Warburg Dillon Read LLC | UBS | financial services | investor protection violation | 2000 | $6,680,000 |
UBS Financial Services | UBS | financial services | investor protection violation | 2016 | $15,025,882 |
Credit Suisse AG | UBS | financial services | accounting fraud or deficiencies | 2016 | $90,000,000 |
UBS Financial Services, Inc. | UBS | financial services | investor protection violation | 2017 | $3,500,000 |
Credit Suisse Securities (USA) LLC | UBS | financial services | investor protection violation | 2017 | $5,754,714 |
UBS Financial Services Inc. | UBS | financial services | investor protection violation | 2015 | $480,000 |
UBS O'Connor, LLC | UBS | financial services | investor protection violation | 2013 | $5,297,716 |
Credit Suisse Alternative Capital, LLC and Credit Suisse Asset Management, LLC | UBS | financial services | investor protection violation | 2011 | $2,500,000 |
Credit Suisse Group AG | UBS | financial services | Foreign Corrupt Practices Act | 2018 | $29,700,000 |
Credit Suisse Securities (USA) LLC | UBS | financial services | investor protection violation | 2018 | $5,000,000 |
UBS Securities LLC | UBS | financial services | investor protection violation | 2005 | $700,000 |
Credit Suisse First Boston, LLC | UBS | financial services | investor protection violation | 2005 | $200,000 |
Donaldson, Lufkin & Jenrette Securities Corp. | UBS | financial services | investor protection violation | 2004 | $1,000,000 |
UBS Financial Services Inc. | UBS | financial services | investor protection violation | 2018 | $5,000,000 |
UBS Financial Services Inc. | UBS | financial services | investor protection violation | 2020 | $10,000,000 |
Credit Suisse Securities (USA) LLC | UBS | financial services | investor protection violation | 2020 | $600,000 |
UBS Financial Services Inc. | UBS | financial services | investor protection violation | 2021 | $8,112,174 |
Credit Suisse Group AG | UBS | financial services | Foreign Corrupt Practices Act | 2021 | $99,000,000 |
UBS Financial Services Inc. | UBS | financial services | investor protection violation | 2022 | $25,000,000 |
UBS Financial Services Inc. | UBS | financial services | investor protection violation | 2022 | $925,000 |
Credit Suisse Securities (USA) LLC | UBS | financial services | investor protection violation | 2022 | $125,000,000 |
UBS Securities LLC and UBS Financial Services Inc. | UBS | financial services | investor protection violation | 2022 | $125,000,000 |
Credit Suisse Securities (USA) LLC | UBS | financial services | investor protection violation | 2023 | $10,000,000 |
U.S. Pension Trust Corp. and U.S. College Trust Corp. | U.S. Pension Trust Corp. | financial services | investor protection violation | 2010 | $112,600,000 |
U.S. Bank Municipal Securities Group | U.S. Bancorp | financial services | investor protection violation | 2015 | $60,000 |
U.S. Bank National Association | U.S. Bancorp | financial services | investor protection violation | 2005 | $500,000 |
MUFG Securities Americas Inc. | U.S. Bancorp | financial services | investor protection violation | 2018 | $1,400,000 |
U.S. Bancorp Investments, Inc. | U.S. Bancorp | financial services | investor protection violation | 2020 | $15,992,441 |
U.S. Bancorp Investments Inc. | U.S. Bancorp | financial services | investor protection violation | 2024 | $8,000,000 |
Tyson Foods Inc. | Tyson Foods | food products | Foreign Corrupt Practices Act | 2011 | $5,000,000 |
Tyson Foods, Inc. | Tyson Foods | food products | accounting fraud or deficiencies | 2005 | $1,500,000 |
NIC Inc. | Tyler Technologies | information technology | accounting fraud or deficiencies | 2011 | $500,000 |
Tupperware Brands Corporation | Tupperware Brands | housewares and home furnishings | investor protection violation | 2022 | $900,000 |
SunTrust Capital Markets Inc. | Truist Financial | financial services | investor protection violation | 2006 | $125,000 |
