Basic Search  |  Summaries  |  Advanced Search

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.

Download results as CSV or XML or Save your search (Click here for information on download subscriptions)
CompanyCurrent ParentCurrent Parent IndustryPrimary Offense TypeYearPenalty Amount sort icon
Wwebnet Inc. accounting fraud or deficiencies2015$15,459,127
UBS Financial ServicesUBSfinancial servicesinvestor protection violation2016$15,025,882
Goldman Sachs & Co.Goldman Sachsfinancial servicesinvestor protection violation2016$15,000,000
UBS Financial Services Inc. of Puerto RicoUBSfinancial servicesinvestor protection violation2015$15,000,000
Citigroup Global MarketsCitigroupfinancial servicesinvestor protection violation2015$15,000,000
Barclays Capital Inc.Barclaysfinancial servicesinvestor protection violation2014$15,000,000
Bankrate Inc.Red Venturesbusiness servicesaccounting fraud or deficiencies2015$15,000,000
Macquarie Capital (USA) Inc.Macquariefinancial servicesinvestor protection violation2015$15,000,000
TD BankToronto-Dominion Bankfinancial servicesinvestor protection violation2013$15,000,000
RenaissanceRe Holdings Ltd.RenaissanceRe Holdingsfinancial servicesaccounting fraud or deficiencies2007$15,000,000
Ameriprise Financial, Inc.Ameriprise Financialfinancial servicesinvestor protection violation2005$15,000,000
Elan Corporation, plcPerrigopharmaceuticalsaccounting fraud or deficiencies2005$15,000,000
Conseco, Inc.CNO Financialfinancial servicesinvestor protection violation2004$15,000,000
Allergan Inc.AbbViepharmaceuticalsinvestor protection violation2017$15,000,000
Sociedad Quimica y Minera de Chile S.A. Foreign Corrupt Practices Act2017$15,000,000
Moody's Investors Service, Inc.Moody'sinformation technologyinvestor protection violation2018$15,000,000
Ingram Micro Inc.Platinum Equityprivate equity (including portfolio companies)investor protection violation2009$15,000,000
Fiserv Securities, Inc.Fidelity Investmentsfinancial servicesinvestor protection violation2005$15,000,000
The Options Clearing Corporation investor protection violation2019$15,000,000
NissanNissanmotor vehiclesaccounting fraud or deficiencies2019$15,000,000
Raymond James & Associates, Inc. et al.Raymond James Financialfinancial servicesinvestor protection violation2019$15,000,000
Rio Tinto plcRio Tintomining and mineralsForeign Corrupt Practices Act2023$15,000,000
HSBC Securities (USA) Inc.HSBCfinancial servicesinvestor protection violation2023$15,000,000
Houlihan Lokey Capital, Inc. investor protection violation2023$15,000,000
Robert W. Baird & Co. Inc. investor protection violation2023$15,000,000
Guggenheim Securities LLC investor protection violation2024$15,000,000
J.C. Reed & Co. investor protection violation2013$14,910,003
BNY MellonBank of New York Mellonfinancial servicesForeign Corrupt Practices Act2015$14,800,000
Yes Entertainment, LLC investor protection violation2000$14,546,808
Aon CorporationAonfinancial servicesForeign Corrupt Practices Act2011$14,545,020
Fluor CorporationFluorconstruction and engineeringaccounting fraud or deficiencies2023$14,500,000
UBS Securities LLCUBSfinancial servicesinvestor protection violation2015$14,400,000
Johnson ControlsJohnson Controlsautomotive partsForeign Corrupt Practices Act2016$14,362,561
Orthofix InternationalOrthofix Medicalmedical equipment and suppliesForeign Corrupt Practices Act2017$14,250,000
Well Advantage investor protection violation2012$14,245,266
Vector Medical Technologies, Inc. investor protection violation2006$14,208,718
Bristol-Myers SquibbBristol-Myers SquibbpharmaceuticalsForeign Corrupt Practices Act2015$14,000,000
Linkbrokers Derivatives LLC investor protection violation2014$14,000,000
United Rentals, IncUnited Rentalsmiscellaneous servicesaccounting fraud or deficiencies2008$14,000,000
EDGA Exchange, Inc. and EDGX Exchange, Inc. investor protection violation2015$14,000,000
New York Stock ExchangeIntercontinentalExchange Groupfinancial servicesinvestor protection violation2018$14,000,000
Sigma Capital Management investor protection violation2013$13,944,000
United Technologies CorporationRTX Corporationaerospace and military contractingForeign Corrupt Practices Act2018$13,900,000
PTC Inc.PTC Inc.information technologyForeign Corrupt Practices Act2016$13,622,000
Langley Partners, North Olmsted Partners and Quantico Partners investor protection violation2006$13,517,928
Eagle Bancorp, Inc. investor protection violation2022$13,350,493
Stryker CorporationStrykermedical equipment and suppliesForeign Corrupt Practices Act2013$13,200,000
Tyco International Ltd.Johnson Controlsautomotive partsForeign Corrupt Practices Act2012$13,131,509
Alere Inc.Abbott Laboratoriespharmaceuticalsaccounting fraud or deficiencies2017$13,023,885
Zimmer Biomet Holdings Inc.Zimmer Biometmedical equipment and suppliesForeign Corrupt Practices Act2017$13,022,000
Morgan Stanley Smith BarneyMorgan Stanleyfinancial servicesinvestor protection violation2017$13,000,000
