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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
Voya Holdings Inc.Voya Financialfinancial servicesinvestor protection violation2018$3,600,000
Merrill Lynch, Pierce, Fenner & Smith IncBank of Americafinancial servicesinvestor protection violation2018$1,404,000
New York Stock ExchangeIntercontinentalExchange Groupfinancial servicesinvestor protection violation2018$14,000,000
Deutsche Bank Securities Inc.Deutsche Bankfinancial servicesinvestor protection violation2018$4,450,000
Ameriprise Financial ServicesAmeriprise Financialfinancial servicesinvestor protection violation2018$230,000
PNC Investments LLCPNC Financial Servicesfinancial servicesinvestor protection violation2018$7,307,770
Brown Brothers Harriman & Co.Brown Brothers Harrimanfinancial servicesinvestor protection violation2014$120,000
Royal Bank of Scotland Group plcNatWest Group PLCfinancial servicesinvestor protection violation2014$120,000
Bank of America CorporationBank of Americafinancial servicesinvestor protection violation2014$20,000,000
Piper Jaffray & Co.Piper Sandlerfinancial servicesinvestor protection violation2013$300,000
Knight Capital Americas LLCVirtu Financialfinancial servicesinvestor protection violation2013$12,000,000
ABN AMRO Bank, N.V.ABN AMROfinancial servicesinvestor protection violation2013$5,547,408
UBS O'Connor, LLCUBSfinancial servicesinvestor protection violation2013$5,297,716
NASDAQ Stock Market, LLC and NASDAQ Execution Services, LLCNasdaq Inc.financial servicesinvestor protection violation2013$10,000,000
Oppenheimer Asset Management Inc. and Oppenheimer Alternative Investment Management, LLCOppenheimer Holdingsfinancial servicesinvestor protection violation2013$2,886,677
AXA Advisors, LLCEquitable Holdingsfinancial servicesinvestor protection violation2012$100,000
Credit Suisse Alternative Capital, LLC and Credit Suisse Asset Management, LLCUBSfinancial servicesinvestor protection violation2011$2,500,000
BNY Mellon Securities LLCBank of New York Mellonfinancial servicesinvestor protection violation2011$24,045,447
Banc of America Securities LLCBank of Americafinancial servicesprice-fixing or anti-competitive practices2010$36,096,442
World Group Securities, Inc.Aegonfinancial servicesinvestor protection violation2010$200,000
Goldman Sachs Execution & Clearing, L.P.Goldman Sachsfinancial servicesinvestor protection violation2010$225,000
Southwest Securities, Inc.Hilltop Holdingsfinancial servicesinvestor protection violation2010$470,147
Legg Mason Inc.Franklin Resourcesfinancial servicesForeign Corrupt Practices Act2018$34,500,000
AEGON USA Investment Management LLC et al.Aegonfinancial servicesinvestor protection violation2018$97,600,000
Merrill Lynch, Pierce, Fenner & SmithBank of Americafinancial servicesinvestor protection violation2018$8,900,000
CitigroupCitigroupfinancial servicesaccounting fraud or deficiencies2018$10,500,000
Ameriprise Financial Services Inc.Ameriprise Financialfinancial servicesinvestor protection violation2018$4,500,000
Mizuho Securities USA LLCMizuho Financialfinancial servicesinvestor protection violation2018$1,250,000
Deutsche Bank Trust Co. Americas and Deutsche Bank Securities Inc.Deutsche Bankfinancial servicesinvestor protection violation2018$73,200,000
Credit Suisse Group AGUBSfinancial servicesForeign Corrupt Practices Act2018$29,700,000
Morgan Stanley Smith BarneyMorgan Stanleyfinancial servicesinvestor protection violation2018$3,600,000
Wells Fargo Advisors LLCWells Fargofinancial servicesinvestor protection violation2018$5,108,441
Merrill Lynch, Pierce, Fenner & SmithBank of Americafinancial servicesinvestor protection violation2018$42,000,000
Merrill Lynch, Pierce, Fenner & Smith Inc.Bank of Americafinancial servicesinvestor protection violation2018$15,700,000
Industrial and Commercial Bank of China Financial Services LLCIndustrial and Commercial Bank of Chinafinancial servicesinvestor protection violation2018$860,000
Charles Schwab & Co., Inc.Charles Schwab Corp.financial servicesinvestor protection violation2018$2,800,000
Merrill Lynch, Pierce and Fenner & Smith IncorporatedBank of Americafinancial servicesinvestor protection violation2018$8,872,723
Cantor Fitzgerald & Co.Cantor Fitzgeraldfinancial servicesinvestor protection violation2018$1,250,000
Banc of America Investment Services, Inc.Bank of Americafinancial servicesinvestor protection violation2009$150,000
AXA Advisors, LLCEquitable Holdingsfinancial servicesinvestor protection violation2009$50,000
New York Life Investment Management LLCNew York Life Insurancefinancial servicesinvestor protection violation2009$6,100,784
American Skandia Investment Services, Inc.Prudential Financialfinancial servicesinvestor protection violation2009$68,000,000
TD Options LLCToronto-Dominion Bankfinancial servicesinvestor protection violation2009$1,000,000
Goldman Sachs Execution & Clearing, L.P. and SLK-Hull Derivatives LLCGoldman Sachsfinancial servicesinvestor protection violation2009$7,200,000
Knight Financial Products, LLCVirtu Financialfinancial servicesinvestor protection violation2009$2,040,000
RBC Capital Markets CorporationRoyal Bank of Canadafinancial servicesinvestor protection violation2009$125,000
Oppenheimer & Co. IncOppenheimer Holdingsfinancial servicesinvestor protection violation2009$850,000
SG Americas Securities, LLCSociete Generalefinancial servicesinvestor protection violation2009$8,384,932
