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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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Company sort iconCurrent ParentCurrent Parent IndustryPrimary Offense TypeYearPenalty Amount
RBC Capital Markets CorporationRoyal Bank of Canadafinancial servicesinvestor protection violation2009$125,000
Raytheon CompanyRTX Corporationaerospace and military contractingaccounting fraud or deficiencies2006$12,000,000
Raymond Lawrence Lent, (dba the Putney Financial Group and Registered Investment Advisors) investor protection violation2019$43,034
Raymond James Financial Services, Inc.Raymond James Financialfinancial servicesinvestor protection violation2004$2,595,129
Raymond James Financial Services Advisors, Inc.Raymond James Financialfinancial servicesinvestor protection violation2019$6,877,048
Raymond James & Associates, Inc. et al.Raymond James Financialfinancial servicesinvestor protection violation2019$15,000,000
Raymond James & Associates, Inc.Raymond James Financialfinancial servicesinvestor protection violation2015$500,000
Raymond James & Associates, Inc.Raymond James Financialfinancial servicesinvestor protection violation2022$500,000
Raymond James & AssociatesRaymond James Financialfinancial servicesinvestor protection violation2016$600,000
RansonCapital Corporation investor protection violation2002$10,000
Ranieri Partners investor protection violation2013$375,000
Ralph Lauren CorporationRalph Lauren Corp.apparelForeign Corrupt Practices Act2013$734,846
Rafferty Capital Markets investor protection violation2014$849,626
RAE Systems Inc.Honeywell InternationaldiversifiedForeign Corrupt Practices Act2010$1,250,000
RA Capital Management investor protection violation2014$3,624,359
R.T. Jones Capital Equities Management, Inc. investor protection violation2015$75,000
Qwest Communications International Inc.Lumen Technologiestelecommunicationsaccounting fraud or deficiencies2004$250,000,000
QVR, LLC investor protection violation2022$50,000
Quogue Capital LLC investor protection violation2008$390,000
Quogue Capital LLC investor protection violation2008$944,056
Questar Asset Management, Inc. investor protection violation2019$527,566
Quantum CorporationQuantum Corp.electrical and electronic equipmentinvestor protection violation2019$1,000,000
Quantstamp, Inc. investor protection violation2023$1,000,000
Quantitative Asset Management LLC investor protection violation2021$25,000
Qualcomm Inc.Qualcommmiscellaneous manufacturingForeign Corrupt Practices Act2016$7,500,000
Quadrangle Group LLC kickbacks and bribery2010$5,000,000
Quad/Graphics Inc.Quad/Graphicsmiscellaneous servicesForeign Corrupt Practices Act2019$9,895,334
Putnam Investment Management, LLCFranklin Resourcesfinancial servicesinvestor protection violation2018$1,000,000
Putnam Investment Management, LLCFranklin Resourcesfinancial servicesinvestor protection violation2007$350,000
Putnam Investment Management, LLCFranklin Resourcesfinancial servicesinvestor protection violation2005$40,000,001
Putnam Investment Management LLCFranklin Resourcesfinancial servicesinvestor protection violation2004$55,000,000
PTC Inc.PTC Inc.information technologyForeign Corrupt Practices Act2016$13,622,000
Pryor, McClendon, Counts & Co., Inc. investor protection violation2002$40,000
Prudential Securities, Inc.Wells Fargofinancial servicesinvestor protection violation2003$382,000
Prudential Securities IncorporatedWells Fargofinancial servicesinvestor protection violation2000$5,880,000
Prudential Securities IncorporatedWells Fargofinancial servicesinvestor protection violation2001$800,000
Prudential Financial Inc.Prudential Financialfinancial servicesinvestor protection violation2019$32,600,000
Prudential Equity Group, LLC f/k/a Prudential Securities Inc.Prudential Financialfinancial servicesinvestor protection violation2004$375,000
Prudential Equity Group, LLCPrudential Financialfinancial servicesinvestor protection violation2005$125,000
Pruco Securities, LLCPrudential Financialfinancial servicesinvestor protection violation2020$18,252,341
Provise Management Group, LLC investor protection violation2019$297,423
Prosperity Economics Partners LLC and Partners for Prosperity LLC investor protection violation2021$275,000
Prosperity Economics Partners LLC and Partners for Prosperity LLC investor protection violation2022$1,024,484
Prospera Financial Services, Inc. investor protection violation2016$100,000
Prospera Financial Services, Inc. investor protection violation2000$40,000
Prosper Funding LLC accounting fraud or deficiencies2019$3,000,000
