Violation Tracker Agency Summary Page

Agency Name: 
Securities and Exchange Commission
Penalty Total since 2000: 
$26,530,843,414
Number of Records: 
1,665
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 Parent CompaniesTotal Penalty $Number of Records
Bank of America$1,816,486,79932
JPMorgan Chase$1,753,136,35319
Citigroup$1,425,601,21020
American International Group$856,000,0003
Goldman Sachs$828,852,86016
Credit Suisse$807,504,71411
State Street Corp.$743,000,0004
Morgan Stanley$647,920,93525
SAC Capital$601,747,4631
BP$525,000,0001


Individual Penalty Records:

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Company Parent Parent Major Industry Primary Offense Type Year Penalty Amountsort icon
American International Group, Inc. American International Group financial services securities issuance or trading violation 2006 $800,000,000
CR Intrinsic Investors SAC Capital financial services securities issuance or trading violation 2013 $601,747,463
Goldman Sachs & Co. Goldman Sachs financial services toxic securities abuses 2010 $550,000,000
BP BP oil and gas investor protection violation 2012 $525,000,000
WorldCom Inc. Verizon Communications telecommunications accounting fraud or deficiencies 2003 $500,000,000
Telia Company AB Telia Company AB telecommunications Foreign Corrupt Practices Act 2017 $457,000,000
Merrill Lynch Bank of America financial services investor protection violation 2016 $415,000,000
Federal National Mortgage Association (Fannie Mae) Fannie Mae financial services accounting fraud or deficiencies 2006 $400,000,000
Citigroup Global Markets Inc. f/k/a Salomon Smith Barney Inc. Citigroup financial services investor protection violation 2003 $400,000,000
State Street Bank and Trust Company State Street Corp. financial services investor protection violation 2016 $382,400,000
Banc of America Capital Management LLC, BACAP Distributors LLC and Banc of America Securities LLC Bank of America financial services securities issuance or trading violation 2005 $375,000,000
Siemens AG Siemens diversified Foreign Corrupt Practices Act 2008 $350,000,000
Invesco Funds Group, Inc. Invesco financial services securities issuance or trading violation 2004 $325,000,000
State Street Bank and Trust Company State Street Corp. financial services investor protection violation 2010 $313,300,000
Time Warner Inc. AT&T telecommunications accounting fraud or deficiencies 2005 $300,000,000
J.P. Morgan Securities LLC JPMorgan Chase financial services toxic securities abuses 2012 $296,900,000
Citigroup Citigroup financial services toxic securities abuses 2011 $285,000,000
Morgan Stanley Morgan Stanley financial services toxic securities abuses 2014 $275,000,000
J.P. Morgan Securities LLC and JPMorgan Chase Bank N.A. JPMorgan Chase financial services investor protection violation 2015 $267,000,000
Bear, Stearns & Co., Inc. JPMorgan Chase financial services securities issuance or trading violation 2006 $250,000,000
Qwest Communications International Inc. CenturyLink telecommunications accounting fraud or deficiencies 2004 $250,000,000
Alliance Capital Management L.P. AXA financial services securities issuance or trading violation 2003 $250,000,000
AXA Rosenberg AXA financial services investor protection violation 2011 $242,000,000
Teva Pharmaceutical Industries Limited Teva Pharmaceutical Industries pharmaceuticals Foreign Corrupt Practices Act 2016 $236,000,000
Computer Associates International, Inc. CA Inc. information technology accounting fraud or deficiencies 2004 $225,000,000
Massachusetts Financial Services Co. Sun Life Financial financial services securities issuance or trading violation 2004 $225,000,000
Citigroup, Inc. Citigroup financial services securities issuance or trading violation 2005 $208,000,000
JPMorgan & Co. JPMorgan Chase financial services accounting fraud or deficiencies 2013 $200,000,000
Morgan Keegan & Company Raymond James Financial financial services toxic securities abuses 2011 $200,000,000
