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Violation Tracker Agency Summary Page

Agency Name: Securities and Exchange Commission
Penalty Total since 2000: $38,056,719,523
Number of Records: 2,785
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 TypeYearPenalty Amount sort icon
Merrill LynchBank of Americafinancial servicesinvestor protection violation2015$10,900,000
Blue Bottle Limited investor protection violation2007$10,846,785
Fiat S.p.A.Stellantismotor vehiclesForeign Corrupt Practices Act2008$10,809,142
Catalyst Capital Advisors, LLC investor protection violation2020$10,508,481
HSBC Bank USA, N.A.HSBCfinancial servicesinvestor protection violation2007$10,500,000
Nutrition Superstores.Com, Inc. and Advanced Wound Care, Inc. investor protection violation2003$10,500,000
CitigroupCitigroupfinancial servicesaccounting fraud or deficiencies2018$10,500,000
Statoil, ASAEquinoroil and gasinvestor protection violation2006$10,500,000
Poloniex LLC investor protection violation2021$10,388,309
Willbros Group, Inc.Primoris Servicesconstruction and engineeringForeign Corrupt Practices Act2008$10,300,000
AmTrust Financial Services Inc.Stone Point Capitalprivate equity (including portfolio companies)investor protection violation2020$10,300,000
Visium Asset Management LP investor protection violation2018$10,120,711
Amec Foster Wheeler LimitedWood Groupoilfield services and suppliesForeign Corrupt Practices Act2021$10,100,000
Kestra Advisory Services, LLC investor protection violation2021$10,003,172
TD Ameritrade Inc.Charles Schwab Corp.financial servicesinvestor protection violation2011$10,000,000
International Business Machines Corp.IBM Corp.information technologyForeign Corrupt Practices Act2011$10,000,000
Alliance One International Inc.Pyxus InternationaltobaccoForeign Corrupt Practices Act2010$10,000,000
Merrill LynchBank of Americafinancial servicesinvestor protection violation2016$10,000,000
Satyam Computer Services LimitedTech Mahindramiscellaneous servicesaccounting fraud or deficiencies2011$10,000,000
Merrill LynchBank of Americafinancial servicesinvestor protection violation2011$10,000,000
WellCare Health Plans, Inc.Centenehealthcare servicesinvestor protection violation2009$10,000,000
Marvell Technology Group, Ltd.Marvell Technologyelectrical and electronic equipmentaccounting fraud or deficiencies2008$10,000,000
Biovail CorporationBausch Healthpharmaceuticalsaccounting fraud or deficiencies2008$10,000,000
Tenet Healthcare CorporationTenet Healthcarehealthcare servicesinvestor protection violation2007$10,000,000
Nicor, Inc.Southern Companyutilities and power generationaccounting fraud or deficiencies2007$10,000,000
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
Morgan Stanley & Co.Morgan Stanleyfinancial servicesdata submission deficiencies2006$10,000,000
Dollar General CorporationDollar Generalretailingaccounting fraud or deficiencies2005$10,000,000
Southwest Securities, Inc.Hilltop Holdingsfinancial servicesinvestor protection violation2005$10,000,000
Gemstar-TV Guide International, Inc. accounting fraud or deficiencies2004$10,000,000
i2 Technologies, Inc. accounting fraud or deficiencies2004$10,000,000
Banc of America Securities LLCBank of Americafinancial servicesinvestor protection violation2004$10,000,000
American International Group, Inc.American International Groupfinancial servicesaccounting fraud or deficiencies2003$10,000,000
Xerox CorporationXeroxmiscellaneous servicesaccounting fraud or deficiencies2002$10,000,000
NASDAQ Stock Market, LLC and NASDAQ Execution Services, LLCNasdaq Inc.financial servicesinvestor protection violation2013$10,000,000
MetLife, Inc.MetLifefinancial servicesinvestor protection violation2019$10,000,000
UBS Financial Services Inc.UBSfinancial servicesinvestor protection violation2020$10,000,000
App Annie Inc. investor protection violation2021$10,000,000
Ernst & Young LLPErnst & Youngbusiness servicesaccounting fraud or deficiencies2021$10,000,000
Medley Management investor protection violation2022$10,000,000
Cantor Fitzgerald & Co.Cantor Fitzgeraldfinancial servicesinvestor protection violation2022$10,000,000
Marcum LLP accounting fraud or deficiencies2023$10,000,000
Moelis & Company LLC investor protection violation2023$10,000,000
Wedbush Securities Inc.Wedbush Securitiesfinancial servicesinvestor protection violation2023$10,000,000
D. E. Shaw & Co., L.P. investor protection violation2023$10,000,000
William Blair & Company LLC investor protection violation2023$10,000,000
Lyft Inc.Lyft Inc.miscellaneous servicesinvestor protection violation2023$10,000,000
Credit Suisse Securities (USA) LLCUBSfinancial servicesinvestor protection violation2023$10,000,000
Cambridge Investment Research Inc. investor protection violation2024$10,000,000