ProSky, Inc. investor protection violation2021$4,700,000
ProEquities, Inc.Dai-ichi Lifefinancial servicesinvestor protection violation2019$1,852,383
Private Portfolio, Inc. investor protection violation2019$43,061
Private Advisor Group, LLC investor protection violation2022$5,800,000
Principal Solar Inc. investor protection violation2023$40,000
Principal Securities, Inc.Principal Financialfinancial servicesinvestor protection violation2019$1,764,624
Primoris Services CorporationPrimoris Servicesconstruction and engineeringinvestor protection violation2018$200,000
Prime Time Group Inc. investor protection violation2010$325,000
Prime Group Holdings LLC investor protection violation2023$20,500,000
Prime Capital Services, Inc. investor protection violation2010$144,262
Prime Atlantic, Inc. investor protection violation2000$12,682,820
Pride International Inc.Valarisoilfield services and suppliesForeign Corrupt Practices Act2010$23,529,718
PricewaterhouseCoopers Zhong Tian CPAs Limited CompanyPricewaterhouseCoopersbusiness servicesaccounting fraud or deficiencies2015$500,000
PricewaterhouseCoopers LLPPricewaterhouseCoopersbusiness servicesaccounting fraud or deficiencies2004$2,400,000
PricewaterhouseCoopers LLPPricewaterhouseCoopersbusiness servicesaccounting fraud or deficiencies2003$1,000,000
PricewaterhouseCoopers LLPPricewaterhouseCoopersbusiness servicesinvestor protection violation2019$7,944,055
PricewaterhouseCoopers LLPricewaterhouseCoopersbusiness servicesaccounting fraud or deficiencies2002$5,000,000
PricewaterhouseCoopersPricewaterhouseCoopersbusiness servicesaccounting fraud or deficiencies2011$6,000,000
Presstek Inc. investor protection violation2010$400,000
Prescott General Partners LLC investor protection violation2018$75,000
Prescient Capital Partners, Ltd. investor protection violation2012$29,968
Premiere Power LLC investor protection violation2015$2,587,523
Premier Marketing and Investments, Inc. investor protection violation2003$4,497,451
Premier Holding Corp. investor protection violation2021$9,691,500
Precigen, Inc.Precigenagribusinessinvestor protection violation2020$2,500,000
Prager & Co., LLC investor protection violation2015$100,000
PPS Advisors Inc. investor protection violation2018$706,746
Powersecure International, Inc. accounting fraud or deficiencies2016$470,000
Power Solutions International Inc. accounting fraud or deficiencies2020$1,700,000
Potomac Asset Management Company, Inc investor protection violation2017$300,000
Portugal Telecom SGPS S.A. accounting fraud or deficiencies2016$125,000
Portfolio Advisory Services, LLC investor protection violation2002$50,000
Portfolio Advisors Alliance investor protection violation2019$1,259,721
Port Authority of New York and New Jersey investor protection violation2017$400,000
Popular Securities, LLC investor protection violation2019$544,577
Polycom, Inc.Plantronicsmiscellaneous manufacturingForeign Corrupt Practices Act2018$3,800,000
Polycom Inc.Plantronicsmiscellaneous manufacturingaccounting fraud or deficiencies2015$750,000
Poloniex LLC investor protection violation2021$10,388,309
Polo Capital International Gestao de Recursos a/k/a Polo Capital Management investor protection violation2013$282,720
Polaris Equity Management, Inc. investor protection violation2022$50,000
PNC Investments LLCPNC Financial Servicesfinancial servicesinvestor protection violation2018$7,307,770
PNC Capital Markets LLCPNC Financial Servicesfinancial servicesinvestor protection violation2015$500,000
PNC Capital Markets LLCPNC Financial Servicesfinancial servicesinvestor protection violation2022$198,323
PMB Helin Donovan, LLP investor protection violation2016$160,000
Plutus Technologies Philippines Corp. investor protection violation2020$150,000
Plug Power Inc.Plug Power Inc.utilities and power generationinvestor protection violation2023$1,250,000
PLS, CPA investor protection violation2021$73,028
PlexCorps investor protection violation2019$4,911,613
Platinum Wealth Partners, Inc. investor protection violation2020$1,330,847
Platinum Equity Advisors, LLCPlatinum Equityprivate equity (including portfolio companies)investor protection violation2017$3,402,132
Platforms Wireless International Corp. investor protection violation2007$2,431,213
PlanMember Securities Corporation investor protection violation2019$3,550,660
Piper Jaffray & Co.Piper Sandlerfinancial servicesinvestor protection violation2015$500,000
Piper Jaffray & Co.Piper Sandlerfinancial servicesinvestor protection violation2006$125,000
Piper Jaffray & Co.Piper Sandlerfinancial servicesinvestor protection violation2013$300,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.