KPMG Huazhen | KPMG | business services | accounting fraud or deficiencies | 2015 | $500,000 |
Koppers Holdings Inc. | Koppers | chemicals | investor protection violation | 2022 | $1,300,000 |
Kohlberg Kravis Roberts & Co. | KKR & Co. | private equity (including portfolio companies) | investor protection violation | 2015 | $30,000,000 |
Kinross Gold Corporation | Kinross Gold | mining and minerals | Foreign Corrupt Practices Act | 2018 | $950,000 |
El Paso Corporation | Kinder Morgan | pipelines | Foreign Corrupt Practices Act | 2007 | $7,700,000 |
KeyBanc Capital Markets Inc. | KeyCorp | financial services | accounting fraud or deficiencies | 2016 | $175,000 |
Keybanc Capital Markets Inc. | KeyCorp | financial services | investor protection violation | 2016 | $440,000 |
KeyBanc Capital Markets Inc. | KeyCorp | financial services | investor protection violation | 2023 | $397,135 |
Key Energy Services Inc. | Key Energy Services | oilfield services and supplies | Foreign Corrupt Practices Act | 2016 | $5,000,000 |
Kellogg Brown & Root LLC | KBR | construction and engineering | Foreign Corrupt Practices Act | 2009 | $177,000,000 |
KBR, Inc. | KBR | construction and engineering | investor protection violation | 2015 | $130,000 |
KBR Inc. | KBR | construction and engineering | accounting fraud or deficiencies | 2018 | $2,500,000 |
Juniper Networks, Inc. | Juniper Networks | electrical and electronic equipment | Foreign Corrupt Practices Act | 2019 | $11,745,018 |
J.P. Morgan Securities LLC | JPMorgan Chase | financial services | investor protection violation | 2016 | $4,000,000 |
J.P. Morgan Securities LLC and JPMorgan Chase Bank N.A. | JPMorgan Chase | financial services | investor protection violation | 2015 | $267,000,000 |
JPMorgan & Co. | JPMorgan Chase | financial services | accounting fraud or deficiencies | 2013 | $200,000,000 |
J.P. Morgan Securities LLC | JPMorgan Chase | financial services | toxic securities abuses | 2012 | $296,900,000 |
J.P. Morgan Securities LLC | JPMorgan Chase | financial services | toxic securities abuses | 2011 | $153,600,000 |
J.P. Morgan Investment Management Inc. | JPMorgan Chase | financial services | investor protection violation | 2015 | $1,084,210 |
J.P. Morgan Securities LLC | JPMorgan Chase | financial services | investor protection violation | 2015 | $500,000 |
J.P. Morgan Securities | JPMorgan Chase | financial services | investor protection violation | 2014 | $54,000 |
J.P. Morgan Securities Inc. | JPMorgan Chase | financial services | kickbacks and bribery | 2009 | $75,000,000 |
Bear, Stearns & Co., Inc. | JPMorgan Chase | financial services | investor protection violation | 2006 | $1,500,000 |
J.P. Morgan Securities, Inc. | JPMorgan Chase | financial services | investor protection violation | 2006 | $1,500,000 |
Bear, Stearns & Co., Inc. | JPMorgan Chase | financial services | investor protection violation | 2006 | $250,000,000 |
Banc One Investment Advisors Corporation | JPMorgan Chase | financial services | investor protection violation | 2004 | $50,000,000 |
J.P. Morgan Securities Inc. | JPMorgan Chase | financial services | investor protection violation | 2003 | $25,000,000 |
J.P. Morgan Chase & Co. | JPMorgan Chase | financial services | accounting fraud or deficiencies | 2003 | $135,000,000 |
Bear, Stearns & Co. Inc. | JPMorgan Chase | financial services | investor protection violation | 2003 | $80,000,000 |
J.P. Morgan Securities Inc. | JPMorgan Chase | financial services | investor protection violation | 2003 | $80,000,000 |
JPMorgan Chase & Co. | JPMorgan Chase | financial services | Foreign Corrupt Practices Act | 2016 | $130,000,000 |
JPMorgan Chase & Co. | JPMorgan Chase | financial services | investor protection violation | 2008 | $1,998,143 |
J.P. Morgan Securities Inc. | JPMorgan Chase | financial services | investor protection violation | 2005 | $700,000 |
JPMorgan Chase Bank N.A. | JPMorgan Chase | financial services | investor protection violation | 2018 | $135,100,000 |
