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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 Parent sort iconCurrent Parent IndustryPrimary Offense TypeYearPenalty Amount
EricssonEricssontelecommunicationsForeign Corrupt Practices Act2019$539,000,000
Alliance Capital Management L.P.Equitable Holdingsfinancial servicesinvestor protection violation2003$250,000,000
AXA Advisors, LLCEquitable Holdingsfinancial servicesinvestor protection violation2012$100,000
AXA Advisors, LLCEquitable Holdingsfinancial servicesinvestor protection violation2009$50,000
AllianceBernstein, L.P.Equitable Holdingsfinancial servicesinvestor protection violation2007$450,000
AXA Advisors, LLCEquitable Holdingsfinancial servicesinvestor protection violation2019$1,134,152
Equitable Financial Life Insurance CompanyEquitable Holdingsfinancial servicesinvestor protection violation2022$50,000,000
Statoil, ASAEquinoroil and gasinvestor protection violation2006$10,500,000
TALX CorporationEquifaxmiscellaneous servicesaccounting fraud or deficiencies2005$2,500,000
KMG Chemicals, Inc.Entegriselectrical and electronic equipmentinvestor protection violation2014$150,000
ENI S.p.A. and Snamprogetti Netherlands B.V.ENIoil and gasForeign Corrupt Practices Act2010$125,000,000
Eni S.p.A.ENIoil and gasForeign Corrupt Practices Act2020$24,500,000
Energy Capital Partners Management LPEnergy Capital Partnersprivate equity (including portfolio companies)investor protection violation2022$1,000,000
HealthSouth CorporationEncompass Healthhealthcare servicesaccounting fraud or deficiencies2005$100,000,000
EnCap Investments L.P.Encap Investmentsprivate equity (including portfolio companies)investor protection violation2018$500,000
Embraer S.A.Embraeraerospace and military contractingForeign Corrupt Practices Act2016$98,000,000
Eli Lilly and CompanyEli LillypharmaceuticalsForeign Corrupt Practices Act2012$29,398,734
Swisher HygieneEcolabchemicalsaccounting fraud or deficiencies2016$2,000,000
Computer Sciences CorporationDXC Technologyinformation technologyaccounting fraud or deficiencies2015$190,000,000
DXC Technology CompanyDXC Technologyinformation technologyaccounting fraud or deficiencies2023$8,000,000
The Dun & Bradstreet CorporationDun & Bradstreetinformation technologyForeign Corrupt Practices Act2018$9,221,484
Panalpina, Inc.DSVfreight and logisticsForeign Corrupt Practices Act2010$11,329,369
Dow Chemical CompanyDow Inc.chemicalsForeign Corrupt Practices Act2007$325,000
The Dow Chemical CompanyDow Inc.chemicalsinvestor protection violation2018$1,750,000
SCANA Corp.Dominion Energyutilities and power generationinvestor protection violation2020$137,500,000
Dollar General CorporationDollar Generalretailingaccounting fraud or deficiencies2005$10,000,000
Diebold Inc.Diebold Nixdorfmiscellaneous manufacturingForeign Corrupt Practices Act2013$22,900,000
Diebold, Inc.Diebold Nixdorfmiscellaneous manufacturingaccounting fraud or deficiencies2010$25,000,000
Diageo PLCDiageobeveragesForeign Corrupt Practices Act2011$16,373,820
Diageo plcDiageobeveragesinvestor protection violation2020$5,000,000
Magyar Telekom PlcDeutsche TelekomtelecommunicationsForeign Corrupt Practices Act2011$31,200,000
Deutsche Bank AGDeutsche Bankfinancial servicesinvestor protection violation2015$55,000,000
Deutsche Bank Securities Inc.Deutsche Bankfinancial servicesinvestor protection violation2004$87,500,000
Deutsche Asset Management, Inc.Deutsche Bankfinancial servicesinvestor protection violation2003$750,000
Deutsche Bank Securities Inc.Deutsche Bankfinancial servicesdata submission deficiencies2002$1,650,000
Deutsche Bank SecuritiesDeutsche Bankfinancial servicesinvestor protection violation2016$9,500,000
Deutsche BankDeutsche Bankfinancial servicesinvestor protection violation2016$18,500,000
Deutsche Bank Securities Inc.Deutsche Bankfinancial servicesinvestor protection violation2018$4,450,000
Deutsche Bank Trust Co. Americas and Deutsche Bank Securities Inc.Deutsche Bankfinancial servicesinvestor protection violation2018$73,200,000
Deutsche Bank Trust Company AmericasDeutsche Bankfinancial servicesinvestor protection violation2007$750,000
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
Deutsche Investment Management Americas, Inc. et al.Deutsche Bankfinancial servicesinvestor protection violation2006$19,329,729
Deutsche Bank Securities Inc.Deutsche Bankfinancial servicesinvestor protection violation2019$2,971,462
Deutsche Bank Trust Company AmericasDeutsche Bankfinancial servicesinvestor protection violation2019$500,000
Deutsche Bank AGDeutsche Bankfinancial servicesForeign Corrupt Practices Act2019$16,178,850
Deutsche Bank AGDeutsche Bankfinancial servicesForeign Corrupt Practices Act2021$43,000,000
Deutsche Bank Securities Inc.Deutsche Bankfinancial servicesinvestor protection violation2022$125,000,000
DWS Investment Management Americas Inc.Deutsche Bankfinancial servicesinvestor protection violation2023$25,000,000
Dentsply Sirona Inc.Dentsply Sironamedical equipment and suppliesinvestor protection violation2020$1,000,000
Deloitte & Touche LLPDeloittebusiness servicesaccounting fraud or deficiencies2015$1,113,916
