Corporate
2016
DOJ
1999
DOJ
2007
DOJ
DOJ
1
0
4
0
2004 - 2017
DOJ
30
1997
4
2013
4
1995
DOJ
DOJ
17
1
2010
7
1
2014
1
14
DOJ
SEC
1992
DOJ
9
1991
0
3
24
2000
2002
DOJ
8
8
10
2008
DOJ
2009
1993
DOJ
SEC
2007
DOJ
2013
1994
1997
2003
2015
2011
1996
DOJ
1991
2005
3
12
0
SEC
2006
3
2015
2
2
20
7
0
2
DOJ
1
17
2017
4
29
BOTH
2001
13
2
12
10
1999
2003
1990 - 2003
9
2011
13
2012
2
SEC
2
12
2004
DOJ
2009
1990
DOJ
DOJ
1995
DOJ
7
Case Counts
1990
1
2001
21
2005
DOj ONLY
DOJ
DOJ
1996
10
0
1
1992
50
SEC
0
DOJ
1993
DOJ
1994
DOJ
1998
2017
2004 - 2017
0
1999
SEC
SEC
SEC
SEC
2001
2003
12
SEC
SEC
SEC
2009
1
2010
13
1994
2016
3
2006
1992
3
1997
2012
1990 - 2003
1
1998
sec ONLY
2014
7
2008
2
0
0
1
1
2000
0
2008
3
17
SEC
SEC
SEC
SEC
0
20
1990
2017
1998
SEC
2014
SEC
1996
3
9
12
DOJ
2011
SEC
3
2015
2
SEC
SEC
1993
DOJ
DOj ONLY
20
2010
individual
4
13
both
17
SEC
1991
SEC
2002
SEC
2005
2006
SEC ONLY
29
1995
0
hover to see counts
2004
SEC
40
2
DOJ
SEC
SEC
Enforcement Action
Case Count
12
2
8
4
1
4
2016
1
DOJ
9
10
SEC
SEC
0
1
24
2004 - 2017
4
2007
21
DOJ
10
2013
7
2012
8
1990 - 2003
2002
2000
2004
14
1
7
12
1998
2012
1990 - 2003
9
6
2008
2004
2010
DOJ
5
19
SEC
SEC
DOJ
12
4
2
SEC
2
2005
1
2004 - 2017
5
2000
2003
7
0
19
2002
DOJ
1990 - 2003
2013
12
both
DOJ
10
1998
DOJ
DOJ
BOTH
1992
1990
9
7
2000
2
SEC
2009
DOJ
9
10
30
2010
12
1995
9
5
DOJ
1994
SEC
4
0
14
3
DOJ
SEC
0
12
6
1997
0
2006
2012
1992
0
3
2
0
0
0
1993
1
2001
1
5
1991
2016
DOJ
SEC ONLY
44
Corporate
5
hover to see counts
1
1999
3
9
1
1
44
11
Case Counts
1
2007
40
2011
1994
14
2002
DOJ
2014
19
2017
19
1996
DOJ
50
1996
DOJ
2016
10
2004 - 2017
DOJ
2014
2015
20
1990
3
DOJ
11
SEC
2008
sec ONLY
3
DOJ
1997
0
1
3
1991
DOJ
DOJ
SEC
1999
2
4
2012
DOJ
DOJ
SEC
1
4
1993
8
DOJ
2004 - 2017
1994
5
2009
2006
5
1
DOJ
2003
0
3
1997
2011
2003
8
1
2007
DOj ONLY
2009
9
SEC
8
5
0
0
SEC
2001
DOJ
SEC
2002
1999
2017
DOJ
SEC
2004
1
8
DOJ
DOJ
SEC
8
DOJ
2
DOJ
7
DOj ONLY
8
2006
2007
2010
1993
5
2001
5
2013
DOJ
2016
1995
SEC
2013
1
3
3
2005
2014
1
SEC
2017
2004
2015
1
1995
2008
4
4
SEC
SEC
7
1990 - 2003
SEC
1996
SEC
2005
2011
1991
SEC
12
SEC
SEC
1992
SEC
SEC
1998
SEC
Enforcement Action
Case Count
SEC
individual
5
2
5
2015
1990
2
SEC
2000
SEC
SEC
$1,525,103,817
DOJ
$497,613,200
$4,901,500
0
0
$360,914,000
AMOUNT OF MONETARY SANCTIONS
4
2001
$300,000
2001
2012
1
2003
DOJ
SEC
DOJ
0
DOJ
2010
SEC
8
$312,627,067
0
1991
$185,616,963
$16,450,400
$16,450,400
DOJ
SEC
2004
2007
2003
$2,000,000
1999
1
$435,301,600
1995
2013
2015
2004 - 2017
1995
2010
4
individual
$1,016,056,000
$135,826,799
10
$18,000,000
2
1991
SEC
10
DOJ
8
1993
DOJ
$4000
$300,000
1999
2009
1993
$451,000
2012
0
DOJ
2008
$300,000
14
SEC
SEC
21
SEC
$100,000
SEC
SEC
DOJ
SEC
$24,200,000
2016
$85,616,963
$4,901,500
DOJ
SEC
$420,411,869
SEC
SEC
SEC
$2,000,000
