Basic Search  |  Summaries  |  Advanced Search

Violation Tracker Current Parent Headquarters Summary Page

HQ State/Territory: California
Current Parent Penalty Total since 2000: $95,875,404,188
Number of Records: 6,672
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.$19,952,607,075134
McKesson$9,570,363,75644
Visa$6,233,670,0005
Meta Platforms Inc.$5,995,430,65417
Occidental Petroleum$5,444,189,210250
Alphabet Inc.$2,649,250,32743
Apple Inc.$1,371,418,81823
Juul Labs$1,367,700,00012
Edison International$1,332,905,77381

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.

Download results as CSV or XML or Save your search (Click here for information on download subscriptions)
CompanyCurrent ParentCurrent Parent IndustryPrimary Offense TypeYearAgency sort iconPenalty Amount
OXY USA INC.Occidental Petroleumoil and gasenvironmental violation2022TX-ENV$25,467
OCCIDENTAL PERMIAN LTD.Occidental Petroleumoil and gasenvironmental violation2022TX-ENV$12,600
OXY USA WTP LPOccidental Petroleumoil and gasenvironmental violation2023TX-ENV$42,120
Occidental Chemical CorporationOccidental Petroleumoil and gasenvironmental violation2023TX-ENV$10,500
Oxy Vinyls, LPOccidental Petroleumoil and gasenvironmental violation2023TX-ENV$63,961
Oxy Vinyls, LPOccidental Petroleumoil and gasenvironmental violation2023TX-ENV$6,360
Occidental Permian Ltd.Occidental Petroleumoil and gasenvironmental violation2022TX-ENV$23,956
Keller Oaks Healthcare CenterEnsign Grouphealthcare servicesnursing home violation2020TX-DHHS$66,500
Mason Creek Transitional Care Of KatyEnsign Grouphealthcare servicesnursing home violation2020TX-DHHS$12,500
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
Wedbush Securities Inc.Wedbush Securitiesfinancial servicesinvestor protection violation2016TN-SEC$30,000
YourPeople, Inc., dba Zenefits FTW Insurance ServicesTriNet Groupbusiness servicesinsurance violation2016TN-INS$62,500
Wells Fargo Advisors LLCWells Fargofinancial servicesinvestor protection violation2014SEC$5,000,000
Wells FargoWells Fargofinancial servicestoxic securities abuses2012SEC$6,500,000
Wells Fargo Securities LLCWells Fargofinancial servicestoxic securities abuses2011SEC$11,000,000
TD Ameritrade Inc.Charles Schwab Corp.financial servicesinvestor protection violation2011SEC$10,000,000
Charles Schwab Investment Management and Charles Schwab & Co., Inc.Charles Schwab Corp.financial servicesinvestor protection violation2011SEC$118,000,000
Qualcomm Inc.Qualcommmiscellaneous manufacturingForeign Corrupt Practices Act2016SEC$7,500,000
SciClone PharmaceuticalsSciClone PharmaceuticalspharmaceuticalsForeign Corrupt Practices Act2016SEC$12,000,000
FLIR Systems Inc.Teledyne Technologiesmiscellaneous manufacturingForeign Corrupt Practices Act2015SEC$9,500,000
Bio-Rad Laboratories Inc.Bio-Rad Laboratorieshealthcare servicesForeign Corrupt Practices Act2014SEC$40,700,000
Hewlett-PackardHP Inc.electrical and electronic equipmentForeign Corrupt Practices Act2014SEC$31,500,000
Oracle CorporationOracleinformation technologyForeign Corrupt Practices Act2012SEC$2,000,000
Maxwell Technologies Inc.Tesla Inc.motor vehiclesForeign Corrupt Practices Act2011SEC$6,350,890
Polycom Inc.Plantronicsmiscellaneous manufacturingaccounting fraud or deficiencies2015SEC$750,000
Wedbush SecuritiesWedbush Securitiesfinancial servicesinvestor protection violation2014SEC$2,440,000
Charles Schwab & Co.Charles Schwab Corp.financial servicesinvestor protection violation2014SEC$61,800
TD AmeritradeCharles Schwab Corp.financial servicesinvestor protection violation2014SEC$100,800
Wedbush Securities Inc.Wedbush Securitiesfinancial servicesinvestor protection violation2014SEC$67,200
Lions Gate Entertainment Corp.Lions Gate Entertainmententertainmentaccounting fraud or deficiencies2014SEC$7,500,000
ScottradeCharles Schwab Corp.financial servicesdata submission deficiencies2014SEC$2,500,000
Western Asset Management CompanyFranklin Resourcesfinancial servicesinvestor protection violation2014SEC$19,400,000
VeriFone Holdings, Inc.Francisco Partnersprivate equity (including portfolio companies)accounting fraud or deficiencies2009SEC$25,000
Avery Dennison CorporationAvery Dennisonmiscellaneous manufacturingForeign Corrupt Practices Act2009SEC$518,470
Evergreen Investment Management Company LLCWells Fargofinancial servicesinvestor protection violation2009SEC$40,000,000
Scottrade, Inc.Charles Schwab Corp.financial servicesinvestor protection violation2008SEC$950,000
Broadcom Corp.Broadcomelectrical and electronic equipmentinvestor protection violation2008SEC$12,000,000
Chevron CorporationChevronoil and gasForeign Corrupt Practices Act2007SEC$30,000,000
Evergreen Investment Management CompanyWells Fargofinancial servicesinvestor protection violation2007SEC$32,500,000
Brocade Communications Systems, Inc.Broadcomelectrical and electronic equipmentaccounting fraud or deficiencies2007SEC$7,000,000
A.G. Edwards & Sons, Inc.Wells Fargofinancial servicesinvestor protection violation2007SEC$3,860,000
Scientific-Atlanta, Inc.Cisco Systemselectrical and electronic equipmentaccounting fraud or deficiencies2006SEC$20,000,000
A.G. Edwards & Sons, Inc.Wells Fargofinancial servicesinvestor protection violation2006SEC$125,000
Wachovia Capital Markets, LLCWells Fargofinancial servicesinvestor protection violation2006SEC$125,000
Franklin Advisers, Inc. and Franklin Templeton Distributors, Inc.Franklin Resourcesfinancial servicesinvestor protection violation2004SEC$20,000,000
Wachovia CorporationWells Fargofinancial servicesinvestor protection violation2004SEC$37,000,000
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
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.