Mondelez International, Inc.Mondelez Internationalfood productsaccounting fraud or deficiencies2017$13,000,000
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBank of Americafinancial servicesanti-money-laundering deficiencies2017$13,000,000
A Chicago Convention Center, LLC and Intercontinental Regional Center Trust of Chicago, LLC investor protection violation2014$12,950,000
Dain Rauscher IncorporatedRoyal Bank of Canadafinancial servicesinvestor protection violation2000$12,941,191
Citigroup Global Markets Inc.Citigroupfinancial servicesinvestor protection violation2018$12,937,475
Blockchain Credit Partners investor protection violation2021$12,849,354
SHE Beverage Company, Inc. investor protection violation2024$12,760,274
Barclays Capital Inc.Barclaysfinancial servicesinvestor protection violation2017$12,710,040
First Mortgage Corporation investor protection violation2016$12,700,000
Prime Atlantic, Inc. investor protection violation2000$12,682,820
VolvoVolvomotor vehiclesForeign Corrupt Practices Act2008$12,600,000
K&L International Enterprises, Inc., Signature Leisure, Inc., and Signature Worldwide Advisors, LLC investor protection violation2010$12,574,582
HSBC Private Bank (Suisse)HSBCfinancial servicesinvestor protection violation2014$12,500,000
Thomas Weisel Partners LLCStifel Financialfinancial servicesinvestor protection violation2004$12,500,000
Merrill LynchBank of Americafinancial servicesinvestor protection violation2016$12,500,000
Synchronoss Technologies, Inc.Synchronoss Technologiesinformation technologyinvestor protection violation2022$12,500,000
Newell Brands Inc.Newell Brandshousewares and home furnishingsaccounting fraud or deficiencies2023$12,500,000
TPG Capital Advisors, LLCTPG Capitalprivate equity (including portfolio companies)investor protection violation2017$12,487,620
Allianz SEAllianzfinancial servicesForeign Corrupt Practices Act2012$12,396,423
General Re CorporationBerkshire Hathawaydiversifiedaccounting fraud or deficiencies2010$12,200,000
York International CorporationJohnson Controlsautomotive partsForeign Corrupt Practices Act2007$12,032,880
BlackRock Advisors LLCBlackRockfinancial servicesinvestor protection violation2015$12,000,000
Goldman Sachs & Co.Goldman Sachsfinancial servicesillicit political contributions2012$12,000,000
SciClone PharmaceuticalsSciClone PharmaceuticalspharmaceuticalsForeign Corrupt Practices Act2016$12,000,000
Mead Johnson Nutrition CompanyReckitt Benckiserhousehold and personal care productsForeign Corrupt Practices Act2015$12,000,000
State Street Bank and Trust CompanyState Street Corp.financial servicesillicit political contributions2016$12,000,000
McCann-Erickson WorldwideInterpublicmiscellaneous servicesaccounting fraud or deficiencies2008$12,000,000
Broadcom Corp.Broadcomelectrical and electronic equipmentinvestor protection violation2008$12,000,000
Raytheon CompanyRTX Corporationaerospace and military contractingaccounting fraud or deficiencies2006$12,000,000
First Command Financial Planning, Inc. investor protection violation2004$12,000,000
Knight Capital Americas LLCVirtu Financialfinancial servicesinvestor protection violation2013$12,000,000
ITG Inc. investor protection violation2018$12,000,000
Granite Construction, IncorporatedGranite Constructionconstruction and engineeringaccounting fraud or deficiencies2022$12,000,000
Compass Minerals International Inc.Compass Minerals Internationalmining and mineralsinvestor protection violation2022$12,000,000
Oppenheimer & Co. Inc.Oppenheimer Holdingsfinancial servicesinvestor protection violation2024$12,000,000
Ernst & Young LLPErnst & Youngbusiness servicesaccounting fraud or deficiencies2016$11,800,000
Juniper Networks, Inc.Juniper Networkselectrical and electronic equipmentForeign Corrupt Practices Act2019$11,745,018
RBC Capital Markets, LLCRoyal Bank of Canadafinancial servicesinvestor protection violation2019$11,715,395
PA Fund Management LLC, PEA Capital LLC and PA Distributors LLCAllianzfinancial servicesinvestor protection violation2004$11,600,000
TAC International Ltd. fraud2001$11,548,454
Interactive Brokers LLCInteractive Brokers Groupfinancial servicesinvestor protection violation2020$11,500,000
Analogic Corp.Altaris Capital Partnersprivate equity (including portfolio companies)Foreign Corrupt Practices Act2016$11,470,000
AmSouth BankRegions Financialfinancial servicesinvestor protection violation2008$11,400,000
Panalpina, Inc.DSVfreight and logisticsForeign Corrupt Practices Act2010$11,329,369
Innospec Inc.InnospecchemicalsForeign Corrupt Practices Act2010$11,200,000
Wells Fargo Securities LLCWells Fargofinancial servicestoxic securities abuses2011$11,000,000
Health Insurance Innovations investor protection violation2022$11,000,000
Spruce Power Holding Corporation investor protection violation2023$11,000,000
Barclays Bank PLCBarclaysfinancial servicesinsider trading2007$10,943,561
Merrill LynchBank of Americafinancial servicesinvestor protection violation2015$10,900,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.