Deloitte & Touche South AfricaDeloittebusiness servicesaccounting fraud or deficiencies2012$247,043
Deloitte & Touche LLPDeloittebusiness servicesaccounting fraud or deficiencies2005$375,000
Deloitte & Touche LLPDeloittebusiness servicesaccounting fraud or deficiencies2005$50,000,000
Deloitte & ToucheDeloittebusiness servicesaccounting fraud or deficiencies2018$99,057
Deloitte Touche Tohmatsu LLCDeloittebusiness servicesaccounting fraud or deficiencies2019$2,000,000
Deloitte Touche Tohmatsu Certified Public Accountants LimitedDeloittebusiness servicesaccounting fraud or deficiencies2015$500,000
Deloitte Touche Tohmatsu Certified Public Accountants LLP (Deloitte-China)Deloittebusiness servicesaccounting fraud or deficiencies2022$20,000,000
Dell Inc.Dell Technologieselectrical and electronic equipmentaccounting fraud or deficiencies2010$100,000,000
Danske Bank A/SDanske Bankfinancial servicesanti-money-laundering deficiencies2022(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $413,000,000
UQM Technologies, Inc.Danfossindustrial equipmentinvestor protection violation2019$500,000
Dean Foods CompanyDairy Farmers of America (DFA)food productsaccounting fraud or deficiencies2004$400,000
ProEquities, Inc.Dai-ichi Lifefinancial servicesinvestor protection violation2019$1,852,383
Cytrx CorporationCytRxpharmaceuticalsinvestor protection violation2017$75,000
CVS Caremark Corp.CVS Healthretailingaccounting fraud or deficiencies2014$20,000,000
Omega Protein CorporationCooke Inc.food productsinvestor protection violation2019$400,000
ConAgra Foods, Inc.ConAgra Brandsfood productsaccounting fraud or deficiencies2007$45,000,000
Comscore, Inc.ComScoreinformation servicesaccounting fraud or deficiencies2019$5,000,000
Compass Minerals International Inc.Compass Minerals Internationalmining and mineralsinvestor protection violation2022$12,000,000
Comerica Securities, Inc.Comericafinancial servicesinvestor protection violation2015$60,000
Comerica Securities, Inc.Comericafinancial servicesinvestor protection violation2019$186,377
Vivendi Universal, S.A.Comcasttelecommunicationsaccounting fraud or deficiencies2003$50,000,000
Cognizant Technology Solutions CorporationCognizant Technology Solutionsinformation technologyForeign Corrupt Practices Act2019$6,000,000
Conseco, Inc.CNO Financialfinancial servicesinvestor protection violation2004$15,000,000
ICAP plcCME Groupfinancial servicesinvestor protection violation2009$25,000,000
Clovis Oncology Inc.Clovis Oncologypharmaceuticalsinvestor protection violation2018$20,000,000
Clear Channel Outdoor Holdings Inc.Clear Channel Outdoor Holdingsbusiness servicesForeign Corrupt Practices Act2023$26,100,000
Citigroup Global MarketsCitigroupfinancial servicesinvestor protection violation2015$15,000,000
Citigroup Global Markets Inc. and Citigroup Alternative Investments LLCCitigroupfinancial servicesinvestor protection violation2015$180,000,000
CitigroupCitigroupfinancial servicestoxic securities abuses2011$285,000,000
Citigroup Inc.Citigroupfinancial servicestoxic securities abuses2010$75,000,000
Citigroup Global MarketsCitigroupfinancial servicesdata submission deficiencies2016$7,000,000
Citigroup Global Markets Inc.Citigroupfinancial servicesinvestor protection violation2015$500,000
LavaFlow Inc.Citigroupfinancial servicesinvestor protection violation2014$5,000,000
The BISYS GroupCitigroupfinancial servicesaccounting fraud or deficiencies2007$25,000,000
Citigroup Global Markets, Inc.Citigroupfinancial servicesinvestor protection violation2006$1,500,000
Citigroup, Inc.Citigroupfinancial servicesinvestor protection violation2005$208,000,000
Citigroup Global Markets, Inc.Citigroupfinancial servicesinvestor protection violation2005$20,000,000
Citigroup, Inc.Citigroupfinancial servicesaccounting fraud or deficiencies2003$101,000,000
Citigroup, Inc.Citigroupfinancial servicesaccounting fraud or deficiencies2003$19,000,000
Citigroup Global Markets Inc. f/k/a Salomon Smith Barney Inc.Citigroupfinancial servicesinvestor protection violation2003$400,000,000
Citigroup Global MarketsCitigroupfinancial servicesinvestor protection violation2017$2,963,735
Citigroup Global MarketsCitigroupfinancial servicesinvestor protection violation2017$18,300,000
CitigroupCitigroupfinancial servicesaccounting fraud or deficiencies2018$10,500,000
Citibank N.A.Citigroupfinancial servicesinvestor protection violation2018$38,700,000
Citigroup Global Markets Inc.Citigroupfinancial servicesinvestor protection violation2018$12,937,475
Citigroup Global Markets, Inc.Citigroupfinancial servicesinvestor protection violation2007$200,000
Citigroup Global Markets Inc.Citigroupfinancial servicesinvestor protection violation2022$125,000,000
Citigroup Global Markets Inc.Citigroupfinancial servicesinvestor protection violation2023$2,900,000
Citigroup Global Markets, Inc.Citigroupfinancial servicesinvestor protection violation2023$1,975,000
Scientific-Atlanta, Inc.Cisco Systemselectrical and electronic equipmentaccounting fraud or deficiencies2006$20,000,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.