Basic Search  |  Summaries  |  Advanced Search

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.

Download results as CSV or XML or Save your search (Click here for information on download subscriptions)
CompanyCurrent ParentCurrent Parent IndustryPrimary Offense TypeYearPenalty Amount sort icon
Petro-Suisse Ltd. investor protection violation2013$8,370,000
Tidewater Inc.Tidewater Inc.miscellaneous servicesForeign Corrupt Practices Act2010$8,321,362
Martin Currie investor protection violation2012$8,300,000
KPMGKPMGbusiness servicesaccounting fraud or deficiencies2014$8,200,000
Beam Suntory Inc.Suntorybeveragesinvestor protection violation2018$8,181,838
UBS Financial Services Inc.UBSfinancial servicesinvestor protection violation2021$8,112,174
Wedbush Securities Inc.Wedbush Securitiesfinancial servicesinvestor protection violation2019$8,100,000
Sandell Asset Management Corp. investor protection violation2007$8,097,494
MedLink International Inc. accounting fraud or deficiencies2013$8,084,515
Latour Trading LLC investor protection violation2015$8,053,439
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBank of Americafinancial servicesinvestor protection violation2019$8,014,000
UBS Securities LLCUBSfinancial servicesinvestor protection violation2011$8,000,000
Nationwide Life Insurance CompanyNationwidefinancial servicesinvestor protection violation2015$8,000,000
Terex CorporationTerexheavy equipmentaccounting fraud or deficiencies2009$8,000,000
Fidelity InvestmentsFidelity Investmentsfinancial serviceskickbacks and bribery2008$8,000,000
Morgan Stanley Smith BarneyMorgan Stanleyfinancial servicesinvestor protection violation2017$8,000,000
deVere USA, Inc. investor protection violation2018$8,000,000
Constant Contact, Inc. and Endurance International Group Holdings, Inc. investor protection violation2018$8,000,000
Cardinal Health, Inc.Cardinal HealthwholesalersForeign Corrupt Practices Act2020$8,000,000
Vereit, Inc.Realty Incomereal estateinvestor protection violation2020$8,000,000
ICE Data Pricing & Reference Data LLC investor protection violation2020$8,000,000
Fixed Income Clearing Corporation investor protection violation2021$8,000,000
Rollins Inc.Rollins Inc.miscellaneous servicesaccounting fraud or deficiencies2022$8,000,000
VMware, Inc.Broadcomelectrical and electronic equipmentinvestor protection violation2022$8,000,000
DXC Technology CompanyDXC Technologyinformation technologyaccounting fraud or deficiencies2023$8,000,000
Fifth Third Securities Inc.Fifth Third Bancorpfinancial servicesinvestor protection violation2023$8,000,000
U.S. Bancorp Investments Inc.U.S. Bancorpfinancial servicesinvestor protection violation2024$8,000,000
Expro Group Holdings N.V. investor protection violation2023$7,998,721
Morgan Stanley & Co. IncorporatedMorgan Stanleyfinancial servicesinvestor protection violation2007$7,957,200
PricewaterhouseCoopers LLPPricewaterhouseCoopersbusiness servicesinvestor protection violation2019$7,944,055
Southridge Capital Management LLC and Southridge Advisors LLC investor protection violation2018$7,864,064
Stryker Corp.Strykermedical equipment and suppliesForeign Corrupt Practices Act2018$7,800,000
ACI Inc. investor protection violation2004$7,756,750
Schnitzer Steel IndustriesSchnitzer Steel IndustriesmetalsForeign Corrupt Practices Act2006$7,725,201
El Paso CorporationKinder MorganpipelinesForeign Corrupt Practices Act2007$7,700,000
Equal Earth, Inc. investor protection violation2019$7,655,000
Bank of America CorporationBank of Americafinancial servicesinvestor protection violation2014$7,650,000
Susquehanna Investment Group investor protection violation2009$7,640,000
Loci Inc. investor protection violation2021$7,600,000
Qualcomm Inc.Qualcommmiscellaneous manufacturingForeign Corrupt Practices Act2016$7,500,000
Logitech InternationalLogitech Internationalelectrical and electronic equipmentaccounting fraud or deficiencies2016$7,500,000
Navistar International Corp.Volkswagenmotor vehiclesinvestor protection violation2016$7,500,000
Lions Gate Entertainment Corp.Lions Gate Entertainmententertainmentaccounting fraud or deficiencies2014$7,500,000
Take-Two Interactive Software, Inc.Take-Two Interactive Software Inc.entertainmentaccounting fraud or deficiencies2005$7,500,000
Huntington Bancshares, Inc.Huntington Bancsharesfinancial servicesaccounting fraud or deficiencies2005$7,500,000
Halliburton Co.Halliburtonoilfield services and suppliesaccounting fraud or deficiencies2004$7,500,000
Morgan Stanley & Co. LLCMorgan Stanleyfinancial servicesinvestor protection violation2016$7,500,000
