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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
E*TRADE SecuritiesMorgan Stanleyfinancial servicesinvestor protection violation2014$2,500,000
Morgan StanleyMorgan Stanleyfinancial servicesinvestor protection violation2009$500,000
Morgan Stanley & Co. IncorporatedMorgan Stanleyfinancial servicesinvestor protection violation2007$7,957,200
Morgan Stanley & Co.Morgan Stanleyfinancial servicesinvestor protection violation2006$10,000,000
Morgan Stanley & Co. Incorporated/ Morgan Stanley DW Inc.Morgan Stanleyfinancial servicesinvestor protection violation2006$1,500,000
Morgan Stanley & Co.Morgan Stanleyfinancial servicesdata submission deficiencies2006$10,000,000
Morgan Stanley & Co.Morgan Stanleyfinancial servicesinvestor protection violation2005$40,000,000
Morgan Stanley DW Inc.Morgan Stanleyfinancial servicesinvestor protection violation2003$50,000,000
Morgan Stanley & Co. IncorporatedMorgan Stanleyfinancial servicesinvestor protection violation2003$125,000,000
Morgan Stanley & Co. IncorporatedMorgan Stanleyfinancial servicesdata submission deficiencies2002$1,650,000
Salomon Smith Barney Inc.Morgan Stanleyfinancial servicesdata submission deficiencies2002$1,650,000
Morgan Stanley & Co. IncorporatedMorgan Stanleyfinancial servicesinvestor protection violation2000$2,500,000
Salomon Smith Barney Inc.Morgan Stanleyfinancial servicesinvestor protection violation2000$45,000,000
Morgan Stanley & Co. LLCMorgan Stanleyfinancial servicesinvestor protection violation2016$7,500,000
Morgan Stanley Smith BarneyMorgan Stanleyfinancial servicesinvestor protection violation2017$13,000,000
Morgan Stanley Smith BarneyMorgan Stanleyfinancial servicesinvestor protection violation2017$2,963,735
Morgan Stanley Smith BarneyMorgan Stanleyfinancial servicesinvestor protection violation2017$8,000,000
Morgan Stanley Smith BarneyMorgan Stanleyfinancial servicesinvestor protection violation2018$3,600,000
E*Trade Clearing LLCMorgan Stanleyfinancial servicesinvestor protection violation2008$500,000
Morgan Stanley & Co. IncorporatedMorgan Stanleyfinancial servicesinvestor protection violation2007$17,000,000
Morgan Stanley & Co. IncorporatedMorgan Stanleyfinancial servicesinvestor protection violation2007$7,500,000
Smith Barney Fund Management LLCMorgan Stanleyfinancial servicesinvestor protection violation2007$450,000
Dean Witter Reynolds Inc.Morgan Stanleyfinancial servicesinvestor protection violation2002$500,000
Dean Witter Reynolds Inc.Morgan Stanleyfinancial servicesinvestor protection violation2000$476,702
Morgan Stanley Smith Barney LLCMorgan Stanleyfinancial servicesinvestor protection violation2019$1,545,758
Morgan Stanley Smith Barney, LLCMorgan Stanleyfinancial servicesinvestor protection violation2019$225,000
Morgan Stanley Smith Barney LLCMorgan Stanleyfinancial servicesinvestor protection violation2020$5,000,000
Morgan Stanley & Co. LLCMorgan Stanleyfinancial servicesinvestor protection violation2020$5,000,000
Morgan Stanley Smith Barney LLCMorgan Stanleyfinancial servicesinvestor protection violation2022$35,000,000
Morgan Stanley & Co. LLCMorgan Stanleyfinancial servicesinvestor protection violation2022$125,000,000
Morgan Stanley & Co. LLCMorgan Stanleyfinancial servicesinvestor protection violation2024$83,000,000
Moody's Investors Service, Inc.Moody'sinformation technologyinvestor protection violation2018$1,250,000
