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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 TypeYearPenalty Amount sort icon
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
Transamerica Financial Advisors, Inc.Aegonfinancial servicesinvestor protection violation2019$6,023,072
Chicago Board Options ExchangeCBOE Holdingsfinancial servicesinvestor protection violation2013$6,000,000
PricewaterhouseCoopersPricewaterhouseCoopersbusiness servicesaccounting fraud or deficiencies2011$6,000,000
Anheuser-Busch InBevAnheuser-Busch InBevbeveragesForeign Corrupt Practices Act2016$6,000,000
Lumber Liquidators Holdings Inc.LL Flooring Holdingshousewares and home furnishingsinvestor protection violation2019$6,000,000
Cognizant Technology Solutions CorporationCognizant Technology Solutionsinformation technologyForeign Corrupt Practices Act2019$6,000,000
HP Inc.HP Inc.electrical and electronic equipmentaccounting fraud or deficiencies2020$6,000,000
Healthcare Services Group, Inc.Healthcare Services Group Inc.business servicesaccounting fraud or deficiencies2021$6,000,000
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBank of Americafinancial servicesanti-money-laundering deficiencies2023$6,000,000
DBRS Inc. investor protection violation2023$6,000,000
Goldman Sachs & Co. LLCGoldman Sachsfinancial servicesinvestor protection violation2023$6,000,000
Royal Bank of CanadaRoyal Bank of Canadafinancial servicesaccounting fraud or deficiencies2023$6,000,000
Transamerica Asset Management, Inc.Aegonfinancial servicesinvestor protection violation2020$5,946,782
ABB LtdABB Ltd.utilities and power generationForeign Corrupt Practices Act2004$5,900,000
Prudential Securities IncorporatedWells Fargofinancial servicesinvestor protection violation2000$5,880,000
GlobalSantaFe Corp.Transoceanoilfield services and suppliesForeign Corrupt Practices Act2010$5,858,165
Securities America Advisors Inc.Reverence Capital Partnersprivate equity (including portfolio companies)investor protection violation2018$5,828,448
DBRS Inc. investor protection violation2015$5,814,482
Private Advisor Group, LLC investor protection violation2022$5,800,000
Credit Suisse Securities (USA) LLCUBSfinancial servicesinvestor protection violation2017$5,754,714
Onele Trading & Finance Ltd. investor protection violation2011$5,729,276
Capital Source Lending LLC investor protection violation2019$5,720,451
Deephaven Capital Management, LLC insider trading2006$5,709,958
BB&T SecuritiesTruist Financialfinancial servicesinvestor protection violation2019$5,709,753
Armor Holdings Inc.BAE Systemsaerospace and military contractingForeign Corrupt Practices Act2011$5,700,000
Southlake Resources Group, LLC fraud2016$5,681,411
Boon Tech investor protection violation2020$5,600,334
Noble CorporationNoble Corp.oilfield services and suppliesForeign Corrupt Practices Act2010$5,576,998
ABN AMRO Bank, N.V.ABN AMROfinancial servicesinvestor protection violation2013$5,547,408
AstraZeneca PLCAstraZenecapharmaceuticalskickbacks and bribery2016$5,522,000
Marvell Technology Group, Ltd.Marvell Technologyelectrical and electronic equipmentaccounting fraud or deficiencies2019$5,500,000
Iconix Brand Group Inc.Iconix Brand Groupapparelaccounting fraud or deficiencies2019$5,500,000
NVIDIA CorporationNvidiaelectrical and electronic equipmentinvestor protection violation2022$5,500,000
Stephens Inc. investor protection violation2019$5,489,119
Energy & Environmental Investments, LLC and Energy & Environment, Inc. investor protection violation2023$5,428,694
Smith & Nephew PLCSmith & Nephewmedical equipment and suppliesForeign Corrupt Practices Act2012$5,400,000
Tenaris S.A.TechintdiversifiedForeign Corrupt Practices Act2011$5,400,000
Alumni Ventures Group, LLC investor protection violation2022$5,400,000
Foresee Inc. et al. investor protection violation2023$5,374,482
UBS O'Connor, LLCUBSfinancial servicesinvestor protection violation2013$5,297,716
Orthofix International N.V.Orthofix Medicalmedical equipment and suppliesForeign Corrupt Practices Act2012$5,200,000
Goldman, Sachs & Co.Goldman Sachsfinancial servicesinvestor protection violation2000$5,200,000
Beespoke Capital, Inc. investor protection violation2023$5,196,518
CMB Export LLC investor protection violation2018$5,150,000
Bridgeway Capital Management investor protection violation2004$5,116,464
