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