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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
Allianz Global Investors U.S. LLCAllianzfinancial servicesinvestor protection violation2022(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $1,024,200,000
Goldman Sachs Group Inc.Goldman Sachsfinancial servicesForeign Corrupt Practices Act2020(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $1,006,000,000
American International Group, Inc.American International Groupfinancial servicesinvestor protection violation2006$800,000,000
CR Intrinsic Investors investor protection violation2013$601,747,463
Goldman Sachs & Co.Goldman Sachsfinancial servicestoxic securities abuses2010$550,000,000
EricssonEricssontelecommunicationsForeign Corrupt Practices Act2019$539,000,000
GTV Media Group Inc., Saraca Media Group Inc., and Voice of Guo Media Inc. investor protection violation2021$539,000,000
BPBPoil and gasinvestor protection violation2012$525,000,000
WorldCom Inc.Verizon Communicationstelecommunicationsaccounting fraud or deficiencies2003$500,000,000
Wells Fargo & Co.Wells Fargofinancial servicesinvestor protection violation2020(*)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
Telia Company ABTelia Company ABtelecommunicationsForeign Corrupt Practices Act2017$457,000,000
Merrill LynchBank of Americafinancial servicesinvestor protection violation2016$415,000,000
Danske Bank A/SDanske Bankfinancial servicesanti-money-laundering deficiencies2022(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $413,000,000
Federal National Mortgage Association (Fannie Mae)Fannie Maefinancial servicesaccounting fraud or deficiencies2006$400,000,000
Citigroup Global Markets Inc. f/k/a Salomon Smith Barney Inc.Citigroupfinancial servicesinvestor protection violation2003$400,000,000
State Street Bank and Trust CompanyState Street Corp.financial servicesinvestor protection violation2016$382,400,000
Banc of America Capital Management LLC, BACAP Distributors LLC and Banc of America Securities LLCBank of Americafinancial servicesinvestor protection violation2005$375,000,000
Barclays Bank PLCBarclaysfinancial servicesinvestor protection violation2022$361,000,000
Siemens AGSiemensdiversifiedForeign Corrupt Practices Act2008$350,000,000
Invesco Funds Group, Inc.Invescofinancial servicesinvestor protection violation2004$325,000,000
State Street Bank and Trust CompanyState Street Corp.financial servicesinvestor protection violation2010$313,300,000
Time Warner Inc. accounting fraud or deficiencies2005$300,000,000
J.P. Morgan Securities LLCJPMorgan Chasefinancial servicestoxic securities abuses2012$296,900,000
CitigroupCitigroupfinancial servicestoxic securities abuses2011$285,000,000
Morgan StanleyMorgan Stanleyfinancial servicestoxic securities abuses2014$275,000,000
J.P. Morgan Securities LLC and JPMorgan Chase Bank N.A.JPMorgan Chasefinancial servicesinvestor protection violation2015$267,000,000
Bear, Stearns & Co., Inc.JPMorgan Chasefinancial servicesinvestor protection violation2006$250,000,000
Qwest Communications International Inc.Lumen Technologiestelecommunicationsaccounting fraud or deficiencies2004$250,000,000
Alliance Capital Management L.P.Equitable Holdingsfinancial servicesinvestor protection violation2003$250,000,000
AXA RosenbergAXAfinancial servicesinvestor protection violation2011$242,000,000
Teva Pharmaceutical Industries LimitedTeva Pharmaceutical IndustriespharmaceuticalsForeign Corrupt Practices Act2016$236,000,000
Computer Associates International, Inc.Broadcomelectrical and electronic equipmentaccounting fraud or deficiencies2004(*)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
Massachusetts Financial Services Co.Sun Life Financialfinancial servicesinvestor protection violation2004$225,000,000
Citigroup, Inc.Citigroupfinancial servicesinvestor protection violation2005$208,000,000
JPMorgan & Co.JPMorgan Chasefinancial servicesaccounting fraud or deficiencies2013$200,000,000
Morgan Keegan & CompanyRaymond James Financialfinancial servicestoxic securities abuses2011$200,000,000
UBS AGUBSfinancial servicestax violations2009$200,000,000
Credit Suisse First Boston LLCUBSfinancial servicesinvestor protection violation2003$200,000,000
Merrill Lynch, Pierce, Fenner & Smith, IncorporatedBank of Americafinancial servicesinvestor protection violation2003$200,000,000
General Electric Co.General Electricdiversifiedaccounting fraud or deficiencies2020$200,000,000
Boeing CompanyBoeingaerospace and military contractinginvestor protection violation2022$200,000,000
Och-Ziff Capital Management GroupSculptor Capital Managementfinancial servicesForeign Corrupt Practices Act2016$199,045,167
Credit Suisse Group AGUBSfinancial servicesinvestor protection violation2014$196,000,000
Computer Sciences CorporationDXC Technologyinformation technologyaccounting fraud or deficiencies2015$190,000,000
Charles Schwab & Co., Inc. et al.Charles Schwab Corp.financial servicesinvestor protection violation2022$187,000,000
CKB168 Holdings Ltd. Et al. investor protection violation2022$182,624,545
Citigroup Global Markets Inc. and Citigroup Alternative Investments LLCCitigroupfinancial servicesinvestor protection violation2015$180,000,000
Luckin Coffee Inc. accounting fraud or deficiencies2020$180,000,000
Kellogg Brown & Root LLCKBRconstruction and engineeringForeign Corrupt Practices Act2009$177,000,000
