000,000
Novartis AGNovartispharmaceuticalsForeign Corrupt Practices Act2020$112,800,000
Northwestern Mutual Investment Services LLCNorthwestern Mutualfinancial servicesinvestor protection violation2024$16,500,000
The Northern Trust CompanyNorthern Trustfinancial servicesinvestor protection violation2015$60,000
Northern Trust Hedge Fund Services LLCNorthern Trustfinancial servicesinvestor protection violation2020$167,629
Nomura Securities International Inc.Nomurafinancial servicesinvestor protection violation2019$26,400,000
Nomura Securities International, Inc.Nomurafinancial servicesinvestor protection violation2022$50,000,000
Alcatel-Lucent S.A.NokiatelecommunicationsForeign Corrupt Practices Act2010$45,000,000
Lucent Technologies Inc.NokiatelecommunicationsForeign Corrupt Practices Act2007$1,500,000
Lucent Technologies Inc.Nokiatelecommunicationsaccounting fraud or deficiencies2004$25,000,000
Noble CorporationNoble Corp.oilfield services and suppliesForeign Corrupt Practices Act2010$5,576,998
NissanNissanmotor vehiclesaccounting fraud or deficiencies2019$15,000,000
Nikola CorporationNikola Corporationmotor vehiclesinvestor protection violation2021$125,000,000
Newell Brands Inc.Newell Brandshousewares and home furnishingsaccounting fraud or deficiencies2023$12,500,000
New York Life Investment Management LLCNew York Life Insurancefinancial servicesinvestor protection violation2009$6,100,784
JDA Software Group Inc.New Mountain Capitalprivate equity (including portfolio companies)accounting fraud or deficiencies2014$750,000
RBS Securities Inc.NatWest Group PLCfinancial servicestoxic securities abuses2013$153,700,000
Royal Bank of Scotland Group plcNatWest Group PLCfinancial servicesinvestor protection violation2014$120,000
Nature's Sunshine Products Inc.Nature's Sunshine Productshousehold and personal care productsForeign Corrupt Practices Act2009$600,000
Nationwide Life Insurance CompanyNationwidefinancial servicesinvestor protection violation2015$8,000,000
National Beverage Corp.National Beverage Corp.beveragesinvestor protection violation2021$481,920
NASDAQ Stock Market, LLC and NASDAQ Execution Services, LLCNasdaq Inc.financial servicesinvestor protection violation2013$10,000,000
Brut, LLCNasdaq Inc.financial servicesinvestor protection violation2003$45,000
Motorola Inc.Motorola Solutionstelecommunicationsaccounting fraud or deficiencies2007$25,000,000
Morningstar Credit Ratings, LLCMorningstar Inc.miscellaneous servicesinvestor protection violation2020$3,500,000
Morningstar Credit Ratings, LLCMorningstar Inc.miscellaneous servicesinvestor protection violation2022$1,150,000
Morgan Stanley Investment ManagementMorgan Stanleyfinancial servicesinvestor protection violation2015$8,800,000
Morgan Stanley & Co. LLCMorgan Stanleyfinancial servicesinvestor protection violation2014$4,000,000
Morgan StanleyMorgan Stanleyfinancial servicestoxic securities abuses2014$275,000,000
Morgan Stanley Investment ManagementMorgan Stanleyfinancial servicesinvestor protection violation2011$3,300,000
Morgan Stanley Smith Barney LLCMorgan Stanleyfinancial servicesinvestor protection violation2016$1,000,000
Morgan Stanley & Co. LLCMorgan Stanleyfinancial servicesinvestor protection violation2015$500,000
E*TRADE SecuritiesMorgan Stanleyfinancial servicesinvestor protection violation2014$2,500,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.