First Republic Investment Management, Inc. | JPMorgan Chase | financial services | investor protection violation | 2019 | $1,005,194 |
J.P. Morgan Securities LLC | JPMorgan Chase | financial services | investor protection violation | 2020 | $1,822,438 |
J.P. Morgan Securities LLC | JPMorgan Chase | financial services | investor protection violation | 2020 | $35,000,000 |
J.P. Morgan Securities LLC | JPMorgan Chase | financial services | investor protection violation | 2021 | $125,000,000 |
First Republic Investment Management, Inc. | JPMorgan Chase | financial services | investor protection violation | 2022 | $1,825,953 |
J.P. Morgan Securities LLC | JPMorgan Chase | financial services | investor protection violation | 2022 | $1,200,000 |
J.P. Morgan Securities LLC | JPMorgan Chase | financial services | investor protection violation | 2023 | $4,000,000 |
J.P. Morgan Securities LLC | JPMorgan Chase | financial services | investor protection violation | 2024 | $18,000,000 |
Jones Lang LaSalle Incorporated | Jones Lang LaSalle | real estate | investor protection violation | 2014 | $150,000 |
Edward D. Jones & Co. LP | Jones Financial | financial services | investor protection violation | 2015 | $20,000,000 |
Edward D. Jones & Co., L.P. | Jones Financial | financial services | investor protection violation | 2004 | $75,000,000 |
Edward D. Jones & Co., L.P. | Jones Financial | financial services | investor protection violation | 2015 | $100,000 |
Tyco International Ltd. | Johnson Controls | automotive parts | Foreign Corrupt Practices Act | 2012 | $13,131,509 |
Johnson Controls | Johnson Controls | automotive parts | Foreign Corrupt Practices Act | 2016 | $14,362,561 |
York International Corporation | Johnson Controls | automotive parts | Foreign Corrupt Practices Act | 2007 | $12,032,880 |
Tyco International Ltd. | Johnson Controls | automotive parts | accounting fraud or deficiencies | 2006 | $50,000,000 |
Johnson & Johnson | Johnson & Johnson | pharmaceuticals | Foreign Corrupt Practices Act | 2011 | $48,600,000 |
Jefferies LLC | Jefferies Financial Group | diversified | investor protection violation | 2014 | $25,000,000 |
Jefferies & Co., Inc. | Jefferies Financial Group | diversified | kickbacks and bribery | 2006 | $4,200,000 |
Jefferies LLC | Jefferies Financial Group | diversified | investor protection violation | 2016 | $500,000 |
Jefferies LLC | Jefferies Financial Group | diversified | investor protection violation | 2019 | $3,918,000 |
Jefferies LLC | Jefferies Financial Group | diversified | investor protection violation | 2022 | $143,215 |
Jefferies LLC | Jefferies Financial Group | diversified | investor protection violation | 2022 | $50,000,000 |
JBS S.A. | JBS | food products | Foreign Corrupt Practices Act | 2020 | $27,000,000 |
Janus Capital Management LLC | Janus Henderson | financial services | investor protection violation | 2004 | $100,000,000 |
Janus Henderson Investors US LLC | Janus Henderson | financial services | investor protection violation | 2022 | $150,000 |
Jack Henry & Associates, Inc. | Jack Henry & Associates | information technology | accounting fraud or deficiencies | 2016 | $780,000 |
ITT Corporation | ITT Inc. | industrial equipment | Foreign Corrupt Practices Act | 2009 | $1,678,650 |
OppenheimerFunds Inc. | Invesco | financial services | investor protection violation | 2012 | $35,000,000 |
AIM Advisors, Inc. and AIM Distributors, Inc. | Invesco | financial services | investor protection violation | 2004 | $50,000,000 |
Invesco Funds Group, Inc. | Invesco | financial services | investor protection violation | 2004 | $325,000,000 |
WL Ross & Co. LLC | Invesco | financial services | investor protection violation | 2016 | $2,300,000 |
Banca IMI Securities Corp. | Intesa Sanpaolo | financial services | investor protection violation | 2017 | $35,300,000 |
McCann-Erickson Worldwide | Interpublic | miscellaneous services | accounting fraud or deficiencies | 2008 | $12,000,000 |
International Game Technology | International Game Technology | miscellaneous manufacturing | accounting fraud or deficiencies | 2016 | $500,000 |