UBS AG UBS financial services tax violations 2009 $200,000,000
Credit Suisse First Boston LLC Credit Suisse financial services investor protection violation 2003 $200,000,000
Merrill Lynch, Pierce, Fenner & Smith, Incorporated Bank of America financial services investor protection violation 2003 $200,000,000
Och-Ziff Capital Management Group Och-Ziff Capital Management financial services Foreign Corrupt Practices Act 2016 $199,045,167
Credit Suisse Group AG Credit Suisse financial services investor protection violation 2014 $196,000,000
Computer Sciences Corporation DXC Technology information technology accounting fraud or deficiencies 2015 $190,000,000
Citigroup Global Markets Inc. and Citigroup Alternative Investments LLC Citigroup financial services investor protection violation 2015 $180,000,000
Kellogg Brown & Root LLC KBR construction and engineering Foreign Corrupt Practices Act 2009 $177,000,000
VimpelCom Ltd. VEON telecommunications Foreign Corrupt Practices Act 2016 $167,500,000
Alcoa Inc. Alcoa metals Foreign Corrupt Practices Act 2014 $161,000,000
RBS Securities Inc. Royal Bank of Scotland financial services toxic securities abuses 2013 $153,700,000
J.P. Morgan Securities LLC JPMorgan Chase financial services toxic securities abuses 2011 $153,600,000
Total, S.A. Total S.A. oil and gas Foreign Corrupt Practices Act 2013 $153,000,000
Bank of America Bank of America financial services investor protection violation 2010 $150,000,000
Bristol-Myers Squibb Company Bristol-Myers Squibb pharmaceuticals accounting fraud or deficiencies 2004 $150,000,000
Millennium Partners, L.P., Millennium Management, L.L.C., Millennium International Management   securities issuance or trading violation 2005 $148,000,000
Panasonic Corp. Panasonic electrical and electronic equipment Foreign Corrupt Practices Act 2018 $143,000,000
Columbia Management Advisors Inc. and Columbia Funds Distributor Inc. Ameriprise Financial financial services securities issuance or trading violation 2005 $140,000,000
Strong Capital Management, Inc. Wells Fargo financial services securities issuance or trading violation 2004 $140,000,000
FleetBoston Financial Corporation Bank of America financial services securities issuance or trading violation 2004 $140,000,000
Weatherford International Weatherford International oilfield services and supplies accounting fraud or deficiencies 2016 $140,000,000
J.P. Morgan Chase & Co. JPMorgan Chase financial services accounting fraud or deficiencies 2003 $135,000,000
Merrill Lynch Bank of America financial services toxic securities abuses 2013 $131,800,000
JPMorgan Chase & Co. JPMorgan Chase financial services Foreign Corrupt Practices Act 2016 $130,000,000
Mizuho Financial Group Mizuho Financial financial services investor protection violation 2012 $127,500,000
ENI S.p.A. and Snamprogetti Netherlands B.V. ENI oil and gas Foreign Corrupt Practices Act 2010 $125,000,000
Canadian Imperial Bank of Commerce Canadian Imperial Bank of Commerce financial services securities issuance or trading violation 2005 $125,000,000
Morgan Stanley & Co. Incorporated Morgan Stanley financial services investor protection violation 2003 $125,000,000
Credit Suisse Securities (USA) Credit Suisse financial services toxic securities abuses 2012 $120,000,000
Royal Dutch Petroleum Company Royal Dutch Shell oil and gas accounting fraud or deficiencies 2004 $120,000,000
Charles Schwab Investment Management and Charles Schwab & Co., Inc. Charles Schwab Corp. financial services investor protection violation 2011 $118,000,000
U.S. Pension Trust Corp. and U.S. College Trust Corp. U.S. Pension Trust Corp. financial services investor protection violation 2010 $112,600,000
Goldman, Sachs & Co. Goldman Sachs financial services investor protection violation 2003 $110,000,000
ConvergEx Group Cowen Inc. financial services investor protection violation 2013 $107,424,429