Wells Fargo Advisors LLCWells Fargofinancial servicesinvestor protection violation2018$5,108,441
Taronis Technologies, Inc. investor protection violation2022$5,107,900
Layne Christensen Company Foreign Corrupt Practices Act2014$5,100,000
Gateway Technologies, Inc. and The Cheyenne Holding Corp. fraud2001$5,083,378
StratoComm Corporation accounting fraud or deficiencies2016$5,068,709
TechnipFMC plcTechnipFMCoilfield services and suppliesForeign Corrupt Practices Act2019$5,061,906
Wells Fargo Advisors LLCWells Fargofinancial servicesinvestor protection violation2014$5,000,000
Tyson Foods Inc.Tyson Foodsfood productsForeign Corrupt Practices Act2011$5,000,000
Key Energy Services Inc.Key Energy Servicesoilfield services and suppliesForeign Corrupt Practices Act2016$5,000,000
Miller Energy Resources accounting fraud or deficiencies2016$5,000,000
AlphaBridge Capital Management accounting fraud or deficiencies2015$5,000,000
LavaFlow Inc.Citigroupfinancial servicesinvestor protection violation2014$5,000,000
Diamond FoodsCampbell Soupfood productsaccounting fraud or deficiencies2014$5,000,000
New York Stock ExchangeIntercontinentalExchange Groupfinancial servicesinvestor protection violation2012$5,000,000
Quadrangle Group LLC kickbacks and bribery2010$5,000,000
Inviva Inc. investor protection violation2004$5,000,000
SG Cowen Securities CorporationToronto-Dominion Bankfinancial servicesinvestor protection violation2003$5,000,000
PricewaterhouseCoopers LLPricewaterhouseCoopersbusiness servicesaccounting fraud or deficiencies2002$5,000,000
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBank of Americafinancial servicesinvestor protection violation2000$5,000,000
Overseas Shipholding GroupOverseas Shipholding Groupfreight and logisticsaccounting fraud or deficiencies2017$5,000,000
Vantage Drilling International Foreign Corrupt Practices Act2018$5,000,000
Credit Suisse Securities (USA) LLCUBSfinancial servicesinvestor protection violation2018$5,000,000
LendingClub Asset Management LLCLendingClub Corp.financial servicesinvestor protection violation2018$5,000,000
UBS Financial Services Inc.UBSfinancial servicesinvestor protection violation2018$5,000,000
Deer Park Road Management Company LP investor protection violation2019$5,000,000
Comscore, Inc.ComScoreinformation servicesaccounting fraud or deficiencies2019$5,000,000
Diageo plcDiageobeveragesinvestor protection violation2020$5,000,000
Morgan Stanley Smith Barney LLCMorgan Stanleyfinancial servicesinvestor protection violation2020$5,000,000
Bloomberg Tradebook LLCBloomberginformation technologyinvestor protection violation2020$5,000,000
Kik Interactive Inc. investor protection violation2020$5,000,000
Morgan Stanley & Co. LLCMorgan Stanleyfinancial servicesinvestor protection violation2020$5,000,000
Interface Inc. accounting fraud or deficiencies2020$5,000,000
RiverSource Distributors Inc. investor protection violation2022$5,000,000
RiverSource Distributors, Inc. investor protection violation2022$5,000,000
Bloomberg Finance L.P.Bloomberginformation technologyinvestor protection violation2023$5,000,000
Brooge Energy Limited investor protection violation2023$5,000,000
Capital Solutions Distributors, LLC and Capital Solutions Management, LP accounting fraud or deficiencies2013$4,997,077
Lehman Brothers Inc. investor protection violation2000$4,950,000
PlexCorps investor protection violation2019$4,911,613
Wachovia Securities, LLCWells Fargofinancial servicesinvestor protection violation2004$4,844,465
Delaware Asset Advisers investor protection violation2012$4,814,520
Venture Capital Holdings LLC investor protection violation2006$4,808,953
Burrill Capital Management accounting fraud or deficiencies2016$4,785,000
ProSky, Inc. investor protection violation2021$4,700,000
Ameritas Advisory Services, LLCAmeritas Mutual Holding Companyfinancial servicesinvestor protection violation2022$4,628,194
UBS Financial Services Inc.UBSfinancial servicesinvestor protection violation2004$4,621,768
Deerfield Management Company L.P. investor protection violation2017$4,600,000
Haidar Capital Management, LLC investor protection violation2007$4,580,000
Philips ElectronicsRoyal PhilipsdiversifiedForeign Corrupt Practices Act2013$4,515,178
Universal Corporation Inc.Universal CorporationtobaccoForeign Corrupt Practices Act2010$4,500,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.