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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 ParentCurrent Parent IndustryPrimary Offense TypeYearPenalty Amount sort icon
Global Infrastructure Management, LLC investor protection violation2021$4,500,000
Premier Marketing and Investments, Inc. investor protection violation2003$4,497,451
Emsanet Internet Services, Inc. and Peter Restivo Inc. d/b/a U.S. Funding investor protection violation2002$4,460,634
Deutsche Bank Securities Inc.Deutsche Bankfinancial servicesinvestor protection violation2018$4,450,000
Ironridge Global Partners, LLC and Ironridge Global IV, Ltd. investor protection violation2017$4,400,000
AutoChina International Limited accounting fraud or deficiencies2014$4,350,000
CDH & Affiliates, Inc. investor protection violation2004$4,317,616
China Shenghai Investment Management Limited investor protection violation2014$4,300,000
GFI Securities LLCBGC Partnersfinancial servicesinvestor protection violation2019$4,300,000
Credit Suisse Securities (USA) LLCUBSfinancial servicesdata submission deficiencies2015$4,250,000
OZ Management LPSculptor Capital Managementfinancial servicesdata submission deficiencies2015$4,250,000
Ingersoll-Rand Company Ltd.Ingersoll Randindustrial equipmentForeign Corrupt Practices Act2007$4,220,987
ICBC Standard Bank PlcIndustrial and Commercial Bank of Chinafinancial servicesinvestor protection violation2015$4,200,000
Jefferies & Co., Inc.Jefferies Financial Groupdiversifiedkickbacks and bribery2006$4,200,000
Verto Capital Management investor protection violation2017$4,158,517
Robert W. Baird & Co. Incorporated investor protection violation2019$4,149,167
Fremont Investment Advisors investor protection violation2004$4,146,000
Milan Group Inc. investor protection violation2013$4,141,148
Telefonica Brasil S.A. Foreign Corrupt Practices Act2019$4,124,000
Global Corporate Strategies LLC investor protection violation2019$4,120,000
Aegerion PharmaceuticalsAmryt Pharmapharmaceuticalsinvestor protection violation2017$4,100,000
Parker Drilling CompanyParker Drillingoil and gasForeign Corrupt Practices Act2013$4,090,818
Investment Placement Group investor protection violation2011$4,072,027
Ernst & Young LLPErnst & Youngbusiness servicesaccounting fraud or deficiencies2014$4,070,000
Westport Fuels Systems, Inc. Foreign Corrupt Practices Act2019$4,046,000
Trends Investments Inc. investor protection violation2023$4,007,027
J.P. Morgan Securities LLCJPMorgan Chasefinancial servicesinvestor protection violation2016$4,000,000
Morgan Stanley & Co. LLCMorgan Stanleyfinancial servicesinvestor protection violation2014$4,000,000
AVEO Pharmaceuticals Inc.LGdiversifiedinvestor protection violation2016$4,000,000
Hazan Capital Management LLC investor protection violation2009$4,000,000
SeaWorld Entertainment Inc.SeaWorld Entertainmententertainmentinvestor protection violation2018$4,000,000
Goldman Sachs Asset Management, L.P.Goldman Sachsfinancial servicesinvestor protection violation2022$4,000,000
Ensign Peak Advisers Inc. investor protection violation2023$4,000,000
Gentex CorporationGentexautomotive partsinvestor protection violation2023$4,000,000
Flutter Entertainment plcFlutter Entertainment PLCentertainmentForeign Corrupt Practices Act2023$4,000,000
J.P. Morgan Securities LLCJPMorgan Chasefinancial servicesinvestor protection violation2023$4,000,000
Exchange Traded Managers Group LLC investor protection violation2023$4,000,000
Kroll Bond Rating Agency, LLC investor protection violation2023$4,000,000
OEP Capital Advisors, L.P. investor protection violation2023$4,000,000
Fifth Street Management, LLC investor protection violation2018$3,983,660
BMO Capital Markets CorporationBank of Montrealfinancial servicesinvestor protection violation2019$3,946,000
Camden Consulting, Inc. and SKS Consulting, Inc. investor protection violation2007$3,925,000
Jefferies LLCJefferies Financial Groupdiversifiedinvestor protection violation2019$3,918,000
Equity Acquisition Company Ltd. investor protection violation2023$3,917,436
Legacy Hospitality II, LLC investor protection violation2023$3,892,012
RBC Capital Markets LLCRoyal Bank of Canadafinancial servicesinvestor protection violation2020$3,889,007
First Capital Real Estate Investments, LLC investor protection violation2021$3,876,400
A.G. Edwards & Sons, Inc.Wells Fargofinancial servicesinvestor protection violation2007$3,860,000
Polycom, Inc.Plantronicsmiscellaneous manufacturingForeign Corrupt Practices Act2018$3,800,000
