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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 IndustryPrimary Offense Type sort iconYearPenalty Amount
AGB Partners LLC investor protection violation2010$50,000
Palmyra Capital Advisors LLC, investor protection violation2010$330,000
Health Net Inc.Centenehealthcare servicesinvestor protection violation2016$340,000
Apollo Global ManagementApollo Global Managementprivate equity (including portfolio companies)investor protection violation2016$52,700,000
ICAP plcCME Groupfinancial servicesinvestor protection violation2009$25,000,000
Compass Capital Group, Inc. investor protection violation2009$800,000
Concorde America, Inc. investor protection violation2009$841,175
GMC Holding Corporation investor protection violation2009$2,090,000
Value Line Inc. investor protection violation2009$43,705,765
Thompson Price Holding Inc. investor protection violation2009$288,815
Lion Gate Capital, Inc. investor protection violation2009$150,000
Regions BankRegions Financialfinancial servicesinvestor protection violation2009$1,000,000
Hazan Capital Management LLC investor protection violation2009$4,000,000
TJM Proprietary Trading LLC investor protection violation2009$541,000
Bank of America CorporationBank of Americafinancial servicesinvestor protection violation2009$33,000,000
Perry Corp. investor protection violation2009$150,000
Morgan StanleyMorgan Stanleyfinancial servicesinvestor protection violation2009$500,000
Marshall Holdings International, Inc. investor protection violation2009$8,974,033
Ameriprise Financial Services, Inc.Ameriprise Financialfinancial servicesinvestor protection violation2009$17,300,000
Colonial Fund LLC and Colonial Investment Management LLC investor protection violation2009$1,400,000
Evergreen Investment Management Company LLCWells Fargofinancial servicesinvestor protection violation2009$40,000,000
WellCare Health Plans, Inc.Centenehealthcare servicesinvestor protection violation2009$10,000,000
Golden State Equity Investors, Inc. investor protection violation2009$1,577,579
Merrill Lynch, Pierce, Fenner & Smith Inc.Bank of Americafinancial servicesinvestor protection violation2009$7,000,000
M.A.G. Capital LLC investor protection violation2009$100,000
Merrill Lynch, Pierce, Fenner & Smith, Inc.Bank of Americafinancial servicesinvestor protection violation2009$1,000,000
Lazard Capital Markets LLC investor protection violation2008$2,847,008
AmSouth BankRegions Financialfinancial servicesinvestor protection violation2008$11,400,000
H&M Petroleum Corporation and American Energy Resources Corporation investor protection violation2008$510,000
Scottrade, Inc.Charles Schwab Corp.financial servicesinvestor protection violation2008$950,000
Oriental New Investments, Ltd. and Orienstar Finance, Ltd. investor protection violation2008$41,774,923
Quogue Capital LLC investor protection violation2008$390,000
Banc of America Investment Services, Inc.Bank of Americafinancial servicesinvestor protection violation2008$9,763,634
Elfindepan, S.A., Strategic Asset Funds, S.A. and Southern Financial Group investor protection violation2008$6,417,122
Broadcom Corp.Broadcomelectrical and electronic equipmentinvestor protection violation2008$12,000,000
FacePrint Global Solutions, Inc. investor protection violation2008$1,573,825
Ritchie Multi-Strategy Global Trading Ltd. and Ritchie Capital Management LLC investor protection violation2008$39,900,000
AirTrac Inc. investor protection violation2008$2,005,401
Lazare Industries, Inc. investor protection violation2008$1,975,911
Armstrong Capital Ltd. and Bay Capital Investment Ltd. investor protection violation2007$1,795,000
TCMP3 Partners L.P., TCMP3 Capital LLC, and Titan Capital Management, LLC investor protection violation2007$1,045,060
Microphase Corp. investor protection violation2007$700,000
Sandell Asset Management Corp. investor protection violation2007$8,097,494
Federal Home Loan Mortgage Corporation (Freddie Mac)Freddie Mac (Federal Home Loan Mortgage Corporation)financial servicesinvestor protection violation2007$50,000,000
Regional Brokers, Inc. investor protection violation2007$100,000
Evergreen Investment Management CompanyWells Fargofinancial servicesinvestor protection violation2007$32,500,000
HSBC Bank USA, N.A.HSBCfinancial servicesinvestor protection violation2007$10,500,000
Swiss Re Financial Products CorporationSwiss Refinancial servicesinvestor protection violation2007$95,000
Sure Trace Security Corporation investor protection violation2007$1,098,900
Commonwealth Equity Services, LLP investor protection violation2007$250,000
Detwiler, Mitchell, Fenton & Graves, Inc. investor protection violation2007$250,000
General American Life Insurance CompanyMetLifefinancial servicesinvestor protection violation2007$3,300,000
