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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 TypeYear sort iconPenalty Amount
International Business Machines CorporationIBM Corp.information technologyForeign Corrupt Practices Act2000$300,000
Yes Entertainment, LLC investor protection violation2000$14,546,808
Golf Emporium Corporation fraud2000$8,622,014
First Paragon, Inc. investor protection violation2000$1,040,000
EquityAlert.com, Inc. investor protection violation2000$20,000
Commonwealth Communications Group and Marjet Corp. fraud2000$1,407,284
Chemical Trust, U.S. Guarantee Corp., and United Marketing Trust investor protection violation2000$20,590,000
JW Charles Financial Services, Inc. investor protection violation2000$20,000
California Financial Services, Inc., Internet Telecommunications Albany System SMR, Internet Telecommunications Reno System SMR and Internet Telecommu fraud2000$2,876,405
Millennium Software Solutions, Inc. investor protection violation2000$760,450
New Concepts, L.L.C. investor protection violation2000$20,000
Liberty Capital Group, Inc. investor protection violation2000$35,000
America Online, Inc.Apollo Global Managementprivate equity (including portfolio companies)accounting fraud or deficiencies2000$3,500,000
Assured International, Inc. and Sharp Financial Corp. investor protection violation2000$1,407,217
Dain Rauscher IncorporatedRoyal Bank of Canadafinancial servicesinvestor protection violation2000$12,941,191
Goldman, Sachs & Co.Goldman Sachsfinancial servicesinvestor protection violation2000$5,200,000
Lehman Brothers Inc. investor protection violation2000$4,950,000
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBank of Americafinancial servicesinvestor protection violation2000$5,000,000
Morgan Stanley & Co. IncorporatedMorgan Stanleyfinancial servicesinvestor protection violation2000$2,500,000
PaineWebber IncorporatedUBSfinancial servicesinvestor protection violation2000$26,200,000
Prudential Securities IncorporatedWells Fargofinancial servicesinvestor protection violation2000$5,880,000
Salomon Smith Barney Inc.Morgan Stanleyfinancial servicesinvestor protection violation2000$45,000,000
Warburg Dillon Read LLCUBSfinancial servicesinvestor protection violation2000$6,680,000
William R. Hough & Co. investor protection violation2000$3,264,000
Prime Atlantic, Inc. investor protection violation2000$12,682,820
DynamicDaytrader.com investor protection violation2000$55,107
Marion Bass Securities Corp. investor protection violation2000$150,000
Focus Tech Investments, Inc. investor protection violation2000$10,000
Adar International investor protection violation2000$10,000
Longman & Associates, Inc. investor protection violation2000$10,000
Kading Companies, S.A. and Joning Corp. investor protection violation2000$10,000
National Stock Transfer Inc. investor protection violation2000$5,000
First Union Securities, Inc.Wells Fargofinancial servicesinvestor protection violation2000$408,931
CGI Capital, Inc. investor protection violation2000$25,000
D.E. Frey and Company, Inc. investor protection violation2000$100,000
Prospera Financial Services, Inc. investor protection violation2000$40,000
Signal Securities Inc. investor protection violation2000$50,000
First Colonial Securities Group, Inc. investor protection violation2000$25,000
F.W. Thompson Company Ltd. investor protection violation2000$100,000
Dean Witter Reynolds Inc.Morgan Stanleyfinancial servicesinvestor protection violation2000$476,702
Alpha Tech Stock Transfer Trust investor protection violation2000$10,000
Dawson-Samberg Capital Management, Inc. investor protection violation2000$100,000
Fahnestock & Co., Inc.Oppenheimer Holdingsfinancial servicesinvestor protection violation2000$20,000
Janney Montgomery Scott LLCPenn Mutualfinancial servicesinvestor protection violation2000$100,000
Owen-Joseph Asset Management Corp.? investor protection violation2000$68,000
Founders Asset Management LLC investor protection violation2000$50,000
Dreyfus CorporationBank of New York Mellonfinancial servicesinvestor protection violation2000$950,000
Gold Asset Management, Inc. investor protection violation2000$20,000
WWW Advisors, Inc. investor protection violation2000$5,000
Asset Timing Corp. investor protection violation2000$5,000
Investment Street Company and Dynamic Trading of Miami, Inc. investor protection violation2000$25,000