SunTrust Banks | Truist Financial | financial services | investor protection violation | 2017 | $1,100,000 |
BB&T Securities, LLC | Truist Financial | financial services | investor protection violation | 2016 | $200,000 |
BB&T Securities, LLC | Truist Financial | financial services | investor protection violation | 2015 | $200,000 |
BB&T Securities, LLC | Truist Financial | financial services | investor protection violation | 2018 | $100,000 |
BB&T Securities | Truist Financial | financial services | investor protection violation | 2019 | $5,709,753 |
BB&T Securities, LLC | Truist Financial | financial services | investor protection violation | 2019 | $376,059 |
YourPeople, Inc., dba Zenefits FTW Insurance Services | TriNet Group | business services | investor protection violation | 2017 | $450,000 |
NeuStar Inc | TransUnion | miscellaneous services | investor protection violation | 2016 | $180,000 |
Transocean Inc. | Transocean | oilfield services and supplies | Foreign Corrupt Practices Act | 2010 | $7,265,080 |
GlobalSantaFe Corp. | Transocean | oilfield services and supplies | Foreign Corrupt Practices Act | 2010 | $5,858,165 |
TPG Capital | TPG Capital | private equity (including portfolio companies) | investor protection violation | 2001 | $50,000 |
TPG Capital Advisors, LLC | TPG Capital | private equity (including portfolio companies) | investor protection violation | 2017 | $12,487,620 |
Total, S.A. | TotalEnergies SE | oil and gas | Foreign Corrupt Practices Act | 2013 | $153,000,000 |
ConvergEx Group | Toronto-Dominion Bank | financial services | investor protection violation | 2013 | $107,424,429 |
TD Bank | Toronto-Dominion Bank | financial services | investor protection violation | 2013 | $15,000,000 |
TD Waterhouse Investor Services, Inc. | Toronto-Dominion Bank | financial services | investor protection violation | 2004 | $2,000,000 |
SG Cowen & Co., LLC f/k/a SG Cowen Securities Corporation | Toronto-Dominion Bank | financial services | investor protection violation | 2004 | $125,000 |
SG Cowen Securities Corporation | Toronto-Dominion Bank | financial services | investor protection violation | 2003 | $5,000,000 |
TD Securities (USA) LLC | Toronto-Dominion Bank | financial services | investor protection violation | 2016 | $500,000 |
TD Options LLC | Toronto-Dominion Bank | financial services | investor protection violation | 2009 | $1,000,000 |
Convergex Execution Solutions LLC | Toronto-Dominion Bank | financial services | data submission deficiencies | 2018 | $2,750,000 |
TD Securities (USA) LLC | Toronto-Dominion Bank | financial services | investor protection violation | 2022 | $152,955 |
Tidewater Inc. | Tidewater Inc. | miscellaneous services | Foreign Corrupt Practices Act | 2010 | $8,321,362 |
TIAA-CREF Individual & Institutional Services, LLC | TIAA | financial services | investor protection violation | 2019 | $2,395,722 |
TIAA-CREF Individual & Institutional Services LLC | TIAA | financial services | accounting fraud or deficiencies | 2021 | $97,000,000 |
Nuveen Securities LLC | TIAA | financial services | investor protection violation | 2023 | $8,500,000 |
TIAA-CREF Individual & Institutional Services LLC | TIAA | financial services | investor protection violation | 2024 | $2,200,000 |
Thor Industries Inc. | Thor Industries | motor vehicles | accounting fraud or deficiencies | 2011 | $1,000,000 |
Textron Inc. | Textron | aerospace and military contracting | Foreign Corrupt Practices Act | 2007 | $3,535,040 |
Teva Pharmaceutical Industries Limited | Teva Pharmaceutical Industries | pharmaceuticals | Foreign Corrupt Practices Act | 2016 | $236,000,000 |
Maxwell Technologies Inc. | Tesla Inc. | motor vehicles | Foreign Corrupt Practices Act | 2011 | $6,350,890 |
Maxwell Technologies, Inc. | Tesla Inc. | motor vehicles | accounting fraud or deficiencies | 2018 | $2,800,000 |
Tesla Inc. | Tesla Inc. | motor vehicles | investor protection violation | 2018 | $20,000,000 |