Key Investment Services LLC investor protection violation2024$10,000,000
K.W. Brown & Company, 21st Century Advisors Inc., and K.W. Brown Investments, Inc. accounting fraud or deficiencies2008$9,983,586
Quad/Graphics Inc.Quad/Graphicsmiscellaneous servicesForeign Corrupt Practices Act2019$9,895,334
Banc of America Investment Services, Inc.Bank of Americafinancial servicesinvestor protection violation2008$9,763,634
Premier Holding Corp. investor protection violation2021$9,691,500
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBank of Americafinancial servicesinvestor protection violation2023$9,660,000
Roadrunner Transportation Systems, IncRoadrunner Transportation Systemsfreight and logisticsinvestor protection violation2023$9,635,911
Advance Local Development Corp. investor protection violation2002$9,509,736
FLIR Systems Inc.Teledyne Technologiesmiscellaneous manufacturingForeign Corrupt Practices Act2015$9,500,000
Royal Alliance Associates, SagePoint Financial and FSC Securities CorporationReverence Capital Partnersprivate equity (including portfolio companies)investor protection violation2016$9,500,000
Deutsche Bank SecuritiesDeutsche Bankfinancial servicesinvestor protection violation2016$9,500,000
Fiat Chrysler Automobiles N.V.Stellantismotor vehiclesinvestor protection violation2020$9,500,000
LAN AirlinesLATAM Airlines GroupairlinesForeign Corrupt Practices Act2016$9,400,000
Milan Capital Group, Inc. and Investment Offices d/b/a AC Financial, Inc. investor protection violation2001$9,395,066
LPL Financial LLCLPL Financialfinancial servicesinvestor protection violation2019$9,333,516
Goldman SachsGoldman Sachsfinancial servicesinvestor protection violation2003$9,305,382
Ernst & YoungErnst & Youngbusiness servicesaccounting fraud or deficiencies2016$9,300,000
The Dun & Bradstreet CorporationDun & Bradstreetinformation technologyForeign Corrupt Practices Act2018$9,221,484
Crown Bridge Partners, LLC investor protection violation2022$9,200,908
Onyx Capital Advisors investor protection violation2014$9,100,000
United American Ventures, LLC investor protection violation2012$9,079,372
Vertical Capital Asset Management, LLC investor protection violation2017$9,034,957
Novo Nordisk A/SNovo Holdings A/SpharmaceuticalsForeign Corrupt Practices Act2009$9,030,149
Las Vegas Sands Corp.Las Vegas Sands Corp.entertainmentForeign Corrupt Practices Act2016$9,000,000
Diamondback Capital Management LLC investor protection violation2012$9,000,000
S&P Dow Jones Indices LLCS&P Globalinformation technologyinvestor protection violation2021$9,000,000
Under Armour Inc.Under Armourapparelinvestor protection violation2021$9,000,000
Betterment LLC investor protection violation2023$9,000,000
Pacific Investment Management Company LLC (PIMCO) investor protection violation2023$9,000,000
SMBC Nikko Securities America, Inc.Sumitomo Groupdiversifiedinvestor protection violation2023$9,000,000
Marshall Holdings International, Inc. investor protection violation2009$8,974,033
GLG Partners L.P. accounting fraud or deficiencies2013$8,954,346
Vika Ventures LLC investor protection violation2023$8,929,120
Merrill Lynch, Pierce, Fenner & SmithBank of Americafinancial servicesinvestor protection violation2018$8,900,000
Murchinson Ltd. investor protection violation2021$8,878,183
Artis Capital Management investor protection violation2016$8,878,015
Merrill Lynch, Pierce and Fenner & Smith IncorporatedBank of Americafinancial servicesinvestor protection violation2018$8,872,723
Morgan Stanley Investment ManagementMorgan Stanleyfinancial servicesinvestor protection violation2015$8,800,000
Ameriprise Financial Services, Inc.Ameriprise Financialfinancial servicesinvestor protection violation2017$8,750,000
Fenway Partners LLC investor protection violation2015$8,716,471
Golf Emporium Corporation fraud2000$8,622,014
Cetera Advisors, LLC and Cetera Advisor Networks, LLC investor protection violation2022$8,605,470
Ernst & Young LLPErnst & Youngbusiness servicesaccounting fraud or deficiencies2009$8,500,000
First BanCorpFirst Bancorp (Puerto Rico)financial servicesaccounting fraud or deficiencies2007$8,500,000
Penn West Petroleum Ltd. accounting fraud or deficiencies2017$8,500,000
Evoqua Water Technologies Corp.Xylemmiscellaneous servicesaccounting fraud or deficiencies2023$8,500,000
Nuveen Securities LLCTIAAfinancial servicesinvestor protection violation2023$8,500,000
Lincoln Financial Advisors CorporationLincoln Nationalfinancial servicesinvestor protection violation2024$8,500,000
SG Americas Securities, LLCSociete Generalefinancial servicesinvestor protection violation2009$8,384,932
Bitqyck Inc. investor protection violation2019$8,375,617
Petro-Suisse Ltd. investor protection violation2013$8,370,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.