Conflicts of interestTransparency

Sen. Tuberville's July 2021 Senate filing reported 132 stock trades from January to May 2021 after the STOCK Act's 45-day deadline; his office said a late-filing penalty was assessed and paid

Confidence: Confirmed · 4 sourcesAlabama · Oct 12, 2026

Subject of this story

Tommy Tuberville, U.S. Senator

Also named

Oversight

U.S. Senate Select Committee on Ethics

Advocate

Campaign Legal Center

What happened

A Periodic Transaction Report filed with the U.S. Senate on July 23, 2021 lists 132 transactions by Sen. Tommy Tuberville (all marked 'Joint'), dated January 4 to May 24, 2021, each between 60 and 200 days before the filing. The STOCK Act requires senators to report each transaction within 30 days of notification and no later than 45 days after the transaction. The trades were valued in ranges totaling roughly $894,000 to $3.56 million and included stock and options in companies such as Regeneron, Johnson & Johnson and 3M, while he served on the Senate HELP Committee (per Campaign Legal Center's complaint). Campaign Legal Center asked the Senate Ethics Committee on July 29, 2021 to investigate whether the failure to file was knowing and willful; no public Ethics Committee finding was located. Tuberville's spokeswoman told CNBC that he 'has long had financial advisors who actively manage his portfolio without his day-to-day involvement,' that he 'was unaware that the specific transactions reported in this particular periodic transaction report occurred,' that 'Upon becoming aware of the transactions, the Senator expeditiously prepared and submitted this report to the Senate Ethics Committee,' and that he 'has put processes in place for timely reporting moving forward.' His office also said he was assessed a late-filing penalty, which has been paid.

By the numbers (1)

● confirmed by a primary document · ○ reported

Figures

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Sen. Tommy Tuberville filed a periodic transaction report on July 23, 2021 listing 132 transactions made between January and May 2021; his office said a late-filing penalty was assessed and paid.

Tommy Tubervillereview-facts-c: filing page behind agreement; date/penalty corroborated by CNBC 2021-07-27 and Business Insider

1 source

U.S. Senate Office of Public Records, eFD: Periodic Transaction Report for 07/23/2021, Thomas H. Tuberville — U.S. Senate Office of Public Records, eFD: Periodic Transaction Report for 07/23/2021, Thomas H. TubervilleDocumentTransactions (132 transactions total)

Sources (4)

U.S. Senate Office of Public Records, eFD: Periodic Transaction Report for 07/23/2021, Thomas H. TubervilleFiled 07/23/2021 @ 2:02 PM ... Transactions (132 transactions total) ... transaction dates 01/04/2021 through 05/24/2021

CNBC'Upon becoming aware of the transactions, the Senator expeditiously prepared and submitted this report to the Senate Ethics Committee,' she said.

Alabama Political Reporter, August 2, 2021Tuberville's office said he had been assessed a late filing penalty and that it had been paid.

Campaign Legal Center, complaint to the Senate Select Committee on Ethics, July 29, 2021Sen. Tuberville did not timely file periodic transaction reports ('PTRs'), which are required for each transaction pursuant to the STOCK Act.

Response

Tommy Tuberville

Statement given

Contacted and responded — exact wording not on record.

What happened next (0)

No outcome recorded yet.

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