Platforms Wireless International Corp. investor protection violation2007$2,431,213
GLG Partners, L.P. investor protection violation2007$3,203,639
Camden Consulting, Inc. and SKS Consulting, Inc. investor protection violation2007$3,925,000
Morgan Stanley & Co. IncorporatedMorgan Stanleyfinancial servicesinvestor protection violation2007$7,957,200
Zurich Capital Markets Inc.Zurich Insurancefinancial servicesinvestor protection violation2007$16,800,000
A.G. Edwards & Sons, Inc.Wells Fargofinancial servicesinvestor protection violation2007$3,860,000
Blue Bottle Limited investor protection violation2007$10,846,785
Tenet Healthcare CorporationTenet Healthcarehealthcare servicesinvestor protection violation2007$10,000,000
Goldman Sachs Execution and Clearing L.P.Goldman Sachsfinancial servicesinvestor protection violation2007$2,000,000
Ashlin Capital, LLC and Kyoto Capital Group, LLC investor protection violation2007$455,700
Crestview Capital Partners investor protection violation2007$394,640
GetAnswers, Inc. investor protection violation2007$15,713,676
Fred Alger Management, Inc.Alger Associatesfinancial servicesinvestor protection violation2007$40,000,000
20th Century Jackson Equities, Inc. investor protection violation2007$470,269
1st Global Capital Corp. investor protection violation2006$100,000
Hartford Financial Services Group, Inc.Hartford Financial Servicesfinancial servicesinvestor protection violation2006$55,000,000
U.S. Wind Farming, Inc. investor protection violation2006$38,487
U.S. Gas & Electric, Inc. investor protection violation2006$167,000
Graycort Financial, LLC investor protection violation2006$100,000
BISYS Fund Services, Inc. investor protection violation2006$21,400,000
American-Amicable Life Insurance Company of Texas, Pioneer American Insurance Company, and Pioneer Security Life Insurance Company investor protection violation2006$10,000,000
Morgan Stanley & Co.Morgan Stanleyfinancial servicesinvestor protection violation2006$10,000,000
A.G. Edwards & Sons, Inc.Wells Fargofinancial servicesinvestor protection violation2006$125,000
Banc of America Securities LLCBank of Americafinancial servicesinvestor protection violation2006$750,000
Bear, Stearns & Co., Inc.JPMorgan Chasefinancial servicesinvestor protection violation2006$1,500,000
Citigroup Global Markets, Inc.Citigroupfinancial servicesinvestor protection violation2006$1,500,000
Goldman Sachs & Co.Goldman Sachsfinancial servicesinvestor protection violation2006$1,500,000
J.P. Morgan Securities, Inc.JPMorgan Chasefinancial servicesinvestor protection violation2006$1,500,000
Lehman Brothers Inc. investor protection violation2006$1,500,000
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBank of Americafinancial servicesinvestor protection violation2006$1,500,000
Morgan Keegan & Company, Inc.Raymond James Financialfinancial servicesinvestor protection violation2006$125,000
Morgan Stanley & Co. Incorporated/ Morgan Stanley DW Inc.Morgan Stanleyfinancial servicesinvestor protection violation2006$1,500,000
Piper Jaffray & Co.Piper Sandlerfinancial servicesinvestor protection violation2006$125,000
RBC Dain Rauscher IncRoyal Bank of Canadafinancial servicesinvestor protection violation2006$1,500,000
SunTrust Capital Markets Inc.Truist Financialfinancial servicesinvestor protection violation2006$125,000
Wachovia Capital Markets, LLCWells Fargofinancial servicesinvestor protection violation2006$125,000
Unified Fund Services, Inc. investor protection violation2006$125,000
Bio-Heal Laboratories, Inc. investor protection violation2006$618,135
National Clearing Corporation investor protection violation2006$2,000,000
Bear, Stearns & Co., Inc.JPMorgan Chasefinancial servicesinvestor protection violation2006$250,000,000
Langley Partners, North Olmsted Partners and Quantico Partners investor protection violation2006$13,517,928
Vector Medical Technologies, Inc. investor protection violation2006$14,208,718
Venture Capital Holdings LLC investor protection violation2006$4,808,953
American International Group, Inc.American International Groupfinancial servicesinvestor protection violation2006$800,000,000
Veras Capital Master Fund, VEY Partners Master Fund and Veras Investment Partners, LLC investor protection violation2005$36,200,488
Ameriprise Financial, Inc.Ameriprise Financialfinancial servicesinvestor protection violation2005$15,000,000
Ameriprise Financial, Inc.Ameriprise Financialfinancial servicesinvestor protection violation2005$30,000,000
Millennium Partners, L.P., Millennium Management, L.L.C., Millennium International Management investor protection violation2005$148,000,000
Federated Investors, Inc.Federated Hermesfinancial servicesinvestor protection violation2005$72,000,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.