New York Stock Exchange | IntercontinentalExchange Group | financial services | investor protection violation | 2014 | $4,500,000 |
New York Stock Exchange | IntercontinentalExchange Group | financial services | investor protection violation | 2012 | $5,000,000 |
New York Stock Exchange, Inc. | IntercontinentalExchange Group | financial services | investor protection violation | 2005 | $20,000,000 |
New York Stock Exchange | IntercontinentalExchange Group | financial services | investor protection violation | 2018 | $14,000,000 |
Interactive Brokers LLC | Interactive Brokers Group | financial services | investor protection violation | 2014 | $56,000 |
Interactive Brokers LLC | Interactive Brokers Group | financial services | investor protection violation | 2020 | $11,500,000 |
Interactive Brokers Corp. | Interactive Brokers Group | financial services | investor protection violation | 2023 | $35,000,000 |
Innospec Inc. | Innospec | chemicals | Foreign Corrupt Practices Act | 2010 | $11,200,000 |
Ingersoll-Rand Company Ltd. | Ingersoll Rand | industrial equipment | Foreign Corrupt Practices Act | 2007 | $4,220,987 |
ICBC Standard Bank Plc | Industrial and Commercial Bank of China | financial services | investor protection violation | 2015 | $4,200,000 |
Industrial and Commercial Bank of China Financial Services LLC | Industrial and Commercial Bank of China | financial services | investor protection violation | 2018 | $1,250,000 |
Industrial and Commercial Bank of China Financial Services LLC | Industrial and Commercial Bank of China | financial services | investor protection violation | 2018 | $860,000 |
Industrial and Commercial Bank of China Financial Services LLC | Industrial and Commercial Bank of China | financial services | investor protection violation | 2019 | $42,700,000 |
Iconix Brand Group Inc. | Iconix Brand Group | apparel | accounting fraud or deficiencies | 2019 | $5,500,000 |
International Business Machines Corp. | IBM Corp. | information technology | Foreign Corrupt Practices Act | 2011 | $10,000,000 |
International Business Machines | IBM Corp. | information technology | accounting fraud or deficiencies | 2007 | $7,000,000 |
International Business Machines Corporation | IBM Corp. | information technology | Foreign Corrupt Practices Act | 2000 | $300,000 |
Huron Consulting Group Inc. | Huron Consulting Group | miscellaneous services | accounting fraud or deficiencies | 2012 | $1,000,000 |
Hutchinson, Shockey, Erley & Co. | Huntington Bancshares | financial services | investor protection violation | 2015 | $220,000 |
Huntington Bancshares, Inc. | Huntington Bancshares | financial services | accounting fraud or deficiencies | 2005 | $7,500,000 |
HSBC Private Bank (Suisse) | HSBC | financial services | investor protection violation | 2014 | $12,500,000 |
HSBC Bank USA, N.A. | HSBC | financial services | investor protection violation | 2007 | $10,500,000 |
HSBC Securities (USA) Inc. | HSBC | financial services | investor protection violation | 2020 | $725,000 |
HSBC Securities (USA) Inc. | HSBC | financial services | investor protection violation | 2023 | $15,000,000 |
Hewlett-Packard | HP Inc. | electrical and electronic equipment | Foreign Corrupt Practices Act | 2014 | $31,500,000 |
HP Inc. | HP Inc. | electrical and electronic equipment | accounting fraud or deficiencies | 2020 | $6,000,000 |
RAE Systems Inc. | Honeywell International | diversified | Foreign Corrupt Practices Act | 2010 | $1,250,000 |
Honeywell International Inc. | Honeywell International | diversified | Foreign Corrupt Practices Act | 2022 | $81,000,000 |
HomeStreet Inc | HomeStreet Inc. | financial services | accounting fraud or deficiencies | 2017 | $500,000 |
Hitachi Ltd. | Hitachi | diversified | Foreign Corrupt Practices Act | 2015 | $19,000,000 |
Hilton Worldwide Holdings Inc. | Hilton Worldwide | hotels | accounting fraud or deficiencies | 2020 | $600,000 |
Southwest Securities, Inc. | Hilltop Holdings | financial services | investor protection violation | 2005 | $10,000,000 |