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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
GOL Linhas Aereas Inteligentes S.A. Foreign Corrupt Practices Act2022$24,500,000
ITG investor protection violation2017$24,400,000
Crowd Machine, Inc. and Metavine, Inc. investor protection violation2024$24,234,548
BNY Mellon Securities LLCBank of New York Mellonfinancial servicesinvestor protection violation2011$24,045,447
Block.one investor protection violation2019$24,000,000
Bittrex Inc. et al. investor protection violation2023$24,000,000
Bittrex Inc. investor protection violation2023$24,000,000
Pride International Inc.Valarisoilfield services and suppliesForeign Corrupt Practices Act2010$23,529,718
General ElectricGeneral ElectricdiversifiedForeign Corrupt Practices Act2010$23,400,000
Summitcrest Capital, Inc. investor protection violation2023$23,181,761
Commercial Express, LLC and Progressive Financial, Inc. investor protection violation2002$23,032,869
Oracle CorporationOracleinformation technologyForeign Corrupt Practices Act2022$23,000,000
Voya Financial Advisors, Inc.Voya Financialfinancial servicesinvestor protection violation2020$22,919,155
Diebold Inc.Diebold Nixdorfmiscellaneous manufacturingForeign Corrupt Practices Act2013$22,900,000
eAdGear Inc. accounting fraud or deficiencies2016$22,640,000
Calvert Investment Distributors, Inc. and Calvert Investment Management, Inc. investor protection violation2017$22,614,534
Citadel Securities LLC investor protection violation2017$22,600,000
Nexo Capital Inc. investor protection violation2023$22,500,000
Goldman Sachs & Co.Goldman Sachsfinancial servicesinvestor protection violation2012$22,000,000
KPMG LLPKPMGbusiness servicesaccounting fraud or deficiencies2005$22,000,000
World Acceptance CorporationWorld Acceptance Corporationfinancial servicesForeign Corrupt Practices Act2020$21,700,000
Level Global Investors LP investor protection violation2013$21,514,274
Taberna Capital Management investor protection violation2015$21,500,000
BISYS Fund Services, Inc. investor protection violation2006$21,400,000
Alexion Pharmaceuticals Inc.AstraZenecapharmaceuticalsForeign Corrupt Practices Act2020$21,000,000
Chemical Trust, U.S. Guarantee Corp., and United Marketing Trust investor protection violation2000$20,590,000
Prime Group Holdings LLC investor protection violation2023$20,500,000
ITG Inc. investor protection violation2015$20,300,000
Edward D. Jones & Co. LPJones Financialfinancial servicesinvestor protection violation2015$20,000,000
Guggenheim Partners Investment Management LLCGuggenheim Partnersfinancial servicesinvestor protection violation2015$20,000,000
CVS Caremark Corp.CVS Healthretailingaccounting fraud or deficiencies2014$20,000,000
Scientific-Atlanta, Inc.Cisco Systemselectrical and electronic equipmentaccounting fraud or deficiencies2006$20,000,000
New York Stock Exchange, Inc.IntercontinentalExchange Groupfinancial servicesinvestor protection violation2005$20,000,000
Citigroup Global Markets, Inc.Citigroupfinancial servicesinvestor protection violation2005$20,000,000
Franklin Advisers, Inc. and Franklin Templeton Distributors, Inc.Franklin Resourcesfinancial servicesinvestor protection violation2004$20,000,000
GlaxoSmithKline plcGlaxoSmithKlinepharmaceuticalskickbacks and bribery2016$20,000,000
Bank of America CorporationBank of Americafinancial servicesinvestor protection violation2014$20,000,000
Tesla Inc.Tesla Inc.motor vehiclesinvestor protection violation2018$20,000,000
Clovis Oncology Inc.Clovis Oncologypharmaceuticalsinvestor protection violation2018$20,000,000
Herbalife Nutrition Ltd.Herbalifefood productsaccounting fraud or deficiencies2019$20,000,000
Andeavor LLCMarathon Petroleumoil and gasaccounting fraud or deficiencies2020$20,000,000
Deloitte Touche Tohmatsu Certified Public Accountants LLP (Deloitte-China)Deloittebusiness servicesaccounting fraud or deficiencies2022$20,000,000
Pacific Investment Management Company (PIMCO) investor protection violation2016$19,829,807
John Hancock Investment Management Services, LLCManulife Financialfinancial servicesinvestor protection violation2007$19,787,879
UBS AGUBSfinancial servicesinvestor protection violation2015$19,500,000
Western Asset Management CompanyFranklin Resourcesfinancial servicesinvestor protection violation2014$19,400,000
DFRF Enterprises LLC and DFRF Enterprises, LLC investor protection violation2019$19,390,352
Deutsche Investment Management Americas, Inc. et al.Deutsche Bankfinancial servicesinvestor protection violation2006$19,329,729
WPP plcWPPbusiness servicesForeign Corrupt Practices Act2021$19,100,000
Hitachi Ltd.HitachidiversifiedForeign Corrupt Practices Act2015$19,000,000