TLC Investments & Trade Co. investor protection violation2001$106,600,000
Commonwealth Communications Group investor protection violation2001$716,516
21st Century Satellite Communications, Inc. investor protection violation2001$6,110,736
Shreveport Wireless Cable Television Partnership, Complete Communications Corporation, Champion Communications Corporation, B.R. Cable Communications investor protection violation2001$41,727,403
Chiquita Brands International, Inc.Chiquita Brands Internationalfood productsForeign Corrupt Practices Act2001$100,000
Milan Capital Group, Inc. and Investment Offices d/b/a AC Financial, Inc. investor protection violation2001$9,395,066
Bank of Bermuda fraud2001$67,500,000
World Financial & Investment Co., Inc. investor protection violation2001$175,000
Arthur Andersen LLP accounting fraud or deficiencies2001$7,000,000
The Globus Group investor protection violation2001$300,000
TPG CapitalTPG Capitalprivate equity (including portfolio companies)investor protection violation2001$50,000
Pacific Air Transport investor protection violation2001$1,364,692
WinterHawk West Indies, Ltd., Funders Marketing Company, Inc., FMCI Trust, Fortune Investments, Ltd., and TREDS Financial Trust investor protection violation2001$18,864,116
One Touch Marketing, Inc. investor protection violation2001$118,387
Gateway Technologies, Inc. and The Cheyenne Holding Corp. fraud2001$5,083,378
Sunset Investment Group, Inc. investor protection violation2001$70,000
PinkMonkey.com, Inc. fraud2001$20,000
Future Strategies Srl a/k/a Future Strategies International investor protection violation2001$1,500,073
TAC International Ltd. fraud2001$11,548,454
Millennium Group of New York, LLC investor protection violation2001$7,602
Tiffany Capital Advisors, Inc. investor protection violation2001$40,000
Duff & Phelps Investment Management Co., Inc investor protection violation2001$854,161
Western Asset Management Co.Franklin Resourcesfinancial servicesinvestor protection violation2001$50,000
Legg Mason Fund Adviser, Inc.Franklin Resourcesfinancial servicesinvestor protection violation2001$50,000
W.J. Nolan & Co. investor protection violation2001$192,028
ABN AMRO IncorporatedABN AMROfinancial servicesinvestor protection violation2001$200,000
Oechsle International Advisors L.L.C. investor protection violation2001$200,000
Hawthorne Associates, Inc. investor protection violation2001$25,000
Sage Advisory Services LLC investor protection violation2001$288,328
JPR Capital Corp. investor protection violation2001$55,000
Legg Mason Wood Walker, IncorporatedFranklin Resourcesfinancial servicesinvestor protection violation2001$50,000
United Stock Transfer Inc. investor protection violation2001$10,000
Wyser-Pratte Management Co., Inc. and Wyser-Pratte and Co., Inc. investor protection violation2001$400,000
Joel R. Mogy Investment Counsel, Inc.? investor protection violation2001$12,500
Business & Financial Advisors, Inc. investor protection violation2001$128,817
Prudential Securities IncorporatedWells Fargofinancial servicesinvestor protection violation2001$800,000
Syncor International Corporation Foreign Corrupt Practices Act2002$500,000
Deutsche Bank Securities Inc.Deutsche Bankfinancial servicesdata submission deficiencies2002$1,650,000
Goldman, Sachs & Co.Goldman Sachsfinancial servicesdata submission deficiencies2002$1,650,000
Morgan Stanley & Co. IncorporatedMorgan Stanleyfinancial servicesdata submission deficiencies2002$1,650,000
Salomon Smith Barney Inc.Morgan Stanleyfinancial servicesdata submission deficiencies2002$1,650,000
U.S. Bancorp Piper Jaffray Inc.Piper Sandlerfinancial servicesdata submission deficiencies2002$1,650,000
ICN Pharmaceuticals, Inc.Bausch Healthpharmaceuticalsaccounting fraud or deficiencies2002$1,000,000
Siebel Systems, Inc.Oracleinformation technologyinvestor protection violation2002$250,000
Emsanet Internet Services, Inc. and Peter Restivo Inc. d/b/a U.S. Funding investor protection violation2002$4,460,634
Anamar Communications, Inc. investor protection violation2002$136,917
Basic Capital Management, Inc. investor protection violation2002$850,000
Dynegy Inc.Vistra Energyutilities and power generationaccounting fraud or deficiencies2002$3,000,000
Tradamax Group, Inc. fraud2002$149,408
Oxford Health Plans, Inc.UnitedHealth Grouphealthcare servicesaccounting fraud or deficiencies2002$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.