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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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Company sort iconCurrent ParentCurrent Parent IndustryPrimary Offense TypeYearPenalty Amount
1Globe Capital, LLC investor protection violation2020$200,000
1st Discount Brokerage, Inc. investor protection violation2012$40,000
1st Global Advisors, Inc. investor protection violation2021$16,873,153
1st Global Capital Corp. investor protection violation2006$100,000
2 West, Inc., et al. investor protection violation2016$2,025,179
20th Century Jackson Equities, Inc. investor protection violation2007$470,269
211 Ventures LLC investor protection violation2013$2,300,000
21st Century Satellite Communications, Inc. investor protection violation2001$6,110,736
360 Financial, Inc. investor protection violation2017$40,000
3C Advisors & Associates, Inc. investor protection violation2016$7,500
3D/L Capital Management, LLC investor protection violation2024$285,607
3M Company3M Companymiscellaneous manufacturingForeign Corrupt Practices Act2023$6,500,000
7S Oil & Gas, LLC investor protection violation2017$750,000
8000 Inc. investor protection violation2015$6,500,000
A Chicago Convention Center, LLC and Intercontinental Regional Center Trust of Chicago, LLC investor protection violation2014$12,950,000
A.C.L.N. Ltd. and Scandinavian Car Carriers investor protection violation2004$27,000,000
A.G. Edwards & Sons, Inc.Wells Fargofinancial servicesinvestor protection violation2007$3,860,000
A.G. Edwards & Sons, Inc.Wells Fargofinancial servicesinvestor protection violation2006$125,000
A.R. Schmeidler & Co., Inc. investor protection violation2013$1,011,564
ABB LtdABB Ltd.utilities and power generationForeign Corrupt Practices Act2004$5,900,000
ABB LtdABB Ltd.utilities and power generationForeign Corrupt Practices Act2022$75,000,000
ABB Ltd.ABB Ltd.utilities and power generationForeign Corrupt Practices Act2010$39,300,000
Abetterfinancialplan.Com, LLC investor protection violation2020$581,962
ABN AMRO Bank, N.V.ABN AMROfinancial servicesinvestor protection violation2013$5,547,408
ABN AMRO Clearing Chicago LLCABN AMROfinancial servicesinvestor protection violation2020$586,000
ABN AMRO IncorporatedABN AMROfinancial servicesinvestor protection violation2001$200,000
ABS Manager investor protection violation2015$1,087,648
Abtech Holdings, Inc.? investor protection violation2018$133,414
Acadia Asset Management, LLC investor protection violation2015$354,115
Account Management LLC investor protection violation2019$100,000
Ace Payday Plus, LLC investor protection violation2004$1,842,133
ACI Inc. investor protection violation2004$7,756,750
Activision Blizzard Inc.Microsoftinformation technologyinvestor protection violation2023$35,000,000
Adams Capital Management investor protection violation2017$45,000
Adams Harkness, Inc. f/k/a Adams Harkness & Hill, Inc. investor protection violation2004$575,000
Adar Bays, LLC and Adar Alef, LLC investor protection violation2024$1,145,000
Adar International investor protection violation2000$10,000
Adirondack Financial Services Corp. investor protection violation2022$25,000
ADT Inc.Apollo Global Managementprivate equity (including portfolio companies)investor protection violation2018$100,000
Advance Local Development Corp. investor protection violation2002$9,509,736
Advanced Cell Technology investor protection violation2014$375,000
Advanced Drainage Systems, Inc.Advanced Drainage Systemsbuilding materialsinvestor protection violation2018$1,000,000
Advanced Emissions Solutions, Inc.Advanced Emissions Solutionsmiscellaneous energy products and systemsinvestor protection violation2017$500,000
Advanced Equities Inc investor protection violation2012$1,000,000
Advantage Investment Management, LLC investor protection violation2016$60,000
Advent Capital Management investor protection violation2014$144,128
Aegerion PharmaceuticalsAmryt Pharmapharmaceuticalsinvestor protection violation2017$4,100,000
Aegis Capital Corp. investor protection violation2022$2,520,865
Aegis Capital Corporation anti-money-laundering deficiencies2018$750,000