Moody's Investors Service, Inc.Moody'sinformation technologyinvestor protection violation2018$15,000,000
Monomoy Capital Management, L.P.Monomoy Capital Partnersprivate equity (including portfolio companies)investor protection violation2020$1,926,579
Mondelez International, Inc.Mondelez Internationalfood productsaccounting fraud or deficiencies2017$13,000,000
Mobile TeleSystems PJSCMobile TeleSystems PJSCtelecommunicationsForeign Corrupt Practices Act2019$100,000,000
Mizuho Financial GroupMizuho Financialfinancial servicesinvestor protection violation2012$127,500,000
Mizuho Securities USA LLCMizuho Financialfinancial servicesinvestor protection violation2018$1,250,000
Mizuho Securities USA LLCMizuho Financialfinancial servicesinvestor protection violation2023$25,000,000
Mitsubishi UFJ Securities (USA), Inc.Mitsubishi UFJ Financial Groupfinancial servicesinvestor protection violation2016$20,000
MiMedx Group Inc.MiMedx Group, Incmedical equipment and suppliesaccounting fraud or deficiencies2019$1,500,000
Microsoft CorporationMicrosoftinformation technologyForeign Corrupt Practices Act2019$16,565,150
Activision Blizzard Inc.Microsoftinformation technologyinvestor protection violation2023$35,000,000
Vitesse Semiconductor Corp.Microchip Technology Inc.electrical and electronic equipmentaccounting fraud or deficiencies2010$3,000,000
General American Life Insurance CompanyMetLifefinancial servicesinvestor protection violation2007$3,300,000
Metropolitan Life Insurance CompanyMetLifefinancial servicesinvestor protection violation2006$250,000
New England Securities Corp.MetLifefinancial servicesinvestor protection violation2006$2,614,865
MetLife, Inc.MetLifefinancial servicesinvestor protection violation2019$10,000,000
Facebook Inc.Meta Platforms Inc.information technologyinvestor protection violation2019$100,000,000
Schering-Plough CorporationMerckpharmaceuticalsForeign Corrupt Practices Act2004$500,000
Schering-Plough CorporationMerckpharmaceuticalsinvestor protection violation2003$1,000,000
Daimler AGMercedes-Benz Groupmotor vehiclesForeign Corrupt Practices Act2010$91,400,000
Medifast Inc.Medifast Inc.miscellaneous servicesaccounting fraud or deficiencies2013$200,000
MBIA Inc.MBIAfinancial servicesaccounting fraud or deficiencies2007$50,000,000
Maximus, Inc.Maximusmiscellaneous servicesinvestor protection violation2023$500,000
Mattel Inc.Mattelmiscellaneous manufacturingaccounting fraud or deficiencies2022$3,500,000
Massachusetts Mutual Life Insurance CompanyMassachusetts Mutual Life Insurancefinancial servicesinvestor protection violation2012$1,625,000
MML Investors Services, LLCMassachusetts Mutual Life Insurancefinancial servicesinvestor protection violation2021$2,109,458
Marvell Technology Group, Ltd.Marvell Technologyelectrical and electronic equipmentaccounting fraud or deficiencies2008$10,000,000
Marvell Technology Group, Ltd.Marvell Technologyelectrical and electronic equipmentaccounting fraud or deficiencies2019$5,500,000
Starwood Hotel & Resorts Worldwide, Inc.Marriott Internationalhotelsinvestor protection violation2014$75,000
Andeavor LLCMarathon Petroleumoil and gasaccounting fraud or deficiencies2020$20,000,000
John Hancock Investment Management Services, LLCManulife Financialfinancial servicesinvestor protection violation2007$19,787,879
Nortek Inc.Madison IndustriesdiversifiedForeign Corrupt Practices Act2016$322,058
Macquarie Capital (USA) Inc.Macquariefinancial servicesinvestor protection violation2015$15,000,000