Terex Corporation | Terex | heavy equipment | accounting fraud or deficiencies | 2009 | $8,000,000 |
Tenet Healthcare Corporation | Tenet Healthcare | healthcare services | investor protection violation | 2007 | $10,000,000 |
Telia Company AB | Telia Company AB | telecommunications | Foreign Corrupt Practices Act | 2017 | $457,000,000 |
FLIR Systems Inc. | Teledyne Technologies | miscellaneous manufacturing | Foreign Corrupt Practices Act | 2015 | $9,500,000 |
Technip S.A. | TechnipFMC | oilfield services and supplies | Foreign Corrupt Practices Act | 2010 | $98,000,000 |
FMC Technologies | TechnipFMC | oilfield services and supplies | accounting fraud or deficiencies | 2016 | $2,500,000 |
TechnipFMC plc | TechnipFMC | oilfield services and supplies | Foreign Corrupt Practices Act | 2019 | $5,061,906 |
Tenaris S.A. | Techint | diversified | Foreign Corrupt Practices Act | 2011 | $5,400,000 |
Tenaris | Techint | diversified | Foreign Corrupt Practices Act | 2022 | $78,000,000 |
Satyam Computer Services Limited | Tech Mahindra | miscellaneous services | accounting fraud or deficiencies | 2011 | $10,000,000 |
Tangoe Inc. | Tangoe Inc. | information technology | accounting fraud or deficiencies | 2018 | $1,500,000 |
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 |
Synchronoss Technologies, Inc. | Synchronoss Technologies | information technology | investor protection violation | 2022 | $12,500,000 |
Swiss Re Financial Products Corporation | Swiss Re | financial services | investor protection violation | 2007 | $95,000 |
Super Micro Computer, Inc. | Super Micro Computer Inc. | electrical and electronic equipment | accounting fraud or deficiencies | 2020 | $17,500,000 |
Beam Suntory Inc. | Suntory | beverages | investor protection violation | 2018 | $8,181,838 |
Massachusetts Financial Services Company | Sun Life Financial | financial services | investor protection violation | 2004 | $50,000,000 |
Massachusetts Financial Services Co. | Sun Life Financial | financial services | investor protection violation | 2004 | $225,000,000 |
Massachusetts Financial Services Company | Sun Life Financial | financial services | investor protection violation | 2003 | $917,858 |
Massachusetts Financial Services Company | Sun Life Financial | financial services | investor protection violation | 2018 | $1,900,000 |
SMBC Nikko Securities America, Inc. | Sumitomo Group | diversified | investor protection violation | 2023 | $9,000,000 |
Stryker Corporation | Stryker | medical equipment and supplies | Foreign Corrupt Practices Act | 2013 | $13,200,000 |
Stryker Corp. | Stryker | medical equipment and supplies | Foreign Corrupt Practices Act | 2018 | $7,800,000 |
INTL FCStone | StoneX Group | financial services | accounting fraud or deficiencies | 2016 | $150,000 |
AmTrust Financial Services Inc. | Stone Point Capital | private equity (including portfolio companies) | investor protection violation | 2020 | $10,300,000 |
Stifel, Nicolaus & Company, Inc. | Stifel Financial | financial services | investor protection violation | 2015 | $500,000 |
Stifel Nicolaus & Co. | Stifel Financial | financial services | investor protection violation | 2014 | $60,000 |
Thomas Weisel Partners LLC | Stifel Financial | financial services | investor protection violation | 2004 | $12,500,000 |
Stifel, Nicolaus & Co., Inc. | Stifel Financial | financial services | investor protection violation | 2016 | $24,500,000 |
Stifel, Nicolaus & Company, Incorporated | Stifel Financial | financial services | investor protection violation | 2017 | $300,000 |
Stifel and Nicolaus & Company, Incorporated | Stifel Financial | financial services | investor protection violation | 2019 | $6,037,175 |
Stifel, Nicolaus & Co., Inc. | Stifel Financial | financial services | investor protection violation | 2019 | $2,700,000 |
Stericycle, Inc. | Stericycle | waste management and environmental services | Foreign Corrupt Practices Act | 2022 | $28,200,000 |