Aegis Oil, LLC fraud2016$41,319,067
AEGON USA Investment Management LLC et al.Aegonfinancial servicesinvestor protection violation2018$97,600,000
Aerokinetic Energy Corporation investor protection violation2011$859,571
Africa Gemstone Corporation investor protection violation2003$242,840
African Gold Acquisition Corp. investor protection violation2023$103,591
Agamas Capital Management, LP investor protection violation2013$250,000
AGB Partners LLC investor protection violation2010$50,000
AGCO CorporationAGCO Corp.agribusinessForeign Corrupt Practices Act2009$18,300,000
AgEagle Aerial Systems Inc. investor protection violation2023$190,000
AgFeed Industries accounting fraud or deficiencies2014$18,000,000
Agria Corporation accounting fraud or deficiencies2018$3,000,000
AIC Inc. investor protection violation2014$66,760,521
AIM Advisors, Inc. and AIM Distributors, Inc.Invescofinancial servicesinvestor protection violation2004$50,000,000
AirTrac Inc. investor protection violation2008$2,005,401
Aisling Capital investor protection violation2017$70,456
Aisling Capital LLC investor protection violation2018$200,000
Akamai TechnologiesAkamai Technologiesinformation technologyForeign Corrupt Practices Act2016$671,885
Akazoo S.A. investor protection violation2021$38,800,000
Akzo Nobel N.V.Carlyle Groupprivate equity (including portfolio companies)Foreign Corrupt Practices Act2007$2,981,513
Aladdin Capital Management LLC investor protection violation2012$1,618,831
Albemarle CorporationAlbemarlechemicalsForeign Corrupt Practices Act2023$103,600,000
Albert Fried & Company anti-money-laundering deficiencies2016$300,000
Alcatel-Lucent S.A.NokiatelecommunicationsForeign Corrupt Practices Act2010$45,000,000
Alcoa Inc.AlcoametalsForeign Corrupt Practices Act2014$161,000,000
Alere Inc.Abbott Laboratoriespharmaceuticalsaccounting fraud or deficiencies2017$13,023,885
Alexander Capital L.P. investor protection violation2018$410,987
Alexion Pharmaceuticals Inc.AstraZenecapharmaceuticalsForeign Corrupt Practices Act2020$21,000,000
Allergan Inc.AbbViepharmaceuticalsinvestor protection violation2017$15,000,000
Alliance Capital Management L.P.Equitable Holdingsfinancial servicesinvestor protection violation2003$250,000,000
Alliance One International Inc.Pyxus InternationaltobaccoForeign Corrupt Practices Act2010$10,000,000
AllianceBernstein, L.P.Equitable Holdingsfinancial servicesinvestor protection violation2007$450,000
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
Allianz SEAllianzfinancial servicesForeign Corrupt Practices Act2012$12,396,423
Alpha Fiduciary, Inc. investor protection violation2015$250,000
Alpha Tech Stock Transfer Trust investor protection violation2000$10,000
Alpha Titans LLC investor protection violation2015$698,450
AlphaBridge Capital Management accounting fraud or deficiencies2015$5,000,000
Alphacentric Advisors LLC investor protection violation2022$300,000
Alpine 4 Holdings, Inc. investor protection violation2023$60,000
Alpine Woods Capital Investors, LLC investor protection violation2011$650,000
Alta Communications investor protection violation2017$35,000
Altaba Inc. investor protection violation2018$35,000,000
Altair Nanotechnologies, Inc. investor protection violation2016$250,000
Alumni Ventures Group, LLC investor protection violation2022$5,400,000
Amadeus Wealth Advisors, LLC investor protection violation2019$40,000
Amaranth Advisors L.L.C. investor protection violation2007$716,819
Ambassador Advisors, LLC investor protection violation2022$622,642
Ambit Capital Pvt. Ltd. investor protection violation2012$30,910
Amec Foster Wheeler LimitedWood Groupoilfield services and suppliesForeign Corrupt Practices Act2021$10,100,000
America Modern Green Senior (Houston) LLC, America Modern Green Community (Houston) LLC, and America Modern Green Residential (Houston) LLC investor protection violation2018$51,400,000
America Online, Inc.Apollo Global Managementprivate equity (including portfolio companies)accounting fraud or deficiencies2000$3,500,000
Americafirst Capital Management, LLC investor protection violation2018$50,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.