Friedman, Billings, Ramsey & Co., Inc.Arlington Asset Investment Corp.financial servicesinsider trading2006$3,755,839
RSM US LLP accounting fraud or deficiencies2022$3,750,000
American Express Financial Advisors Inc.Ameriprise Financialfinancial servicesinvestor protection violation2004$3,706,693
SAP SESAPinformation technologyForeign Corrupt Practices Act2016$3,700,000
Senior Resources Asset Fund, LLC investor protection violation2006$3,699,203
Locke Capital Management Inc. investor protection violation2011$3,673,996
Angel Oak Capital Partners, LLC investor protection violation2017$3,666,370
Kornitzer Capital Management, Inc. investor protection violation2019$3,626,995
Chatfield PCS Ltd. and GO ECO Manufacturing, Inc. investor protection violation2022$3,625,263
RA Capital Management investor protection violation2014$3,624,359
Voya Holdings Inc.Voya Financialfinancial servicesinvestor protection violation2018$3,600,000
Morgan Stanley Smith BarneyMorgan Stanleyfinancial servicesinvestor protection violation2018$3,600,000
PlanMember Securities Corporation investor protection violation2019$3,550,660
Textron Inc.Textronaerospace and military contractingForeign Corrupt Practices Act2007$3,535,040
Oppenheimer & Co. Inc. and Oppenheimer Asset Management Inc.Oppenheimer Holdingsfinancial servicesinvestor protection violation2019$3,528,377
Up Global SEZC investor protection violation2023$3,520,000
Capital One Financial CorporationCapital One Financialfinancial servicesaccounting fraud or deficiencies2013$3,500,000
Assurant Inc.Assurantfinancial servicesaccounting fraud or deficiencies2010$3,500,000
America Online, Inc.Apollo Global Managementprivate equity (including portfolio companies)accounting fraud or deficiencies2000$3,500,000
Wells Fargo Advisors, LLCWells Fargofinancial servicesanti-money-laundering deficiencies2017$3,500,000
UBS Financial Services, Inc.UBSfinancial servicesinvestor protection violation2017$3,500,000
First Reserve Management, L.P. investor protection violation2016$3,500,000
Heartland Advisors, Inc. investor protection violation2008$3,500,000
Citadel Securities LLC investor protection violation2018$3,500,000
Morningstar Credit Ratings, LLCMorningstar Inc.miscellaneous servicesinvestor protection violation2020$3,500,000
Berkshire Capital Management Company, Inc. and Eat at Joe's, Ltd. (n/k/a SPYR, Inc.) investor protection violation2020$3,500,000
Garrison Point Capital, LLC investor protection violation2022$3,500,000
Mattel Inc.Mattelmiscellaneous manufacturingaccounting fraud or deficiencies2022$3,500,000
Canarsie Capital, LLC investor protection violation2015$3,494,938
Silver Edge Financial LLC investor protection violation2023$3,475,000
Benjamin F. Edwards & Co., Inc. investor protection violation2019$3,445,264
Back to Green Mining, LLC investor protection violation2023$3,442,175
Platinum Equity Advisors, LLCPlatinum Equityprivate equity (including portfolio companies)investor protection violation2017$3,402,132
PBSJ Corporation Foreign Corrupt Practices Act2015$3,400,000
Ameritas Investment Corp.Ameritas Mutual Holding Companyfinancial servicesinvestor protection violation2019$3,389,174
Global Fixed Income, LLC, et al. investor protection violation2015$3,385,989
The Lighthouse Events, LLC investor protection violation2020$3,381,686
Anson Advisors Inc investor protection violation2023$3,330,394
Metropolis Holdings, LLC fraud2004$3,320,000
Morgan Stanley Investment ManagementMorgan Stanleyfinancial servicesinvestor protection violation2011$3,300,000
General American Life Insurance CompanyMetLifefinancial servicesinvestor protection violation2007$3,300,000
BDL Manager LLC investor protection violation2014$3,297,740
William R. Hough & Co. investor protection violation2000$3,264,000
Level Global Investors, L.P. investor protection violation2011$3,244,171
Everest Capital LLC investor protection violation2020$3,208,226
GLG Partners, L.P. investor protection violation2007$3,203,639
Cantor Fitzgerald & Co.Cantor Fitzgeraldfinancial servicesinvestor protection violation2020$3,200,000
CFO-5 LLC investor protection violation2010$3,197,222
International Equity Advisors, LLC investor protection violation2005$3,190,000
JGP Global Gestao de Recursos investor protection violation2013$3,180,424
International Capital Group, LLC investor protection violation2015$3,170,054
Voya Financial Advisors, Inc.Voya Financialfinancial servicesinvestor protection violation2017$3,095,953
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.