1Globe Capital, LLC | | | investor protection violation | 2020 | $200,000 |
1st Discount Brokerage, Inc. | | | investor protection violation | 2012 | $40,000 |
1st Global Advisors, Inc. | | | investor protection violation | 2021 | $16,873,153 |
1st Global Capital Corp. | | | investor protection violation | 2006 | $100,000 |
2 West, Inc., et al. | | | investor protection violation | 2016 | $2,025,179 |
20th Century Jackson Equities, Inc. | | | investor protection violation | 2007 | $470,269 |
211 Ventures LLC | | | investor protection violation | 2013 | $2,300,000 |
21st Century Satellite Communications, Inc. | | | investor protection violation | 2001 | $6,110,736 |
360 Financial, Inc. | | | investor protection violation | 2017 | $40,000 |
3C Advisors & Associates, Inc. | | | investor protection violation | 2016 | $7,500 |
3D/L Capital Management, LLC | | | investor protection violation | 2024 | $285,607 |
3M Company | 3M Company | miscellaneous manufacturing | Foreign Corrupt Practices Act | 2023 | $6,500,000 |
7S Oil & Gas, LLC | | | investor protection violation | 2017 | $750,000 |
8000 Inc. | | | investor protection violation | 2015 | $6,500,000 |
A Chicago Convention Center, LLC and Intercontinental Regional Center Trust of Chicago, LLC | | | investor protection violation | 2014 | $12,950,000 |
A.C.L.N. Ltd. and Scandinavian Car Carriers | | | investor protection violation | 2004 | $27,000,000 |
A.G. Edwards & Sons, Inc. | Wells Fargo | financial services | investor protection violation | 2007 | $3,860,000 |
A.G. Edwards & Sons, Inc. | Wells Fargo | financial services | investor protection violation | 2006 | $125,000 |
A.R. Schmeidler & Co., Inc. | | | investor protection violation | 2013 | $1,011,564 |
ABB Ltd | ABB Ltd. | utilities and power generation | Foreign Corrupt Practices Act | 2004 | $5,900,000 |
ABB Ltd | ABB Ltd. | utilities and power generation | Foreign Corrupt Practices Act | 2022 | $75,000,000 |
ABB Ltd. | ABB Ltd. | utilities and power generation | Foreign Corrupt Practices Act | 2010 | $39,300,000 |
Abetterfinancialplan.Com, LLC | | | investor protection violation | 2020 | $581,962 |
ABN AMRO Bank, N.V. | ABN AMRO | financial services | investor protection violation | 2013 | $5,547,408 |
ABN AMRO Clearing Chicago LLC | ABN AMRO | financial services | investor protection violation | 2020 | $586,000 |
ABN AMRO Incorporated | ABN AMRO | financial services | investor protection violation | 2001 | $200,000 |
ABS Manager | | | investor protection violation | 2015 | $1,087,648 |
Abtech Holdings, Inc.? | | | investor protection violation | 2018 | $133,414 |
Acadia Asset Management, LLC | | | investor protection violation | 2015 | $354,115 |
Account Management LLC | | | investor protection violation | 2019 | $100,000 |
Ace Payday Plus, LLC | | | investor protection violation | 2004 | $1,842,133 |
ACI Inc. | | | investor protection violation | 2004 | $7,756,750 |
Activision Blizzard Inc. | Microsoft | information technology | investor protection violation | 2023 | $35,000,000 |
Adams Capital Management | | | investor protection violation | 2017 | $45,000 |
Adams Harkness, Inc. f/k/a Adams Harkness & Hill, Inc. | | | investor protection violation | 2004 | $575,000 |
Adar Bays, LLC and Adar Alef, LLC | | | investor protection violation | 2024 | $1,145,000 |
Adar International | | | investor protection violation | 2000 | $10,000 |
Adirondack Financial Services Corp. | | | investor protection violation | 2022 | $25,000 |
ADT Inc. | Apollo Global Management | private equity (including portfolio companies) | investor protection violation | 2018 | $100,000 |
Advance Local Development Corp. | | | investor protection violation | 2002 | $9,509,736 |
Advanced Cell Technology | | | investor protection violation | 2014 | $375,000 |
Advanced Drainage Systems, Inc. | Advanced Drainage Systems | building materials | investor protection violation | 2018 | $1,000,000 |
Advanced Emissions Solutions, Inc. | Advanced Emissions Solutions | miscellaneous energy products and systems | investor protection violation | 2017 | $500,000 |
Advanced Equities Inc | | | investor protection violation | 2012 | $1,000,000 |
Advantage Investment Management, LLC | | | investor protection violation | 2016 | $60,000 |
Advent Capital Management | | | investor protection violation | 2014 | $144,128 |
Advisor Resource Council | | | investor protection violation | 2024 | $300,000 |
Aegerion Pharmaceuticals | Amryt Pharma | pharmaceuticals | investor protection violation | 2017 | $4,100,000 |
Aegis Capital Corp. | | | investor protection violation | 2022 | $2,520,865 |
Aegis Capital Corporation | | | anti-money-laundering deficiencies | 2018 | $750,000 |
Aegis Oil, LLC | | | fraud | 2016 | $41,319,067 |
