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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
Ernst & Young LLPErnst & Youngbusiness servicesinvestor protection violation2022$100,000,000
Credit Suisse Group AGUBSfinancial servicesForeign Corrupt Practices Act2021$99,000,000
Pentagon Capital Management investor protection violation2012$98,600,000
SAP SESAPinformation technologyForeign Corrupt Practices Act2024$98,400,000
Technip S.A.TechnipFMCoilfield services and suppliesForeign Corrupt Practices Act2010$98,000,000
Embraer S.A.Embraeraerospace and military contractingForeign Corrupt Practices Act2016$98,000,000
AEGON USA Investment Management LLC et al.Aegonfinancial servicesinvestor protection violation2018$97,600,000
Barclays CapitalBarclaysfinancial servicesinvestor protection violation2017$97,037,659
TIAA-CREF Individual & Institutional Services LLCTIAAfinancial servicesaccounting fraud or deficiencies2021$97,000,000
Daimler AGMercedes-Benz Groupmotor vehiclesForeign Corrupt Practices Act2010$91,400,000
Pilgrim Baxter & Associates, Ltd. investor protection violation2004$90,000,000
Credit Suisse AGUBSfinancial servicesaccounting fraud or deficiencies2016$90,000,000
State Street Bank and Trust CompanyState Street Corp.financial servicesinvestor protection violation2019$88,780,000
Deutsche Bank Securities Inc.Deutsche Bankfinancial servicesinvestor protection violation2004$87,500,000
Morgan Stanley & Co. LLCMorgan Stanleyfinancial servicesinvestor protection violation2024$83,000,000
Honeywell International Inc.Honeywell InternationaldiversifiedForeign Corrupt Practices Act2022$81,000,000
Monsanto CompanyBayerchemicalsaccounting fraud or deficiencies2016$80,000,000
Strong Capital Management, Inc.Wells Fargofinancial servicesinvestor protection violation2004$80,000,000
Canadian Imperial Bank of CommerceCanadian Imperial Bank of Commercefinancial servicesaccounting fraud or deficiencies2003$80,000,000
Bear, Stearns & Co. Inc.JPMorgan Chasefinancial servicesinvestor protection violation2003$80,000,000
J.P. Morgan Securities Inc.JPMorgan Chasefinancial servicesinvestor protection violation2003$80,000,000
Lehman Brothers Inc. investor protection violation2003$80,000,000
UBS Warburg LLCUBSfinancial servicesinvestor protection violation2003$80,000,000
Merrill Lynch & Co. Inc.Bank of Americafinancial servicesaccounting fraud or deficiencies2003$80,000,000
Hudson Advisors L.P. and Lone Star Global Acquisitions Ltd. investor protection violation2022$79,700,000
TenarisTechintdiversifiedForeign Corrupt Practices Act2022$78,000,000
Citigroup Inc.Citigroupfinancial servicestoxic securities abuses2010$75,000,000
J.P. Morgan Securities Inc.JPMorgan Chasefinancial serviceskickbacks and bribery2009$75,000,000
Edward D. Jones & Co., L.P.Jones Financialfinancial servicesinvestor protection violation2004$75,000,000
ABB LtdABB Ltd.utilities and power generationForeign Corrupt Practices Act2022$75,000,000
Deutsche Bank Trust Co. Americas and Deutsche Bank Securities Inc.Deutsche Bankfinancial servicesinvestor protection violation2018$73,200,000
Federated Investors, Inc.Federated Hermesfinancial servicesinvestor protection violation2005$72,000,000
Luca International Group, LLC investor protection violation2016$68,300,000
American Skandia Investment Services, Inc.Prudential Financialfinancial servicesinvestor protection violation2009$68,000,000
Bank of Bermuda fraud2001$67,500,000
Avon ProductsLGdiversifiedForeign Corrupt Practices Act2014$67,400,000
Herbalife Nutrition Ltd.Herbalifefood productsForeign Corrupt Practices Act2020$67,000,000
AIC Inc. investor protection violation2014$66,760,521
Knight Securities, L.P.Virtu Financialfinancial servicesinvestor protection violation2004$66,500,000
Weatherford International LimitedWeatherford Internationaloilfield services and suppliesForeign Corrupt Practices Act2013$65,600,000
Braskem S.A.BraskemchemicalsForeign Corrupt Practices Act2016$65,000,000
Robinhood Financial LLCRobinhood Marketsfinancial servicesinvestor protection violation2020$65,000,000
LaBranche & Co., LLC investor protection violation2004$63,518,760
Kraft Heinz CompanyKraft Heinzfood productsaccounting fraud or deficiencies2021$62,000,000
Philips N.V.Royal PhilipsdiversifiedForeign Corrupt Practices Act2023$62,000,000
Fleet Specialist, Inc. investor protection violation2004$59,097,469
Standard & Poor's Ratings ServicesS&P Globalinformation technologytoxic securities abuses2015$58,000,000
Van der Moolen Specialists USA, LLC investor protection violation2004$57,675,104
Vale S.A.Vale S.A.mining and mineralsaccounting fraud or deficiencies2023$55,900,000
Focus Media Holding Limited investor protection violation2015$55,600,000
Deutsche Bank AGDeutsche Bankfinancial servicesinvestor protection violation2015$55,000,000
Hartford Financial Services Group, Inc.Hartford Financial Servicesfinancial servicesinvestor protection violation2006$55,000,000
Putnam Investment Management LLCFranklin Resourcesfinancial servicesinvestor protection violation2004$55,000,000