Citigroup, Inc.Citigroupfinancial servicesaccounting fraud or deficiencies2003$19,000,000
Summit Trust Company accounting fraud or deficiencies2015$18,900,000
Wyeth LLCPfizerpharmaceuticalsForeign Corrupt Practices Act2012$18,876,624
WinterHawk West Indies, Ltd., Funders Marketing Company, Inc., FMCI Trust, Fortune Investments, Ltd., and TREDS Financial Trust investor protection violation2001$18,864,116
Chatham Asset Management LLCChatham Asset Managementfinancial servicesinvestor protection violation2023$18,800,000
Wilmington TrustM&T Bankfinancial servicesaccounting fraud or deficiencies2014$18,500,000
Deutsche BankDeutsche Bankfinancial servicesinvestor protection violation2016$18,500,000
Telegram Group Inc. investor protection violation2020$18,500,000
AGCO CorporationAGCO Corp.agribusinessForeign Corrupt Practices Act2009$18,300,000
Citigroup Global MarketsCitigroupfinancial servicesinvestor protection violation2017$18,300,000
ICP Asset Management investor protection violation2012$18,275,033
Pruco Securities, LLCPrudential Financialfinancial servicesinvestor protection violation2020$18,252,341
Royal Dutch ShellShell PLCoil and gasForeign Corrupt Practices Act2010$18,149,459
AgFeed Industries accounting fraud or deficiencies2014$18,000,000
BMW AGBMWmotor vehiclesaccounting fraud or deficiencies2020$18,000,000
MIO Partners Inc. investor protection violation2021$18,000,000
Baxter International Inc.Baxter Internationalmedical equipment and suppliesaccounting fraud or deficiencies2022$18,000,000
Digital World Acquisition Corp. investor protection violation2023$18,000,000
AssetMark Inc. investor protection violation2023$18,000,000
J.P. Morgan Securities LLCJPMorgan Chasefinancial servicesinvestor protection violation2024$18,000,000
BioChemics Inc. investor protection violation2015$17,897,887
UBS Willow Management LLC and UBS Fund Advisor LLCUBSfinancial servicesinvestor protection violation2015$17,500,000
Super Micro Computer, Inc.Super Micro Computer Inc.electrical and electronic equipmentaccounting fraud or deficiencies2020$17,500,000
Wells Fargo Clearing Services, LLC and Wells Fargo Advisors Financial Network, LLCWells Fargofinancial servicesinvestor protection violation2019$17,363,847
Ameriprise Financial Services, Inc.Ameriprise Financialfinancial servicesinvestor protection violation2009$17,300,000
Deutsche Asset Management, Inc. and Deutsche Investment Management Americas, Inc.Deutsche Bankfinancial servicesinvestor protection violation2006$17,200,000
Morgan Stanley & Co. IncorporatedMorgan Stanleyfinancial servicesinvestor protection violation2007$17,000,000
The Options Clearing Corporation investor protection violation2023$17,000,000
1st Global Advisors, Inc. investor protection violation2021$16,873,153
Zurich Capital Markets Inc.Zurich Insurancefinancial servicesinvestor protection violation2007$16,800,000
Microsoft CorporationMicrosoftinformation technologyForeign Corrupt Practices Act2019$16,565,150
Virtus Investment Advisers, Inc. investor protection violation2015$16,500,000
Northwestern Mutual Investment Services LLCNorthwestern Mutualfinancial servicesinvestor protection violation2024$16,500,000
Diageo PLCDiageobeveragesForeign Corrupt Practices Act2011$16,373,820
Bear Wagner Specialists LLC investor protection violation2004$16,259,446
Berkshire Resources, L.L.C. investor protection violation2010$16,255,846
Deutsche Bank AGDeutsche Bankfinancial servicesForeign Corrupt Practices Act2019$16,178,850
ICOBox investor protection violation2020$16,059,428
Goodyear Tire & Rubber Co.Goodyear Tire & Rubberautomotive partsForeign Corrupt Practices Act2015$16,000,000
Latour Trading LLC investor protection violation2014$16,000,000
Gabelli Funds LLCGamco Investors Inc.financial servicesinvestor protection violation2008$16,000,000
Hertz Global Holdings, Inc.Hertzmiscellaneous servicesinvestor protection violation2018$16,000,000
U.S. Bancorp Investments, Inc.U.S. Bancorpfinancial servicesinvestor protection violation2020$15,992,441
Medsis International, Inc. investor protection violation2024$15,871,200
Ameritrust Corporation investor protection violation2023$15,802,376
GetAnswers, Inc. investor protection violation2007$15,713,676
Capital Financial Partners, LLC et al. investor protection violation2017$15,700,000
Merrill Lynch, Pierce, Fenner & Smith Inc.Bank of Americafinancial servicesinvestor protection violation2018$15,700,000
The Titan CorporationL3Harris Technologiesaerospace and military contractingForeign Corrupt Practices Act2005$15,500,000
Arcturus Corporation and Aschere Energy LLC investor protection violation2017$15,500,000
Wwebnet Inc. accounting fraud or deficiencies2015$15,459,127
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.