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Violation Tracker Current Parent Headquarters Summary Page

HQ State/Territory: California
Current Parent Penalty Total since 2000: $95,988,162,967
Number of Records: 6,691
Note: The totals here are derived only from entries matched to parent companies. They are adjusted to account for the fact that each parent's entries 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. They are also adjusted to reflect cases in which federal and state or local agencies cooperated and issued separate announcements of the outcome. Duplicate or overlapping penalty amounts are marked with an asterisk in the individual records list below.
Top 10 Current Parent CompaniesTotal Penalty $Number of Records
Wells Fargo$27,616,269,231266
PG&E Corp.$19,997,607,075135
McKesson$9,570,363,75644
Visa$6,233,670,0005
Meta Platforms Inc.$6,032,930,65418
Occidental Petroleum$5,444,189,210250
Alphabet Inc.$2,649,250,32743
Apple Inc.$1,373,218,81824
Juul Labs$1,367,700,00012
Edison International$1,335,309,77382

Individual Penalty Records:

Click on the company or penalty amount for more information on each case. Click on the parent name to reach the summary page for that parent company.

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CompanyCurrent ParentCurrent Parent IndustryPrimary Offense TypeYearAgency sort iconPenalty Amount
Computer Associates International, Inc.Broadcomelectrical and electronic equipmentaccounting fraud or deficiencies2004SEC(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $225,000,000
Charles Schwab & Co., Inc.Charles Schwab Corp.financial servicesinvestor protection violation2004SEC$350,000
Franklin Advisers, Inc.Franklin Resourcesfinancial servicesinvestor protection violation2004SEC$50,000,000
Strong Capital Management, Inc.Wells Fargofinancial servicesinvestor protection violation2004SEC$80,000,000
Putnam Investment Management LLCFranklin Resourcesfinancial servicesinvestor protection violation2004SEC$55,000,000
Legg Mason Wood Walker, Inc.Franklin Resourcesfinancial servicesinvestor protection violation2004SEC$2,315,467
Wachovia Securities, LLCWells Fargofinancial servicesinvestor protection violation2004SEC$4,844,465
Prudential Securities, Inc.Wells Fargofinancial servicesinvestor protection violation2003SEC$382,000
Siebel Systems, Inc.Oracleinformation technologyinvestor protection violation2002SEC$250,000
Prudential Securities IncorporatedWells Fargofinancial servicesinvestor protection violation2000SEC$5,880,000
Wedbush Securities Inc.Wedbush Securitiesfinancial servicesinvestor protection violation2018SEC$1,304,197
Wells Fargo Advisors, LLCWells Fargofinancial servicesanti-money-laundering deficiencies2017SEC$3,500,000
YourPeople, Inc., dba Zenefits FTW Insurance ServicesTriNet Groupbusiness servicesinvestor protection violation2017SEC$450,000
Platinum Equity Advisors, LLCPlatinum Equityprivate equity (including portfolio companies)investor protection violation2017SEC$3,402,132
Cytrx CorporationCytRxpharmaceuticalsinvestor protection violation2017SEC$75,000
Wells Fargo Bank N.A. Municipal Products GroupWells Fargofinancial servicesinvestor protection violation2016SEC$440,000
Maxwell Technologies, Inc.Tesla Inc.motor vehiclesaccounting fraud or deficiencies2018SEC$2,800,000
Universal Electronics Inc.Universal Electronics Inc.electrical and electronic equipmentinvestor protection violation2014SEC$75,000
Institutional Shareholder Services Inc.Genstar Capitalprivate equity (including portfolio companies)investor protection violation2013SEC$300,000
Legg Mason Inc.Franklin Resourcesfinancial servicesForeign Corrupt Practices Act2018SEC$34,500,000
Wells Fargo Advisors LLCWells Fargofinancial servicesinvestor protection violation2018SEC$5,108,441
Charles Schwab & Co., Inc.Charles Schwab Corp.financial servicesinvestor protection violation2018SEC$2,800,000
Ingram Micro Inc.Platinum Equityprivate equity (including portfolio companies)investor protection violation2009SEC$15,000,000