Morgan Stanley & Co. IncorporatedMorgan Stanleyfinancial servicesinvestor protection violation2007$7,500,000
Scotia Capital (USA) Inc.Scotiabankfinancial servicesinvestor protection violation2023$7,500,000
Intertech Solutions, Inc. investor protection violation2018$7,400,000
PNC Investments LLCPNC Financial Servicesfinancial servicesinvestor protection violation2018$7,307,770
Transocean Inc.Transoceanoilfield services and suppliesForeign Corrupt Practices Act2010$7,265,080
Worldwide Capital, Inc. investor protection violation2014$7,253,726
Texas Coastal Energy Company investor protection violation2018$7,200,000
Goldman Sachs Execution & Clearing, L.P. and SLK-Hull Derivatives LLCGoldman Sachsfinancial servicesinvestor protection violation2009$7,200,000
Goldman Sachs & Co.Goldman Sachsfinancial servicesinvestor protection violation2015$7,000,000
Citigroup Global MarketsCitigroupfinancial servicesdata submission deficiencies2016$7,000,000
Banco Espirito Santo S.A. investor protection violation2011$7,000,000
Merrill Lynch, Pierce, Fenner & Smith Inc.Bank of Americafinancial servicesinvestor protection violation2009$7,000,000
International Business MachinesIBM Corp.information technologyaccounting fraud or deficiencies2007$7,000,000
Brocade Communications Systems, Inc.Broadcomelectrical and electronic equipmentaccounting fraud or deficiencies2007$7,000,000
Arthur Andersen LLP accounting fraud or deficiencies2001$7,000,000
Brixmor Property Group Inc. accounting fraud or deficiencies2019$7,000,000
Momentus Inc. investor protection violation2021$7,000,000
Wells Fargo AdvisorsWells Fargofinancial servicesanti-money-laundering deficiencies2022$7,000,000
Citadel Securities LLC investor protection violation2023$7,000,000
Interinvest Corporation investor protection violation2016$6,900,000
Weiss Asset Management LP investor protection violation2022$6,899,004
Raymond James Financial Services Advisors, Inc.Raymond James Financialfinancial servicesinvestor protection violation2019$6,877,048
Ascenergy LLC investor protection violation2017$6,859,690
Oxford City Football Club, Inc. investor protection violation2017$6,853,358
Longfin Corp. investor protection violation2019$6,755,848
Warburg Dillon Read LLCUBSfinancial servicesinvestor protection violation2000$6,680,000
Simpson Capital Management, Inc. investor protection violation2009$6,650,000
CITIC Securities International Investment Management (HK) Limited investor protection violation2014$6,600,000
BNY MellonBank of New York Mellonfinancial servicesinvestor protection violation2017$6,600,000
Flowserve CorporationFlowserveindustrial equipmentForeign Corrupt Practices Act2008$6,574,225
Gateway One Lending & Finance, LLC investor protection violation2021$6,513,192
THL Managers V, LLC and THL Managers VI, LLC investor protection violation2018$6,506,016
Fifth Third BancorpFifth Third Bancorpfinancial servicesaccounting fraud or deficiencies2013$6,500,000
Wells FargoWells Fargofinancial servicestoxic securities abuses2012$6,500,000
8000 Inc. investor protection violation2015$6,500,000
3M Company3M Companymiscellaneous manufacturingForeign Corrupt Practices Act2023$6,500,000
Ethiopian Electric Power investor protection violation2016$6,448,854
VTB Capital plc investor protection violation2021$6,429,883
Elfindepan, S.A., Strategic Asset Funds, S.A. and Southern Financial Group investor protection violation2008$6,417,122
Maxwell Technologies Inc.Tesla Inc.motor vehiclesForeign Corrupt Practices Act2011$6,350,890
Barclays PLCBarclaysfinancial servicesForeign Corrupt Practices Act2019$6,308,726
iCapital Markets LLC investor protection violation2002$6,300,000
KT Corporation Foreign Corrupt Practices Act2022$6,300,000
Focus Financial Associates, Inc. and Focus Development Center, Inc. fraud2006$6,272,264
AT&TAT&Ttelecommunicationsinvestor protection violation2022$6,250,000
KPMG LLPKPMGbusiness servicesaccounting fraud or deficiencies2017$6,230,999
Kestra Advisory Services, LLC investor protection violation2019$6,196,279
Cambridge Investment Research Advisors, Inc. investor protection violation2019$6,187,562
21st Century Satellite Communications, Inc. investor protection violation2001$6,110,736
New York Life Investment Management LLCNew York Life Insurancefinancial servicesinvestor protection violation2009$6,100,784
Unikrn Inc. investor protection violation2020$6,100,000
Impact Theory, LLC investor protection violation2023$6,100,000
Stifel and Nicolaus & Company, IncorporatedStifel Financialfinancial servicesinvestor protection violation2019$6,037,175
CIBC Mellon Trust Company fraud2005$6,030,043
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.