Macquarie Capital Investment Management LLC, et alMacquariefinancial servicesinvestor protection violation2015$120,000
Waddell & Reed, Inc.Macquariefinancial servicesinvestor protection violation2006$50,000,000
Waddell & Reed, LLCMacquariefinancial servicesinvestor protection violation2022$200,000
RevlonMacAndrews & Forbesdiversifiedinvestor protection violation2013$850,000
Wilmington TrustM&T Bankfinancial servicesaccounting fraud or deficiencies2014$18,500,000
Wilmington Trust CompanyM&T Bankfinancial servicesinvestor protection violation2004$125,000
Wilmington Trust CompanyM&T Bankfinancial servicesinvestor protection violation2007$100,000
Wilmington Trust Investment Management, LLCM&T Bankfinancial servicesinvestor protection violation2023$1,327,147
Lyft Inc.Lyft Inc.miscellaneous servicesinvestor protection violation2023$10,000,000
Qwest Communications International Inc.Lumen Technologiestelecommunicationsaccounting fraud or deficiencies2004$250,000,000
LPL Financial CorporationLPL Financialfinancial servicesinvestor protection violation2008$275,000
LPL Financial LLCLPL Financialfinancial servicesinvestor protection violation2019$9,333,516
LPL Financial LLCLPL Financialfinancial servicesinvestor protection violation2021$891,202
Lordstown Motors Corp.Lordstown Motorsmotor vehiclesinvestor protection violation2024$25,500,000
Logitech InternationalLogitech Internationalelectrical and electronic equipmentaccounting fraud or deficiencies2016$7,500,000
Lumber Liquidators Holdings Inc.LL Flooring Holdingshousewares and home furnishingsinvestor protection violation2019$6,000,000
Lions Gate Entertainment Corp.Lions Gate Entertainmententertainmentaccounting fraud or deficiencies2014$7,500,000
Lincoln Financial Advisors CorporationLincoln Nationalfinancial servicesinvestor protection violation2024$8,500,000
Avon ProductsLGdiversifiedForeign Corrupt Practices Act2014$67,400,000
AVEO Pharmaceuticals Inc.LGdiversifiedinvestor protection violation2016$4,000,000
LendingClub Asset Management LLCLendingClub Corp.financial servicesinvestor protection violation2018$5,000,000
Lattice Semiconductor CorporationLattice Semiconductorelectrical and electronic equipmentinvestor protection violation2023$185,000
LAN AirlinesLATAM Airlines GroupairlinesForeign Corrupt Practices Act2016$9,400,000
Las Vegas Sands Corp.Las Vegas Sands Corp.entertainmentForeign Corrupt Practices Act2016$9,000,000
The Titan CorporationL3Harris Technologiesaerospace and military contractingForeign Corrupt Practices Act2005$15,500,000
L3 Technologies Inc.L3Harris Technologiesaerospace and military contractingaccounting fraud or deficiencies2017$1,600,000
Kraft Heinz CompanyKraft Heinzfood productsaccounting fraud or deficiencies2021$62,000,000
KPMGKPMGbusiness servicesaccounting fraud or deficiencies2014$8,200,000
KPMG AustraliaKPMGbusiness servicesaccounting fraud or deficiencies2011$2,742,000
KPMG LLP (KPMG Canada)KPMGbusiness servicesaccounting fraud or deficiencies2005$73,682
KPMG LLPKPMGbusiness servicesaccounting fraud or deficiencies2005$22,000,000
KPMG LLPKPMGbusiness servicesaccounting fraud or deficiencies2016$230,000
KPMG LLPKPMGbusiness servicesaccounting fraud or deficiencies2017$6,230,999
KPMGKPMGbusiness servicesaccounting fraud or deficiencies2018$241,305
KPMG LLPKPMGbusiness servicesaccounting fraud or deficiencies2019$50,000,000
KPMG HuazhenKPMGbusiness servicesaccounting fraud or deficiencies2015$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.