Tesla Inc.Tesla Inc.motor vehiclesinvestor protection violation2018SEC$20,000,000
LendingClub Asset Management LLCLendingClub Corp.financial servicesinvestor protection violation2018SEC$5,000,000
Putnam Investment Management, LLCFranklin Resourcesfinancial servicesinvestor protection violation2018SEC$1,000,000
TD Ameritrade, Inc.Charles Schwab Corp.financial servicesinvestor protection violation2018SEC$500,000
LPL Financial CorporationLPL Financialfinancial servicesinvestor protection violation2008SEC$275,000
Putnam Investment Management, LLCFranklin Resourcesfinancial servicesinvestor protection violation2007SEC$350,000
Strong Capital Management, Inc.Wells Fargofinancial servicesinvestor protection violation2006SEC$2,185,927
Legg Mason Wood Walker, IncorporatedFranklin Resourcesfinancial servicesinvestor protection violation2005SEC$1,000,000
Putnam Investment Management, LLCFranklin Resourcesfinancial servicesinvestor protection violation2005SEC$40,000,001
Norwest Investment Services, Inc.Wells Fargofinancial servicesinvestor protection violation2002SEC$153,245
Western Asset Management Co.Franklin Resourcesfinancial servicesinvestor protection violation2001SEC$50,000
Legg Mason Fund Adviser, Inc.Franklin Resourcesfinancial servicesinvestor protection violation2001SEC$50,000
Legg Mason Wood Walker, IncorporatedFranklin Resourcesfinancial servicesinvestor protection violation2001SEC$50,000
Prudential Securities IncorporatedWells Fargofinancial servicesinvestor protection violation2001SEC$800,000
First Union Securities, Inc.Wells Fargofinancial servicesinvestor protection violation2000SEC$408,931
Wells Fargo SecuritiesWells Fargofinancial servicesinvestor protection violation2019SEC$812,500
Wedbush Securities Inc.Wedbush Securitiesfinancial servicesinvestor protection violation2019SEC$250,000
Wells Fargo Clearing Services, LLC and Wells Fargo Advisors Financial Network, LLCWells Fargofinancial servicesinvestor protection violation2019SEC$17,363,847
LPL Financial LLCLPL Financialfinancial servicesinvestor protection violation2019SEC$9,333,516
Polycom, Inc.Plantronicsmiscellaneous manufacturingForeign Corrupt Practices Act2018SEC$3,800,000
Facebook Inc.Meta Platforms Inc.information technologyinvestor protection violation2019SEC$100,000,000
Juniper Networks, Inc.Juniper Networkselectrical and electronic equipmentForeign Corrupt Practices Act2019SEC$11,745,018
Wedbush Securities Inc.Wedbush Securitiesfinancial servicesinvestor protection violation2019SEC$8,100,000
Wedbush Securities Inc.Wedbush Securitiesfinancial servicesinvestor protection violation2019SEC$1,852,540
Wells Fargo Clearing Services and Wells Fargo Advisors Financial NetworkWells Fargofinancial servicesinvestor protection violation2020SEC$35,000,000
Wells Fargo & Co.Wells Fargofinancial servicesinvestor protection violation2020SEC(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $500,000,000
Quantum CorporationQuantum Corp.electrical and electronic equipmentinvestor protection violation2019SEC$1,000,000
Ares Management LLCAres Managementprivate equity (including portfolio companies)investor protection violation2020SEC$1,000,000
Super Micro Computer, Inc.Super Micro Computer Inc.electrical and electronic equipmentaccounting fraud or deficiencies2020SEC$17,500,000
Franklin Advisers and Inc.Franklin Resourcesfinancial servicesinvestor protection violation2020SEC$250,000
Franklin Templeton Investments Corp.Franklin Resourcesfinancial servicesinvestor protection violation2020SEC$75,000
Vereit, Inc.Realty Incomereal estateinvestor protection violation2020SEC$8,000,000
The Cheesecake Factory IncorporatedCheesecake Factoryrestaurants and foodserviceaccounting fraud or deficiencies2020SEC$125,000
HP Inc.HP Inc.electrical and electronic equipmentaccounting fraud or deficiencies2020SEC$6,000,000
Robinhood Financial LLCRobinhood Marketsfinancial servicesinvestor protection violation2020SEC$65,000,000
First American Financial CorporationFirst American Financialfinancial servicesprivacy violation2021SEC$487,616