AEGON USA Investment Management LLC et al. | Aegon | financial services | investor protection violation | 2018 | $97,600,000 |
Aerokinetic Energy Corporation | | | investor protection violation | 2011 | $859,571 |
Africa Gemstone Corporation | | | investor protection violation | 2003 | $242,840 |
African Gold Acquisition Corp. | | | investor protection violation | 2023 | $103,591 |
Agamas Capital Management, LP | | | investor protection violation | 2013 | $250,000 |
AGB Partners LLC | | | investor protection violation | 2010 | $50,000 |
AGCO Corporation | AGCO Corp. | agribusiness | Foreign Corrupt Practices Act | 2009 | $18,300,000 |
AgEagle Aerial Systems Inc. | | | investor protection violation | 2023 | $190,000 |
AgFeed Industries | | | accounting fraud or deficiencies | 2014 | $18,000,000 |
Agria Corporation | | | accounting fraud or deficiencies | 2018 | $3,000,000 |
AIC Inc. | | | investor protection violation | 2014 | $66,760,521 |
AIM Advisors, Inc. and AIM Distributors, Inc. | Invesco | financial services | investor protection violation | 2004 | $50,000,000 |
AirTrac Inc. | | | investor protection violation | 2008 | $2,005,401 |
Aisling Capital | | | investor protection violation | 2017 | $70,456 |
Aisling Capital LLC | | | investor protection violation | 2018 | $200,000 |
Akamai Technologies | Akamai Technologies | information technology | Foreign Corrupt Practices Act | 2016 | $671,885 |
Akazoo S.A. | | | investor protection violation | 2021 | $38,800,000 |
Akzo Nobel N.V. | Carlyle Group | private equity (including portfolio companies) | Foreign Corrupt Practices Act | 2007 | $2,981,513 |
Aladdin Capital Management LLC | | | investor protection violation | 2012 | $1,618,831 |
Albemarle Corporation | Albemarle | chemicals | Foreign Corrupt Practices Act | 2023 | $103,600,000 |
Albert Fried & Company | | | anti-money-laundering deficiencies | 2016 | $300,000 |
Alcatel-Lucent S.A. | Nokia | telecommunications | Foreign Corrupt Practices Act | 2010 | $45,000,000 |
Alcoa Inc. | Alcoa | metals | Foreign Corrupt Practices Act | 2014 | $161,000,000 |
Alere Inc. | Abbott Laboratories | pharmaceuticals | accounting fraud or deficiencies | 2017 | $13,023,885 |
Alexander Capital L.P. | | | investor protection violation | 2018 | $410,987 |
Alexion Pharmaceuticals Inc. | AstraZeneca | pharmaceuticals | Foreign Corrupt Practices Act | 2020 | $21,000,000 |
Allergan Inc. | AbbVie | pharmaceuticals | investor protection violation | 2017 | $15,000,000 |
Alliance Capital Management L.P. | Equitable Holdings | financial services | investor protection violation | 2003 | $250,000,000 |
Alliance One International Inc. | Pyxus International | tobacco | Foreign Corrupt Practices Act | 2010 | $10,000,000 |
AllianceBernstein, L.P. | Equitable Holdings | financial services | investor protection violation | 2007 | $450,000 |
Allianz Global Investors U.S. LLC | Allianz | financial services | investor protection violation | 2022 | (*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $1,024,200,000 |
Allianz SE | Allianz | financial services | Foreign Corrupt Practices Act | 2012 | $12,396,423 |
Alpha Fiduciary, Inc. | | | investor protection violation | 2015 | $250,000 |
Alpha Tech Stock Transfer Trust | | | investor protection violation | 2000 | $10,000 |
Alpha Titans LLC | | | investor protection violation | 2015 | $698,450 |
AlphaBridge Capital Management | | | accounting fraud or deficiencies | 2015 | $5,000,000 |
Alphacentric Advisors LLC | | | investor protection violation | 2022 | $300,000 |
Alpine 4 Holdings, Inc. | | | investor protection violation | 2023 | $60,000 |
Alpine Woods Capital Investors, LLC | | | investor protection violation | 2011 | $650,000 |
Alta Communications | | | investor protection violation | 2017 | $35,000 |
Altaba Inc. | | | investor protection violation | 2018 | $35,000,000 |
Altair Nanotechnologies, Inc. | | | investor protection violation | 2016 | $250,000 |
Alumni Ventures Group, LLC | | | investor protection violation | 2022 | $5,400,000 |
Amadeus Wealth Advisors, LLC | | | investor protection violation | 2019 | $40,000 |
Amaranth Advisors L.L.C. | | | investor protection violation | 2007 | $716,819 |
Ambassador Advisors, LLC | | | investor protection violation | 2022 | $622,642 |
Ambit Capital Pvt. Ltd. | | | investor protection violation | 2012 | $30,910 |
Amec Foster Wheeler Limited | Wood Group | oilfield services and supplies | Foreign Corrupt Practices Act | 2021 | $10,100,000 |
America Modern Green Senior (Houston) LLC, America Modern Green Community (Houston) LLC, and America Modern Green Residential (Houston) LLC | | | investor protection violation | 2018 | $51,400,000 |
America Online, Inc. | Apollo Global Management | private equity (including portfolio companies) | accounting fraud or deficiencies | 2000 | $3,500,000 |