Dell Inc. | Dell Technologies | electrical and electronic equipment | accounting fraud or deficiencies | 2010 | $100,000,000 |
Analog Devices, Inc. | Analog Devices Inc. | electrical and electronic equipment | accounting fraud or deficiencies | 2008 | $3,000,000 |
Marvell Technology Group, Ltd. | Marvell Technology | electrical and electronic equipment | accounting fraud or deficiencies | 2008 | $10,000,000 |
Broadcom Corp. | Broadcom | electrical and electronic equipment | investor protection violation | 2008 | $12,000,000 |
Brocade Communications Systems, Inc. | Broadcom | electrical and electronic equipment | accounting fraud or deficiencies | 2007 | $7,000,000 |
Scientific-Atlanta, Inc. | Cisco Systems | electrical and electronic equipment | accounting fraud or deficiencies | 2006 | $20,000,000 |
Computer Associates International, Inc. | Broadcom | electrical and electronic equipment | accounting fraud or deficiencies | 2004 | (*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $225,000,000 |
Symbol Technologies, Inc. | Zebra Technologies | electrical and electronic equipment | accounting fraud or deficiencies | 2004 | $37,000,000 |
General Cable Corporation | Prysmian Group | electrical and electronic equipment | Foreign Corrupt Practices Act | 2016 | $55,000,000 |
KMG Chemicals, Inc. | Entegris | electrical and electronic equipment | investor protection violation | 2014 | $150,000 |
Universal Electronics Inc. | Universal Electronics Inc. | electrical and electronic equipment | investor protection violation | 2014 | $75,000 |
Panasonic Corp. | Panasonic | electrical and electronic equipment | Foreign Corrupt Practices Act | 2018 | $143,000,000 |
Juniper Networks, Inc. | Juniper Networks | electrical and electronic equipment | Foreign Corrupt Practices Act | 2019 | $11,745,018 |
Marvell Technology Group, Ltd. | Marvell Technology | electrical and electronic equipment | accounting fraud or deficiencies | 2019 | $5,500,000 |
Quantum Corporation | Quantum Corp. | electrical and electronic equipment | investor protection violation | 2019 | $1,000,000 |
Super Micro Computer, Inc. | Super Micro Computer Inc. | electrical and electronic equipment | accounting fraud or deficiencies | 2020 | $17,500,000 |
HP Inc. | HP Inc. | electrical and electronic equipment | accounting fraud or deficiencies | 2020 | $6,000,000 |
NVIDIA Corporation | Nvidia | electrical and electronic equipment | investor protection violation | 2022 | $5,500,000 |
VMware, Inc. | Broadcom | electrical and electronic equipment | investor protection violation | 2022 | $8,000,000 |
Lattice Semiconductor Corporation | Lattice Semiconductor | electrical and electronic equipment | investor protection violation | 2023 | $185,000 |
Las Vegas Sands Corp. | Las Vegas Sands Corp. | entertainment | Foreign Corrupt Practices Act | 2016 | $9,000,000 |
Lions Gate Entertainment Corp. | Lions Gate Entertainment | entertainment | accounting fraud or deficiencies | 2014 | $7,500,000 |
Take-Two Interactive Software, Inc. | Take-Two Interactive Software Inc. | entertainment | accounting fraud or deficiencies | 2009 | $3,000,000 |
Take-Two Interactive Software, Inc. | Take-Two Interactive Software Inc. | entertainment | accounting fraud or deficiencies | 2005 | $7,500,000 |
SeaWorld Entertainment Inc. | SeaWorld Entertainment | entertainment | investor protection violation | 2018 | $4,000,000 |
Flutter Entertainment plc | Flutter Entertainment PLC | entertainment | Foreign Corrupt Practices Act | 2023 | $4,000,000 |
Barclays Capital Inc. | Barclays | financial services | investor protection violation | 2016 | $35,000,000 |
Credit Suisse Securities (USA) LLC | UBS | financial services | investor protection violation | 2016 | $54,300,000 |
Goldman Sachs & Co. | Goldman Sachs | financial services | investor protection violation | 2016 | $15,000,000 |
J.P. Morgan Securities LLC | JPMorgan Chase | financial services | investor protection violation | 2016 | $4,000,000 |
Morgan Stanley Investment Management | Morgan Stanley | financial services | investor protection violation | 2015 | $8,800,000 |