DOJ
$6,415,405
DOJ
9
SEC
SEC
SEC
$75,000
$650,000
SEC
0
1991
1999
2004 - 2017
2005
1997
SEC
2
2006
$5000
$4,901,500
1995
0
1997
DOj ONLY
2014
0
2016
2003
0
2
Total Penalty (in Millions USD)
0
$1000
2001
both
0
12
$6000
1997
$546,366,065
$300,000
2017
$75,000
2011
2014
$3000
1993
1
0
1994
1990 - 2003
$209,348,018
SEC ONLY
4
2009
1990 - 2003
2
2017
2014
2012
1994
$392,812,310
DOJ
$147,927,294
$19,885,520
$650,000
$1,261,997,770
DOJ
2011
$118,937,524
1992
2008
1998
2006
DOJ
$435,301,600
1992
9
$11,300,000
7
1990
1998
2002
2007
1
2011
2000
2
2000
3
Corporate
$360,914,000
$526,473,269
SEC
SEC
1
$59,363,395
$135,826,799
$4,445,486,311
2002
0
2006
$69,225,201
DOJ
SEC
2004 - 2017
$18,000,000
$2000
DOJ
1990
DOJ
DOJ
$1,253,460,474
12
$59,363,395
2009
$420,411,869
DOJ
$1,016,056,000
SEC
DOJ
1996
2002
2015
DOJ
2013
DOJ
SEC
DOj ONLY
1994
DOJ
2007
2005
0
DOJ
2004
1990 - 2003
1992
2005
2013
2010
$100,000
2016
$451,000
2004
$1,261,997,770
1996
2008
17
SEC
sec ONLY
2000
1996
2017
12
1
$147,927,294
$24,200,000
DOJ
$497,613,200
2015
$300,677,033
$1,253,460,474
$6,415,405
BOTH
$209,348,018
DOJ
$19,885,520
29
$392,812,310
$300,677,033
$112,944,666
$546,366,065
1998
$526,473,269
1990
SEC
$69,225,201
SEC
hover to see counts
SEC
$118,937,524
$312,627,067
$1,525,103,817
20
DOJ
$11,300,000
$4,445,486,311
DOJ
$112,944,666
Total Penalty (in Millions USD)
1996
1
$2,700
DOJ
$188,453
$20,000
$235,050
1
2007
DOJ
$85,000
1997
1999
2004 - 2017
1993
DOJ
DOJ
2015
2007
2002
DOJ
2011
1994
DOJ
$12M
2005
2017
$479,036
1998
2001
$3,857,613
1995
2017
DOJ
1990 - 2003
$70,000
$188,453
$148,182
$18,530,360
$75,000
2003
1
$11,000
$4M
2011
2005
DOJ
$20M
2015
DOj ONLY
1
2013
2003
5
DOJ
$1,460,144
1992
DOJ
1
1
$299,675
1
DOJ
$65,000
individual
DOJ
2001
DOJ
$2,513,668
DOJ
$5,050
DOJ
DOJ
DOJ
1
DOJ
DOJ
DOJ
SEC
DOJ
1
DOJ
DOJ
$11,000
1
2016
AMOUNT OF MONETARY SANCTIONS
1999
$65,000
1991
hover to see counts
$1,029,037
DOj ONLY
1990
2005
5
1991
$299,675
DOJ
both
1
1993
sec ONLY
2009
1995
$75,000
2000
2007
2006
2009
5
2013
1997
2004
1995
$5,050
1994
2016
$188,453
2003
$3,676,532
$35,000
$3,857,613
1990 - 2003
$5,562,137
2002
1
2000
$8M
2010
2004
$235,050
$24M
2014
DOJ
$85,000
2012
$5,562,137
2002
1
1
1997
2004 - 2017
1998
1
$20,000
5
$11,000
2004 - 2017
1
1
2009
$5,050
1996
2017
$41,132
1992
$10,800,200
$41,132
2014
2006
2001
$5,100
2010
1993
$85,000
$16M
2004
2016
DOJ
$5,100
2012
$10,800,200
1990
Corporate
$1,541,957
1990 - 2003
2014
$18,530,360
2011
1990
$261,700
2008
5
1992
2013
2008
1994
$142,395
1999
2006
2010
2008
1
2012
1996
1998
2015
1991
$1,460,144
$261,700
$235,050
DOJ
5
$18,530,360
$479,036
SEC ONLY
$20,000
2000
$148,182
$142,395
1
1
$1,541,957
$20,000
$1,029,037
1
$3,857,613
$3,676,532
$70,000
BOTH
$142,395
$2,700
$35,000
$2,513,668
DOJ
$75,000