General Cable CorporationPrysmian Groupelectrical and electronic equipmentForeign Corrupt Practices Act2016$55,000,000
Credit Suisse Securities (USA) LLCUBSfinancial servicesinvestor protection violation2016$54,300,000
Bank of New York MellonBank of New York Mellonfinancial servicesinvestor protection violation2018$54,000,000
AR Capital LLC investor protection violation2019$53,000,000
Apollo Global ManagementApollo Global Managementprivate equity (including portfolio companies)investor protection violation2016$52,700,000
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
Golden California Regional Center, LLC investor protection violation2019$50,295,232
UBS SecuritiesUBSfinancial servicestoxic securities abuses2013$50,000,000
General Electric CompanyGeneral Electricdiversifiedaccounting fraud or deficiencies2009$50,000,000
Federal Home Loan Mortgage Corporation (Freddie Mac)Freddie Mac (Federal Home Loan Mortgage Corporation)financial servicesinvestor protection violation2007$50,000,000
MBIA Inc.MBIAfinancial servicesaccounting fraud or deficiencies2007$50,000,000
Tyco International Ltd.Johnson Controlsautomotive partsaccounting fraud or deficiencies2006$50,000,000
McAfee, Inc.Advent Internationalprivate equity (including portfolio companies)accounting fraud or deficiencies2006$50,000,000
Deloitte & Touche LLPDeloittebusiness servicesaccounting fraud or deficiencies2005$50,000,000
AIM Advisors, Inc. and AIM Distributors, Inc.Invescofinancial servicesinvestor protection violation2004$50,000,000
PA Fund Management LLC, PEA Capital LLC and PA Distributors LLCAllianzfinancial servicesinvestor protection violation2004$50,000,000
Franklin Advisers, Inc.Franklin Resourcesfinancial servicesinvestor protection violation2004$50,000,000
Banc One Investment Advisors CorporationJPMorgan Chasefinancial servicesinvestor protection violation2004$50,000,000
Massachusetts Financial Services CompanySun Life Financialfinancial servicesinvestor protection violation2004$50,000,000
Vivendi Universal, S.A.Comcasttelecommunicationsaccounting fraud or deficiencies2003$50,000,000
Morgan Stanley DW Inc.Morgan Stanleyfinancial servicesinvestor protection violation2003$50,000,000
Waddell & Reed, Inc.Macquariefinancial servicesinvestor protection violation2006$50,000,000
KPMG LLPKPMGbusiness servicesaccounting fraud or deficiencies2019$50,000,000
BlockFi Lending LLC investor protection violation2022$50,000,000
Equitable Financial Life Insurance CompanyEquitable Holdingsfinancial servicesinvestor protection violation2022$50,000,000
Jefferies LLCJefferies Financial Groupdiversifiedinvestor protection violation2022$50,000,000
Nomura Securities International, Inc.Nomurafinancial servicesinvestor protection violation2022$50,000,000
Johnson & JohnsonJohnson & JohnsonpharmaceuticalsForeign Corrupt Practices Act2011$48,600,000
Exelon CorporationExelonutilities and power generationfraud2023$46,200,000
American International Group, Inc.American International Groupfinancial servicesinvestor protection violation2004$46,000,000
Stratcomm Media Ltd. investor protection violation2003$45,400,000
Spear, Leeds & Kellogg Specialists LLCGoldman Sachsfinancial servicesinvestor protection violation2004$45,272,478
Alcatel-Lucent S.A.NokiatelecommunicationsForeign Corrupt Practices Act2010$45,000,000
ConAgra Foods, Inc.ConAgra Brandsfood productsaccounting fraud or deficiencies2007$45,000,000
Salomon Smith Barney Inc.Morgan Stanleyfinancial servicesinvestor protection violation2000$45,000,000
Bausch HealthBausch Healthpharmaceuticalsaccounting fraud or deficiencies2020$45,000,000
Value Line Inc. investor protection violation2009$43,705,765
Deutsche Bank AGDeutsche Bankfinancial servicesForeign Corrupt Practices Act2021$43,000,000
Industrial and Commercial Bank of China Financial Services LLCIndustrial and Commercial Bank of Chinafinancial servicesinvestor protection violation2019$42,700,000
Merrill Lynch, Pierce, Fenner & SmithBank of Americafinancial servicesinvestor protection violation2018$42,000,000
Oriental New Investments, Ltd. and Orienstar Finance, Ltd. investor protection violation2008$41,774,923
Shreveport Wireless Cable Television Partnership, Complete Communications Corporation, Champion Communications Corporation, B.R. Cable Communications investor protection violation2001$41,727,403
Aegis Oil, LLC fraud2016$41,319,067
ChinaMedia Express Holdings investor protection violation2013$41,144,082
Bio-Rad Laboratories Inc.Bio-Rad Laboratorieshealthcare servicesForeign Corrupt Practices Act2014$40,700,000
Putnam Investment Management, LLCFranklin Resourcesfinancial servicesinvestor protection violation2005$40,000,001
Evergreen Investment Management Company LLCWells Fargofinancial servicesinvestor protection violation2009$40,000,000
Fred Alger Management, Inc.Alger Associatesfinancial servicesinvestor protection violation2007$40,000,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.