J.P. Morgan Securities LLC and JPMorgan Chase Bank N.A. | JPMorgan Chase | financial services | investor protection violation | 2015 | $267,000,000 |
ICBC Standard Bank Plc | Industrial and Commercial Bank of China | financial services | investor protection violation | 2015 | $4,200,000 |
UBS Willow Management LLC and UBS Fund Advisor LLC | UBS | financial services | investor protection violation | 2015 | $17,500,000 |
UBS AG | UBS | financial services | investor protection violation | 2015 | $19,500,000 |
UBS Financial Services Inc. of Puerto Rico | UBS | financial services | investor protection violation | 2015 | $15,000,000 |
Credit Suisse Securities (USA) LLC | UBS | financial services | data submission deficiencies | 2015 | $4,250,000 |
Citigroup Global Markets | Citigroup | financial services | investor protection violation | 2015 | $15,000,000 |
Citigroup Global Markets Inc. and Citigroup Alternative Investments LLC | Citigroup | financial services | investor protection violation | 2015 | $180,000,000 |
Edward D. Jones & Co. LP | Jones Financial | financial services | investor protection violation | 2015 | $20,000,000 |
Goldman Sachs & Co. | Goldman Sachs | financial services | investor protection violation | 2015 | $7,000,000 |
Merrill Lynch | Bank of America | financial services | investor protection violation | 2015 | $10,900,000 |
Deutsche Bank AG | Deutsche Bank | financial services | investor protection violation | 2015 | $55,000,000 |
BlackRock Advisors LLC | BlackRock | financial services | investor protection violation | 2015 | $12,000,000 |
UBS Securities LLC | UBS | financial services | investor protection violation | 2015 | $14,400,000 |
Morgan Stanley & Co. LLC | Morgan Stanley | financial services | investor protection violation | 2014 | $4,000,000 |
HSBC Private Bank (Suisse) | HSBC | financial services | investor protection violation | 2014 | $12,500,000 |
Bank of America Corporation | Bank of America | financial services | investor protection violation | 2014 | $7,650,000 |
Barclays Capital Inc. | Barclays | financial services | investor protection violation | 2014 | $15,000,000 |
Wells Fargo Advisors LLC | Wells Fargo | financial services | investor protection violation | 2014 | $5,000,000 |
Morgan Stanley | Morgan Stanley | financial services | toxic securities abuses | 2014 | $275,000,000 |
Credit Suisse Group AG | UBS | financial services | investor protection violation | 2014 | $196,000,000 |
Merrill Lynch | Bank of America | financial services | toxic securities abuses | 2013 | $131,800,000 |
Fifth Third Bancorp | Fifth Third Bancorp | financial services | accounting fraud or deficiencies | 2013 | $6,500,000 |
RBS Securities Inc. | NatWest Group PLC | financial services | toxic securities abuses | 2013 | $153,700,000 |
JPMorgan & Co. | JPMorgan Chase | financial services | accounting fraud or deficiencies | 2013 | $200,000,000 |
UBS Securities | UBS | financial services | toxic securities abuses | 2013 | $50,000,000 |
Capital One Financial Corporation | Capital One Financial | financial services | accounting fraud or deficiencies | 2013 | $3,500,000 |
J.P. Morgan Securities LLC | JPMorgan Chase | financial services | toxic securities abuses | 2012 | $296,900,000 |
Credit Suisse Securities (USA) | UBS | financial services | toxic securities abuses | 2012 | $120,000,000 |
Massachusetts Mutual Life Insurance Company | Massachusetts Mutual Life Insurance | financial services | investor protection violation | 2012 | $1,625,000 |
Goldman Sachs & Co. | Goldman Sachs | financial services | illicit political contributions | 2012 | $12,000,000 |
Wells Fargo | Wells Fargo | financial services | toxic securities abuses | 2012 | $6,500,000 |
Mizuho Financial Group | Mizuho Financial | financial services | investor protection violation | 2012 | $127,500,000 |
OppenheimerFunds Inc. | Invesco | financial services | investor protection violation | 2012 | $35,000,000 |
UBS Financial Services Inc. of Puerto Rico | UBS | financial services | investor protection violation | 2012 | $26,600,000 |