Wedbush Securities Inc.Wedbush Securitiesfinancial servicesinvestor protection violation2021SEC$1,207,000
Amyris, Inc.Amyrispharmaceuticalsinvestor protection violation2021SEC$300,000
LPL Financial LLCLPL Financialfinancial servicesinvestor protection violation2021SEC$891,202
Charles Schwab & Co., Inc. et al.Charles Schwab Corp.financial servicesinvestor protection violation2022SEC$187,000,000
Wells Fargo AdvisorsWells Fargofinancial servicesanti-money-laundering deficiencies2022SEC$7,000,000
NVIDIA CorporationNvidiaelectrical and electronic equipmentinvestor protection violation2022SEC$5,500,000
VMware, Inc.Broadcomelectrical and electronic equipmentinvestor protection violation2022SEC$8,000,000
Granite Construction, IncorporatedGranite Constructionconstruction and engineeringaccounting fraud or deficiencies2022SEC$12,000,000
Mattel Inc.Mattelmiscellaneous manufacturingaccounting fraud or deficiencies2022SEC$3,500,000
Oracle CorporationOracleinformation technologyForeign Corrupt Practices Act2022SEC$23,000,000
Wells Fargo Securities, LLC et al.Wells Fargofinancial servicesinvestor protection violation2023SEC$125,000,000
Wedbush Securities Inc.Wedbush Securitiesfinancial servicesinvestor protection violation2023SEC$10,000,000
Canoo Inc.Canoo Inc.motor vehiclesinvestor protection violation2023SEC$1,500,000
Wells Fargo Clearing Services LLCWells Fargofinancial servicesinvestor protection violation2023SEC$35,000,000
CBRE, Inc.CBRE Groupreal estateinvestor protection violation2023SEC$375,000
Lyft Inc.Lyft Inc.miscellaneous servicesinvestor protection violation2023SEC$10,000,000
Skechers U.S.A. Inc.Skechers USA Inc.apparelinvestor protection violation2024SEC$1,250,000
YourPeople, Inc., dba Zenefits FTW Insurance ServicesTriNet Groupbusiness servicesinsurance violation2016TN-INS$62,500
Wedbush Securities Inc.Wedbush Securitiesfinancial servicesinvestor protection violation2016TN-SEC$30,000
NCO Financial Systems Inc.Aloricabusiness servicesconsumer protection violation2008TX-AG$400,000
PayPal Inc.PayPal Holdingsfinancial servicesprivacy violation2016TX-AG$175,000
GoogleAlphabet Inc.information technologyconsumer protection violation2023TX-AG$8,000,000
Keller Oaks Healthcare CenterEnsign Grouphealthcare servicesnursing home violation2020TX-DHHS$66,500
Mason Creek Transitional Care Of KatyEnsign Grouphealthcare servicesnursing home violation2020TX-DHHS$12,500
OXY USA WTP LPOccidental Petroleumoil and gasenvironmental violation2020TX-ENV$7,028
Oxy Vinyls, LPOccidental Petroleumoil and gasenvironmental violation2020TX-ENV$13,260
Oxy Vinyls, LPOccidental Petroleumoil and gasenvironmental violation2019TX-ENV$6,631
Mauser USA, LLCStone Canyon Industriesdiversifiedenvironmental violation2019TX-ENV$9,750
OXY USA WTP LPOccidental Petroleumoil and gasenvironmental violation2019TX-ENV$62,937
Pasadena Refining System, Inc.Chevronoil and gasenvironmental violation2018TX-ENV$205,384
Oxy Vinyls, LPOccidental Petroleumoil and gasenvironmental violation2017TX-ENV$9,270
Oxy Vinyls, LPOccidental Petroleumoil and gasenvironmental violation2017TX-ENV$5,790
Pasadena Refining System, IncChevronoil and gasenvironmental violation2017TX-ENV$452,825
Anadarko E&P Onshore LLCOccidental Petroleumoil and gasenvironmental violation2016TX-ENV$58,560
Oxy Vinyls, LPOccidental Petroleumoil and gasenvironmental violation2016TX-ENV$5,240
Masco Cabinetry LLCPlatinum Equityprivate equity (including portfolio companies)environmental violation2016TX-ENV$23,871
Oxy Vinyls, LPOccidental Petroleumoil and gasenvironmental violation2016TX-ENV$10,944
Oxy Vinyls, LPOccidental Petroleumoil and gasenvironmental violation2016TX-ENV$5,100
Union Oil Company of CaliforniaChevronoil and gasenvironmental violation2016TX-ENV$8,820
Pasadena Refining System, IncChevronoil and gasenvironmental violation2015TX-ENV$5,520
Pasadena Refining System, IncChevronoil and gasenvironmental violation2015TX-ENV$15,751
Apple Inc.Apple Inc.electrical and electronic equipmentenvironmental violation2014TX-ENV$21,600
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.