TLC Investments & Trade Co.   securities issuance or trading violation 2001 $106,600,000
Citigroup, Inc. Citigroup financial services accounting fraud or deficiencies 2003 $101,000,000
Dell Inc. Dell Technologies electrical and electronic equipment accounting fraud or deficiencies 2010 $100,000,000
HealthSouth Corporation Encompass Health healthcare services accounting fraud or deficiencies 2005 $100,000,000
Janus Capital Management LLC Janus Henderson financial services securities issuance or trading violation 2004 $100,000,000
Credit Suisse First Boston Corporation Credit Suisse financial services securities issuance or trading violation 2002 $100,000,000
Pentagon Capital Management   securities issuance or trading violation 2012 $98,600,000
Technip S.A. TechnipFMC oilfield services and supplies Foreign Corrupt Practices Act 2010 $98,000,000
Embraer S.A. Embraer aerospace and military contracting Foreign Corrupt Practices Act 2016 $98,000,000
AEGON USA Investment Management LLC et al. Aegon financial services investor protection violation 2018 $97,600,000
Barclays Capital Barclays financial services investor protection violation 2017 $97,037,659
Daimler AG Daimler motor vehicles Foreign Corrupt Practices Act 2010 $91,400,000
Pilgrim Baxter & Associates, Ltd.   securities issuance or trading violation 2004 $90,000,000
Credit Suisse AG Credit Suisse financial services accounting fraud or deficiencies 2016 $90,000,000
Deutsche Bank Securities Inc. Deutsche Bank financial services investor protection violation 2004 $87,500,000
Monsanto Company Bayer chemicals accounting fraud or deficiencies 2016 $80,000,000
Canadian Imperial Bank of Commerce Canadian Imperial Bank of Commerce financial services accounting fraud or deficiencies 2003 $80,000,000
Bear, Stearns & Co. Inc. JPMorgan Chase financial services investor protection violation 2003 $80,000,000
J.P. Morgan Securities Inc. JPMorgan Chase financial services investor protection violation 2003 $80,000,000
Lehman Brothers Inc. Lehman Brothers financial services investor protection violation 2003 $80,000,000
UBS Warburg LLC UBS financial services investor protection violation 2003 $80,000,000
Merrill Lynch & Co. Inc. Bank of America financial services accounting fraud or deficiencies 2003 $80,000,000
Citigroup Inc. Citigroup financial services toxic securities abuses 2010 $75,000,000
J.P. Morgan Securities Inc. JPMorgan Chase financial services kickbacks and bribery 2009 $75,000,000
Edward D. Jones & Co., L.P. Jones Financial financial services investor protection violation 2004 $75,000,000
Deutsche Bank Trust Co. Americas and Deutsche Bank Securities Inc. Deutsche Bank financial services securities issuance or trading violation 2018 $73,200,000
Federated Investors, Inc. Federated Investors Inc. financial services investor protection violation 2005 $72,000,000
Luca International Group, LLC   investor protection violation 2016 $68,300,000
American Skandia Investment Services, Inc. Prudential Financial financial services investor protection violation 2009 $68,000,000
Bank of Bermuda   fraud 2001 $67,500,000
Avon Products Cerberus Capital Management private equity (including portfolio companies) Foreign Corrupt Practices Act 2014 $67,400,000
AIC Inc.   investor protection violation 2014 $66,760,521
Knight Securities, L.P. Virtu Financial financial services investor protection violation 2004 $66,500,000
Weatherford International Limited Weatherford International oilfield services and supplies Foreign Corrupt Practices Act 2013 $65,600,000
Braskem S.A. Braskem chemicals Foreign Corrupt Practices Act 2016 $65,000,000
LaBranche & Co., LLC   securities issuance or trading violation 2004 $63,518,760
Fleet Specialist, Inc.   securities issuance or trading violation 2004 $59,097,469
Standard & Poor's Ratings Services S&P Global information technology toxic securities abuses 2015 $58,000,000
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