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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
U.S. Pension Trust Corp. and U.S. College Trust Corp.U.S. Pension Trust Corp.financial servicesinvestor protection violation2010$112,600,000
State Street Bank and Trust CompanyState Street Corp.financial servicesinvestor protection violation2010$313,300,000
Assurant Inc.Assurantfinancial servicesaccounting fraud or deficiencies2010$3,500,000
ICAP plcCME Groupfinancial servicesinvestor protection violation2009$25,000,000
J.P. Morgan Securities Inc.JPMorgan Chasefinancial serviceskickbacks and bribery2009$75,000,000
Regions BankRegions Financialfinancial servicesinvestor protection violation2009$1,000,000
Bank of America CorporationBank of Americafinancial servicesinvestor protection violation2009$33,000,000
Morgan StanleyMorgan Stanleyfinancial servicesinvestor protection violation2009$500,000
Ameriprise Financial Services, Inc.Ameriprise Financialfinancial servicesinvestor protection violation2009$17,300,000
Evergreen Investment Management Company LLCWells Fargofinancial servicesinvestor protection violation2009$40,000,000
Merrill Lynch, Pierce, Fenner & Smith Inc.Bank of Americafinancial servicesinvestor protection violation2009$7,000,000
UBS AGUBSfinancial servicestax violations2009$200,000,000
Merrill Lynch, Pierce, Fenner & Smith, Inc.Bank of Americafinancial servicesinvestor protection violation2009$1,000,000
Zurich Financial ServicesZurich Insurancefinancial servicesaccounting fraud or deficiencies2008$25,000,000
AmSouth BankRegions Financialfinancial servicesinvestor protection violation2008$11,400,000
Scottrade, Inc.Charles Schwab Corp.financial servicesinvestor protection violation2008$950,000
Banc of America Investment Services, Inc.Bank of Americafinancial servicesinvestor protection violation2008$9,763,634
Fidelity InvestmentsFidelity Investmentsfinancial serviceskickbacks and bribery2008$8,000,000
Federal Home Loan Mortgage Corporation (Freddie Mac)Freddie Mac (Federal Home Loan Mortgage Corporation)financial servicesinvestor protection violation2007$50,000,000
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
General American Life Insurance CompanyMetLifefinancial servicesinvestor protection violation2007$3,300,000
First BanCorpFirst Bancorp (Puerto Rico)financial servicesaccounting fraud or deficiencies2007$8,500,000
Barclays Bank PLCBarclaysfinancial servicesinsider trading2007$10,943,561
The BISYS GroupCitigroupfinancial servicesaccounting fraud or deficiencies2007$25,000,000
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
Banc of America Securities LLCBank of Americafinancial servicesfraud2007$26,000,000
Goldman Sachs Execution and Clearing L.P.Goldman Sachsfinancial servicesinvestor protection violation2007$2,000,000
RenaissanceRe Holdings Ltd.RenaissanceRe Holdingsfinancial servicesaccounting fraud or deficiencies2007$15,000,000
MBIA Inc.MBIAfinancial servicesaccounting fraud or deficiencies2007$50,000,000
Fred Alger Management, Inc.Alger Associatesfinancial servicesinvestor protection violation2007$40,000,000
Friedman, Billings, Ramsey & Co., Inc.Arlington Asset Investment Corp.financial servicesinsider trading2006$3,755,839
Hartford Financial Services Group, Inc.Hartford Financial Servicesfinancial servicesinvestor protection violation2006$55,000,000
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
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
Federal National Mortgage Association (Fannie Mae)Fannie Maefinancial servicesaccounting fraud or deficiencies2006$400,000,000
Morgan Stanley & Co.Morgan Stanleyfinancial servicesdata submission deficiencies2006$10,000,000
Bear, Stearns & Co., Inc.JPMorgan Chasefinancial servicesinvestor protection violation2006$250,000,000
American International Group, Inc.American International Groupfinancial servicesinvestor protection violation2006$800,000,000
Ameriprise Financial, Inc.Ameriprise Financialfinancial servicesinvestor protection violation2005$15,000,000
Ameriprise Financial, Inc.Ameriprise Financialfinancial servicesinvestor protection violation2005$30,000,000
Federated Investors, Inc.Federated Hermesfinancial servicesinvestor protection violation2005$72,000,000
Canadian Imperial Bank of CommerceCanadian Imperial Bank of Commercefinancial servicesinvestor protection violation2005$125,000,000
Huntington Bancshares, Inc.Huntington Bancsharesfinancial servicesaccounting fraud or deficiencies2005$7,500,000
Citigroup, Inc.Citigroupfinancial servicesinvestor protection violation2005$208,000,000
New York Stock Exchange, Inc.IntercontinentalExchange Groupfinancial servicesinvestor protection violation2005$20,000,000
