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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 Companies | Total Penalty $ | Number of Records |
JPMorgan Chase | $2,076,789,938 | 29 |
Bank of America | $1,933,986,175 | 37 |
UBS | $1,711,703,654 | 43 |
Citigroup | $1,555,476,210 | 23 |
Goldman Sachs | $966,302,860 | 22 |
Wells Fargo | $959,489,356 | 27 |
Morgan Stanley | $907,118,395 | 37 |
American International Group | $895,900,000 | 4 |
State Street Corp. | $831,780,000 | 5 |
Allianz | $748,996,423 | 4 |
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.