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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
Federated Investors, Inc.Federated Hermesfinancial servicesinvestor protection violation2005$72,000,000
House Asset Management, L.L.C. and House Edge, L.P. investor protection violation2005$1,375,767
Canadian Imperial Bank of CommerceCanadian Imperial Bank of Commercefinancial servicesinvestor protection violation2005$125,000,000
Ford Motor Credit CompanyFord Motormotor vehiclesinvestor protection violation2005$700,000
Citigroup, Inc.Citigroupfinancial servicesinvestor protection violation2005$208,000,000
DB Investment Managers, Inc. investor protection violation2005$33,159
Galleon Management, L.P. investor protection violation2005$2,020,450
Oaktree Capital Management, LLCBrookfield Corporationdiversifiedinvestor protection violation2005$345,701
Stracq, Inc. investor protection violation2005$660,000
New York Stock Exchange, Inc.IntercontinentalExchange Groupfinancial servicesinvestor protection violation2005$20,000,000
Capital Concept Marketing, Inc. investor protection violation2005$580,000
Flowserve CorporationFlowserveindustrial equipmentinvestor protection violation2005$350,000
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
Herman's World of Sports, Inc. investor protection violation2005$663,685
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
PanaMed Corp. investor protection violation2004$5,000
Knight Securities, L.P.Virtu Financialfinancial servicesinvestor protection violation2004$66,500,000
First Command Financial Planning, Inc. investor protection violation2004$12,000,000
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
Fremont Investment Advisors investor protection violation2004$4,146,000
Wachovia CorporationWells Fargofinancial servicesinvestor protection violation2004$37,000,000
Beacon Hill Asset Management, LLC investor protection violation2004$600,000
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
RS Investment Management L.P. investor protection violation2004$25,000,000
TD Waterhouse Investor Services, Inc.Toronto-Dominion Bankfinancial servicesinvestor protection violation2004$2,000,000
A.C.L.N. Ltd. and Scandinavian Car Carriers investor protection violation2004$27,000,000
Bridgeway Capital Management investor protection violation2004$5,116,464
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
National Institute Companies of America, Inc. investor protection violation2004$1,600,000
PA Fund Management LLC, PEA Capital LLC and PA Distributors LLCAllianzfinancial servicesinvestor protection violation2004$50,000,000
ACI Inc. investor protection violation2004$7,756,750
Deutsche Bank Securities Inc.Deutsche Bankfinancial servicesinvestor protection violation2004$87,500,000
Thomas Weisel Partners LLCStifel Financialfinancial servicesinvestor protection violation2004$12,500,000
Van Wagoner Capital Management, Inc. investor protection violation2004$800,000
Adams Harkness, Inc. f/k/a Adams Harkness & Hill, Inc. investor protection violation2004$575,000
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
Needham & Company, Inc. investor protection violation2004$700,000
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
Inviva Inc. investor protection violation2004$5,000,000
Fidelity Brokerage Services, LLCFidelity Investmentsfinancial servicesinvestor protection violation2004$1,000,000
Franklin Advisers, Inc.Franklin Resourcesfinancial servicesinvestor protection violation2004$50,000,000
World Class Limousines, Inc. and 1-800-GET-LIMO, Inc. investor protection violation2004$1,522,500
Performance Specialist Group LLC investor protection violation2004$2,171,932
SIG Specialists, Inc. investor protection violation2004$3,033,589
Global Telecom Services, L.L.C. d/b/a Medical Disposal Devices investor protection violation2004$1,431,369
Banc One Investment Advisors CorporationJPMorgan Chasefinancial servicesinvestor protection violation2004$50,000,000
Wilmington Trust CompanyM&T Bankfinancial servicesinvestor protection violation2004$125,000
Pilgrim Baxter & Associates, Ltd. investor protection violation2004$90,000,000
Strong Capital Management, Inc.Wells Fargofinancial servicesinvestor protection violation2004$80,000,000
LNB Bancorp, Inc. investor protection violation2004$100,000
Putnam Investment Management LLCFranklin Resourcesfinancial servicesinvestor protection violation2004$55,000,000
CDH & Affiliates, Inc. investor protection violation2004$4,317,616
Security Trust Company, N.A. investor protection violation2004$1,000,000
Massachusetts Financial Services CompanySun Life Financialfinancial servicesinvestor protection violation2004$50,000,000
Bear Wagner Specialists LLC investor protection violation2004$16,259,446
Fleet Specialist, Inc. investor protection violation2004$59,097,469
LaBranche & Co., LLC investor protection violation2004$63,518,760
Spear, Leeds & Kellogg Specialists LLCGoldman Sachsfinancial servicesinvestor protection violation2004$45,272,478
Van der Moolen Specialists USA, LLC investor protection violation2004$57,675,104
FleetBoston Financial CorporationBank of Americafinancial servicesinvestor protection violation2004$140,000,000
Banc of America Securities LLCBank of Americafinancial servicesinvestor protection violation2004$10,000,000
Ace Payday Plus, LLC investor protection violation2004$1,842,133
American Express Financial Advisors Inc.Ameriprise Financialfinancial servicesinvestor protection violation2004$3,706,693
H.D. Vest Investment Securities, Inc. investor protection violation2004$725,216
Legg Mason Wood Walker, Inc.Franklin Resourcesfinancial servicesinvestor protection violation2004$2,315,467
Linsco/Private Ledger Corp. investor protection violation2004$2,232,805
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
Wachovia Securities, LLCWells Fargofinancial servicesinvestor protection violation2004$4,844,465
Massachusetts Financial Services Co.Sun Life Financialfinancial servicesinvestor protection violation2004$225,000,000
Alliance Capital Management L.P.Equitable Holdingsfinancial servicesinvestor protection violation2003$250,000,000
Morgan Stanley DW Inc.Morgan Stanleyfinancial servicesinvestor protection violation2003$50,000,000
Premier Marketing and Investments, Inc. investor protection violation2003$4,497,451
J.P. Morgan Securities Inc.JPMorgan Chasefinancial servicesinvestor protection violation2003$25,000,000
Schering-Plough CorporationMerckpharmaceuticalsinvestor protection violation2003$1,000,000
Goldman SachsGoldman Sachsfinancial servicesinvestor protection violation2003$9,305,382
Massachusetts Financial Services CompanySun Life Financialfinancial servicesinvestor protection violation2003$917,858
UBS PaineWebber, Inc.UBSfinancial servicesinvestor protection violation2003$500,000
Deutsche Asset Management, Inc.Deutsche Bankfinancial servicesinvestor protection violation2003$750,000
Lehman Brothers, Inc. investor protection violation2003$2,500,000
SG Cowen Securities CorporationToronto-Dominion Bankfinancial servicesinvestor protection violation2003$5,000,000
Nutrition Superstores.Com, Inc. and Advanced Wound Care, Inc. investor protection violation2003$10,500,000
The Gaming Factory, Inc. investor protection violation2003$2,100,102
Prudential Securities, Inc.Wells Fargofinancial servicesinvestor protection violation2003$382,000
Stratcomm Media Ltd. investor protection violation2003$45,400,000
EyeCashNetworks, Inc. and Alliance Equities, Inc. investor protection violation2003$688,230
Bear, Stearns & Co. Inc.JPMorgan Chasefinancial servicesinvestor protection violation2003$80,000,000
Citigroup Global Markets Inc. f/k/a Salomon Smith Barney Inc.Citigroupfinancial servicesinvestor protection violation2003$400,000,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.