Citigroup Global Markets, Inc.Citigroupfinancial servicesinvestor protection violation2005$20,000,000
Banc of America Capital Management LLC, BACAP Distributors LLC and Banc of America Securities LLCBank of Americafinancial servicesinvestor protection violation2005$375,000,000
Columbia Management Advisors Inc. and Columbia Funds Distributor Inc.Ameriprise Financialfinancial servicesinvestor protection violation2005$140,000,000
Goldman, Sachs & Co.Goldman Sachsfinancial servicesinvestor protection violation2005$40,000,000
Morgan Stanley & Co.Morgan Stanleyfinancial servicesinvestor protection violation2005$40,000,000
Southwest Securities, Inc.Hilltop Holdingsfinancial servicesinvestor protection violation2005$10,000,000
Edward D. Jones & Co., L.P.Jones Financialfinancial servicesinvestor protection violation2004$75,000,000
Knight Securities, L.P.Virtu Financialfinancial servicesinvestor protection violation2004$66,500,000
Franklin Advisers, Inc. and Franklin Templeton Distributors, Inc.Franklin Resourcesfinancial servicesinvestor protection violation2004$20,000,000
American International Group, Inc.American International Groupfinancial servicesinvestor protection violation2004$46,000,000
Wachovia CorporationWells Fargofinancial servicesinvestor protection violation2004$37,000,000
AIM Advisors, Inc. and AIM Distributors, Inc.Invescofinancial servicesinvestor protection violation2004$50,000,000
Invesco Funds Group, Inc.Invescofinancial servicesinvestor protection violation2004$325,000,000
TD Waterhouse Investor Services, Inc.Toronto-Dominion Bankfinancial servicesinvestor protection violation2004$2,000,000
PA Fund Management LLC, PEA Capital LLC and PA Distributors LLCAllianzfinancial servicesinvestor protection violation2004$11,600,000
Charles Schwab & Co., Inc.Charles Schwab Corp.financial servicesinvestor protection violation2004$350,000
PA Fund Management LLC, PEA Capital LLC and PA Distributors LLCAllianzfinancial servicesinvestor protection violation2004$50,000,000
Deutsche Bank Securities Inc.Deutsche Bankfinancial servicesinvestor protection violation2004$87,500,000
Thomas Weisel Partners LLCStifel Financialfinancial servicesinvestor protection violation2004$12,500,000
Friedman, Billings, Ramsey & Co., Inc.Arlington Asset Investment Corp.financial servicesinvestor protection violation2004$125,000
Janney Montgomery Scott LLCPenn Mutualfinancial servicesinvestor protection violation2004$875,000
Morgan Keegan & Co., Inc.Raymond James Financialfinancial servicesinvestor protection violation2004$875,000
Prudential Equity Group, LLC f/k/a Prudential Securities Inc.Prudential Financialfinancial servicesinvestor protection violation2004$375,000
SG Cowen & Co., LLC f/k/a SG Cowen Securities CorporationToronto-Dominion Bankfinancial servicesinvestor protection violation2004$125,000
Janus Capital Management LLCJanus Hendersonfinancial servicesinvestor protection violation2004$100,000,000
Conseco, Inc.CNO Financialfinancial servicesinvestor protection violation2004$15,000,000
Fidelity Brokerage Services, LLCFidelity Investmentsfinancial servicesinvestor protection violation2004$1,000,000
Franklin Advisers, Inc.Franklin Resourcesfinancial servicesinvestor protection violation2004$50,000,000
Banc One Investment Advisors CorporationJPMorgan Chasefinancial servicesinvestor protection violation2004$50,000,000
Wilmington Trust CompanyM&T Bankfinancial servicesinvestor protection violation2004$125,000
Strong Capital Management, Inc.Wells Fargofinancial servicesinvestor protection violation2004$80,000,000
Putnam Investment Management LLCFranklin Resourcesfinancial servicesinvestor protection violation2004$55,000,000
Massachusetts Financial Services CompanySun Life Financialfinancial servicesinvestor protection violation2004$50,000,000
Spear, Leeds & Kellogg Specialists LLCGoldman Sachsfinancial servicesinvestor protection violation2004$45,272,478
FleetBoston Financial CorporationBank of Americafinancial servicesinvestor protection violation2004$140,000,000
Banc of America Securities LLCBank of Americafinancial servicesinvestor protection violation2004$10,000,000
American Express Financial Advisors Inc.Ameriprise Financialfinancial servicesinvestor protection violation2004$3,706,693
Legg Mason Wood Walker, Inc.Franklin Resourcesfinancial servicesinvestor protection violation2004$2,315,467
Raymond James Financial Services, Inc.Raymond James Financialfinancial servicesinvestor protection violation2004$2,595,129
UBS Financial Services Inc.UBSfinancial servicesinvestor protection violation2004$4,621,768
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.