Track all U.S. Securities and Exchange Commission (SEC) fines and enforcement actions. 1797 penalties from 2012-2026. Complete database with stats, trends, and analysis.
Coverage Snapshot
- Regulator: U.S. Securities and Exchange Commission
- Jurisdiction: United States
- Tracked period: 2012-2026
- Tracked actions: 1797
- Default currency: GBP
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Largest enforcement actions
| Firm or individual | Date | Amount | Breach category | Source |
|---|---|---|---|---|
| Multinational Telecommunications Company | 6 Dec 2019 | £826,020,000 | SEC Charges Multinational Telecommunications Company With FCPA Violations | Notice |
| Allianz Global Investors and Three Former Senior Portfolio Managers | 17 May 2022 | £798,876,000 | SEC Charges Allianz Global Investors and Three Former Senior Portfolio Managers with Multibillion Dollar Securities Fraud | Notice |
| Goldman Sachs | 22 Oct 2020 | £784,914,000 | SEC Charges Goldman Sachs With FCPA Violations | Notice |
| Global Software Company SAP | 10 Jan 2024 | £438,516,000 | SEC Charges Global Software Company SAP for FCPA Violations | Notice |
| Three Media Companies | 13 Sep 2021 | £408,720,000 | SEC Charges Three Media Companies with Illegal Offerings of Stock and Digital Assets | Notice |
| J.P. Morgan and Credit Suisse | 16 Nov 2012 | £325,197,495 | SEC Charges J.P. Morgan and Credit Suisse With Misleading Investors in RMBS Offerings | Notice |
| Danske Bank | 13 Dec 2022 | £322,140,000 | SEC Charges Danske Bank with Fraud for Misleading Investors about Its Anti-Money Laundering Compliance Failures in Estonia | Notice |
| Total S.A | 29 May 2013 | £310,596,000 | SEC Charges Total S.A. for Illegal Payments to Iranian Official | Notice |
| Morgan Stanley and Former Executive Pawan Passi | 12 Jan 2024 | £300,909,354 | SEC Charges Morgan Stanley and Former Executive Pawan Passi with Fraud in Block Trading Business | Notice |
| Brazilian Meat Producers | 14 Oct 2020 | £221,169,000 | SEC Charges Brazilian Meat Producers With FCPA Violations | Notice |
| Hewlett-Packard | 9 Apr 2014 | £191,256,000 | SEC Charges Hewlett-Packard With FCPA Violations | Notice |
| Medical Device Company | 29 Mar 2019 | £180,726,000 | SEC Charges Medical Device Company With FCPA Violations | Notice |
| CSC and Former Executives | 5 Jun 2015 | £152,105,842 | SEC Charges CSC and Former Executives With Accounting Fraud | Notice |
| Alcoa | 9 Jan 2014 | £147,420,000 | SEC Charges Alcoa With FCPA Violations | Notice |
| 14 Sales Agents | 12 Jun 2012 | £139,620,000 | SEC Charges 14 Sales Agents In $415 Million Long Island-Based Ponzi Scheme | Notice |
| BlueCrest | 8 Dec 2020 | £132,600,000 | SEC Orders BlueCrest to Pay $170 Million to Harmed Fund Investors | Notice |
| Royal Bank of Scotland Subsidiary | 7 Nov 2013 | £119,886,000 | SEC Charges Royal Bank of Scotland Subsidiary with Misleading Investors in Subprime RMBS Offering | Notice |
| ConvergEx Subsidiaries | 18 Dec 2013 | £118,913,356 | SEC Charges ConvergEx Subsidiaries With Fraud for Deceiving Customers About Commissions | Notice |
| 11 Wall Street Firms | 8 Aug 2023 | £116,220,000 | SEC Charges 11 Wall Street Firms with Widespread Recordkeeping Failures | Notice |
| Virginia-Based RTX Corp | 16 Oct 2024 | £114,270,000 | SEC Charges Virginia-Based RTX Corp. with Violating Foreign Corrupt Practices Act in Connection with Efforts to Obtain Contracts with the Qatari Military | Notice |
Amounts are normalised to GBP for comparison.