Option One Mortgage Corporation | Ocwen Financial | financial services | toxic securities abuses | 2012 | $28,200,000 |
Goldman Sachs & Co. | Goldman Sachs | financial services | investor protection violation | 2012 | $22,000,000 |
UBS Global Asset Management | UBS | financial services | investor protection violation | 2012 | $300,000 |
Morgan Stanley Investment Management | Morgan Stanley | financial services | investor protection violation | 2011 | $3,300,000 |
UBS Securities LLC | UBS | financial services | investor protection violation | 2011 | $8,000,000 |
Citigroup | Citigroup | financial services | toxic securities abuses | 2011 | $285,000,000 |
RBC Capital Markets LLC | Royal Bank of Canada | financial services | investor protection violation | 2011 | $30,400,000 |
Janney Montgomery Scott LLC | Penn Mutual | financial services | investor protection violation | 2011 | $850,000 |
Morgan Keegan & Company | Raymond James Financial | financial services | toxic securities abuses | 2011 | $200,000,000 |
J.P. Morgan Securities LLC | JPMorgan Chase | financial services | toxic securities abuses | 2011 | $153,600,000 |
Wells Fargo Securities LLC | Wells Fargo | financial services | toxic securities abuses | 2011 | $11,000,000 |
TD Ameritrade Inc. | Charles Schwab Corp. | financial services | investor protection violation | 2011 | $10,000,000 |
Charles Schwab Investment Management and Charles Schwab & Co., Inc. | Charles Schwab Corp. | financial services | investor protection violation | 2011 | $118,000,000 |
Citigroup Inc. | Citigroup | financial services | toxic securities abuses | 2010 | $75,000,000 |
Goldman Sachs & Co. | Goldman Sachs | financial services | toxic securities abuses | 2010 | $550,000,000 |
Bank of America | Bank of America | financial services | investor protection violation | 2010 | $150,000,000 |
BNY Mellon | Bank of New York Mellon | financial services | Foreign Corrupt Practices Act | 2015 | $14,800,000 |
Allianz SE | Allianz | financial services | Foreign Corrupt Practices Act | 2012 | $12,396,423 |
Aon Corporation | Aon | financial services | Foreign Corrupt Practices Act | 2011 | $14,545,020 |
State Street Bank and Trust Company | State Street Corp. | financial services | investor protection violation | 2016 | $382,400,000 |
Citigroup Global Markets | Citigroup | financial services | data submission deficiencies | 2016 | $7,000,000 |
Merrill Lynch | Bank of America | financial services | investor protection violation | 2016 | $10,000,000 |
Merrill Lynch | Bank of America | financial services | investor protection violation | 2016 | $415,000,000 |
Morgan Stanley Smith Barney LLC | Morgan Stanley | financial services | investor protection violation | 2016 | $1,000,000 |
INTL FCStone | StoneX Group | financial services | accounting fraud or deficiencies | 2016 | $150,000 |
KeyBanc Capital Markets Inc. | KeyCorp | financial services | accounting fraud or deficiencies | 2016 | $175,000 |
Ocwen Financial Corp. | Ocwen Financial | financial services | accounting fraud or deficiencies | 2016 | $2,000,000 |
State Street Bank and Trust Company | State Street Corp. | financial services | illicit political contributions | 2016 | $12,000,000 |
J.P. Morgan Investment Management Inc. | JPMorgan Chase | financial services | investor protection violation | 2015 | $1,084,210 |
Omega Advisors, Inc. | Omega Advisors | financial services | investor protection violation | 2015 | $134,026 |
Guggenheim Partners Investment Management LLC | Guggenheim Partners | financial services | investor protection violation | 2015 | $20,000,000 |
OZ Management LP | Sculptor Capital Management | financial services | data submission deficiencies | 2015 | $4,250,000 |
BMO Capital Markets GKST Inc. | Piper Sandler | financial services | investor protection violation | 2015 | $250,000 |
BNY Mellon Capital Markets, LLC | Bank of New York Mellon | financial services | investor protection violation | 2015 | $120,000 |
Citigroup Global Markets Inc. | Citigroup | financial services | investor protection violation | 2015 | $500,000 |