Ferris, Baker Watts, Inc.Royal Bank of Canadafinancial servicesinvestor protection violation2009$800,656
Gabelli Funds, LLCGamco Investors Inc.financial servicesinvestor protection violation2009$450,000
Massachusetts Financial Services CompanySun Life Financialfinancial servicesinvestor protection violation2018$1,900,000
Citibank N.A.Citigroupfinancial servicesinvestor protection violation2018$38,700,000
Credit Suisse Securities (USA) LLCUBSfinancial servicesinvestor protection violation2018$5,000,000
LendingClub Asset Management LLCLendingClub Corp.financial servicesinvestor protection violation2018$5,000,000
Voya Financial Advisors Inc.Voya Financialfinancial servicesinvestor protection violation2018$1,000,000
SG Americas Securities LLC (Societe Generale)Societe Generalefinancial servicesinvestor protection violation2018$800,000
Citigroup Global Markets Inc.Citigroupfinancial servicesinvestor protection violation2018$12,937,475
Convergex Execution Solutions LLCToronto-Dominion Bankfinancial servicesdata submission deficiencies2018$2,750,000
Cadaret, Grant & Co. Inc.Atria Wealth Solutionsfinancial servicesinvestor protection violation2018$513,194
Putnam Investment Management, LLCFranklin Resourcesfinancial servicesinvestor protection violation2018$1,000,000
TD Ameritrade, Inc.Charles Schwab Corp.financial servicesinvestor protection violation2018$500,000
Heartland Payment Systems, LLCGlobal Payments Inc.financial servicesinvestor protection violation2018$2,160,000
BB&T Securities, LLCTruist Financialfinancial servicesinvestor protection violation2018$100,000
LPL Financial CorporationLPL Financialfinancial servicesinvestor protection violation2008$275,000
E*Trade Clearing LLCMorgan Stanleyfinancial servicesinvestor protection violation2008$500,000
Gabelli Funds LLCGamco Investors Inc.financial servicesinvestor protection violation2008$16,000,000
JPMorgan Chase & Co.JPMorgan Chasefinancial servicesinvestor protection violation2008$1,998,143
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
Putnam Investment Management, LLCFranklin Resourcesfinancial servicesinvestor protection violation2007$350,000
AllianceBernstein, L.P.Equitable Holdingsfinancial servicesinvestor protection violation2007$450,000
John Hancock Investment Management Services, LLCManulife Financialfinancial servicesinvestor protection violation2007$19,787,879
Citigroup Global Markets, Inc.Citigroupfinancial servicesinvestor protection violation2007$200,000
Deutsche Bank Trust Company AmericasDeutsche Bankfinancial servicesinvestor protection violation2007$750,000
The Bank Of New YorkBank of New York Mellonfinancial servicesinvestor protection violation2007$750,000
Wilmington Trust CompanyM&T Bankfinancial servicesinvestor protection violation2007$100,000
Deutsche Bank Securities, Inc.Deutsche Bankfinancial servicesinvestor protection violation2006$442,954
Deutsche Asset Management, Inc. and Deutsche Investment Management Americas, Inc.Deutsche Bankfinancial servicesinvestor protection violation2006$17,200,000
Strong Capital Management, Inc.Wells Fargofinancial servicesinvestor protection violation2006$2,185,927
Deutsche Investment Management Americas, Inc. et al.Deutsche Bankfinancial servicesinvestor protection violation2006$19,329,729
Waddell & Reed, Inc.Macquariefinancial servicesinvestor protection violation2006$50,000,000
Metropolitan Life Insurance CompanyMetLifefinancial servicesinvestor protection violation2006$250,000
New England Securities Corp.MetLifefinancial servicesinvestor protection violation2006$2,614,865
Morgan Keegan & Co., Inc.Raymond James Financialfinancial servicesinvestor protection violation2006$558,806
CIBC World Markets CorporationCanadian Imperial Bank of Commercefinancial servicesinvestor protection violation2005$496,598
State Street Research & Management CompanyBlackRockfinancial servicesinvestor protection violation2005$585,743
Legg Mason Wood Walker, IncorporatedFranklin Resourcesfinancial servicesinvestor protection violation2005$1,000,000
U.S. Bank National AssociationU.S. Bancorpfinancial servicesinvestor protection violation2005$500,000
Prudential Equity Group, LLCPrudential Financialfinancial servicesinvestor protection violation2005$125,000
UBS Securities LLCUBSfinancial servicesinvestor protection violation2005$700,000
Banc of America Investment Services, Inc., and Bacap Distributors, LLCBank of Americafinancial servicesinvestor protection violation2005$1,500,000
Credit Suisse First Boston, LLCUBSfinancial servicesinvestor protection violation2005$200,000
Fiserv Securities, Inc.Fidelity Investmentsfinancial servicesinvestor protection violation2005$15,000,000
Putnam Investment Management, LLCFranklin Resourcesfinancial servicesinvestor protection violation2005$40,000,001
J.P. Morgan Securities Inc.JPMorgan Chasefinancial servicesinvestor protection violation2005$700,000
Donaldson, Lufkin & Jenrette Securities Corp.UBSfinancial servicesinvestor protection violation2004$1,000,000
Goldman Sachs & Co.Goldman Sachsfinancial servicesinvestor protection violation2004$2,000,000
Brut, LLCNasdaq Inc.financial servicesinvestor protection violation2003$45,000
Spear, Leeds & Kellogg, L.P.Goldman Sachsfinancial servicesinvestor protection violation2003$450,000
U.S. Bancorp Piper Jaffray Inc.Piper Sandlerfinancial servicesinvestor protection violation2002$100,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.