BlueCrest Capital Management Limited investor protection violation2020$170,000,000
VimpelCom Ltd.VEONtelecommunicationsForeign Corrupt Practices Act2016$167,500,000
Alcoa Inc.AlcoametalsForeign Corrupt Practices Act2014$161,000,000
RBS Securities Inc.NatWest Group PLCfinancial servicestoxic securities abuses2013$153,700,000
J.P. Morgan Securities LLCJPMorgan Chasefinancial servicestoxic securities abuses2011$153,600,000
Total, S.A.TotalEnergies SEoil and gasForeign Corrupt Practices Act2013$153,000,000
Bank of AmericaBank of Americafinancial servicesinvestor protection violation2010$150,000,000
Bristol-Myers Squibb CompanyBristol-Myers Squibbpharmaceuticalsaccounting fraud or deficiencies2004$150,000,000
Millennium Partners, L.P., Millennium Management, L.L.C., Millennium International Management investor protection violation2005$148,000,000
Fresenius Medical Care AG & Co KGaAFresenius Medical Carehealthcare servicesForeign Corrupt Practices Act2019$147,000,000
WalmartWalmartretailingForeign Corrupt Practices Act2019$144,000,000
Panasonic Corp.Panasonicelectrical and electronic equipmentForeign Corrupt Practices Act2018$143,000,000
Columbia Management Advisors Inc. and Columbia Funds Distributor Inc.Ameriprise Financialfinancial servicesinvestor protection violation2005$140,000,000
FleetBoston Financial CorporationBank of Americafinancial servicesinvestor protection violation2004$140,000,000
Weatherford InternationalWeatherford Internationaloilfield services and suppliesaccounting fraud or deficiencies2016$140,000,000
SCANA Corp.Dominion Energyutilities and power generationinvestor protection violation2020$137,500,000
JPMorgan Chase Bank N.A.JPMorgan Chasefinancial servicesinvestor protection violation2018$135,100,000
J.P. Morgan Chase & Co.JPMorgan Chasefinancial servicesaccounting fraud or deficiencies2003$135,000,000
Merrill LynchBank of Americafinancial servicestoxic securities abuses2013$131,800,000
JPMorgan Chase & Co.JPMorgan Chasefinancial servicesForeign Corrupt Practices Act2016$130,000,000
Mizuho Financial GroupMizuho Financialfinancial servicesinvestor protection violation2012$127,500,000
ENI S.p.A. and Snamprogetti Netherlands B.V.ENIoil and gasForeign Corrupt Practices Act2010$125,000,000
Canadian Imperial Bank of CommerceCanadian Imperial Bank of Commercefinancial servicesinvestor protection violation2005$125,000,000
Morgan Stanley & Co. IncorporatedMorgan Stanleyfinancial servicesinvestor protection violation2003$125,000,000
J.P. Morgan Securities LLCJPMorgan Chasefinancial servicesinvestor protection violation2021$125,000,000
Nikola CorporationNikola Corporationmotor vehiclesinvestor protection violation2021$125,000,000
Barclays Capital Inc.Barclaysfinancial servicesinvestor protection violation2022$125,000,000
BofA Securities Inc. and Merrill Lynch, Pierce, Fenner & Smith Inc.Bank of Americafinancial servicesinvestor protection violation2022$125,000,000
Citigroup Global Markets Inc.Citigroupfinancial servicesinvestor protection violation2022$125,000,000
Credit Suisse Securities (USA) LLCUBSfinancial servicesinvestor protection violation2022$125,000,000
Deutsche Bank Securities Inc.Deutsche Bankfinancial servicesinvestor protection violation2022$125,000,000
Goldman Sachs & Co. LLCGoldman Sachsfinancial servicesinvestor protection violation2022$125,000,000
Morgan Stanley & Co. LLCMorgan Stanleyfinancial servicesinvestor protection violation2022$125,000,000
UBS Securities LLC and UBS Financial Services Inc.UBSfinancial servicesinvestor protection violation2022$125,000,000
Wells Fargo Securities, LLC et al.Wells Fargofinancial servicesinvestor protection violation2023$125,000,000
Credit Suisse Securities (USA)UBSfinancial servicestoxic securities abuses2012$120,000,000
Royal Dutch Petroleum CompanyShell PLCoil and gasaccounting fraud or deficiencies2004$120,000,000
Charles Schwab Investment Management and Charles Schwab & Co., Inc.Charles Schwab Corp.financial servicesinvestor protection violation2011$118,000,000
Novartis AGNovartispharmaceuticalsForeign Corrupt Practices Act2020$112,800,000
U.S. Pension Trust Corp. and U.S. College Trust Corp.U.S. Pension Trust Corp.financial servicesinvestor protection violation2010$112,600,000
Goldman, Sachs & Co.Goldman Sachsfinancial servicesinvestor protection violation2003$110,000,000
ConvergEx GroupToronto-Dominion Bankfinancial servicesinvestor protection violation2013$107,424,429
TLC Investments & Trade Co. investor protection violation2001$106,600,000
Albemarle CorporationAlbemarlechemicalsForeign Corrupt Practices Act2023$103,600,000
Citigroup, Inc.Citigroupfinancial servicesaccounting fraud or deficiencies2003$101,000,000
Dell Inc.Dell Technologieselectrical and electronic equipmentaccounting fraud or deficiencies2010$100,000,000
HealthSouth CorporationEncompass Healthhealthcare servicesaccounting fraud or deficiencies2005$100,000,000
Janus Capital Management LLCJanus Hendersonfinancial servicesinvestor protection violation2004$100,000,000
Credit Suisse First Boston CorporationUBSfinancial servicesinvestor protection violation2002$100,000,000
Mobile TeleSystems PJSCMobile TeleSystems PJSCtelecommunicationsForeign Corrupt Practices Act2019$100,000,000
Facebook Inc.Meta Platforms Inc.information technologyinvestor protection violation2019$100,000,000
Ernst & Young LLPErnst & Youngbusiness servicesinvestor protection violation2022$100,000,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.