Citigroup Global Markets, Inc. | Citigroup | financial services | investor protection violation | 2023 | $1,975,000 |
Scientific-Atlanta, Inc. | Cisco Systems | electrical and electronic equipment | accounting fraud or deficiencies | 2006 | $20,000,000 |
Chiquita Brands International, Inc. | Chiquita Brands International | food products | Foreign Corrupt Practices Act | 2001 | $100,000 |
Chevron Corporation | Chevron | oil and gas | Foreign Corrupt Practices Act | 2007 | $30,000,000 |
The Cheesecake Factory Incorporated | Cheesecake Factory | restaurants and foodservice | accounting fraud or deficiencies | 2020 | $125,000 |
Chatham Asset Management LLC | Chatham Asset Management | financial services | investor protection violation | 2023 | $18,800,000 |
Charter Communications Inc. | Charter Communications | telecommunications | accounting fraud or deficiencies | 2023 | $25,000,000 |
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 |
Charles Schwab & Co. | Charles Schwab Corp. | financial services | investor protection violation | 2014 | $61,800 |
TD Ameritrade | Charles Schwab Corp. | financial services | investor protection violation | 2014 | $100,800 |
Scottrade | Charles Schwab Corp. | financial services | data submission deficiencies | 2014 | $2,500,000 |
Scottrade, Inc. | Charles Schwab Corp. | financial services | investor protection violation | 2008 | $950,000 |
Charles Schwab & Co., Inc. | Charles Schwab Corp. | financial services | investor protection violation | 2004 | $350,000 |
Charles Schwab & Co., Inc. | Charles Schwab Corp. | financial services | investor protection violation | 2018 | $2,800,000 |
TD Ameritrade, Inc. | Charles Schwab Corp. | financial services | investor protection violation | 2018 | $500,000 |
Charles Schwab & Co., Inc. et al. | Charles Schwab Corp. | financial services | investor protection violation | 2022 | $187,000,000 |
Health Net Inc. | Centene | healthcare services | investor protection violation | 2016 | $340,000 |
WellCare Health Plans, Inc. | Centene | healthcare services | investor protection violation | 2009 | $10,000,000 |
CBRE, Inc. | CBRE Group | real estate | investor protection violation | 2023 | $375,000 |
Chicago Board Options Exchange | CBOE Holdings | financial services | investor protection violation | 2013 | $6,000,000 |
Akzo Nobel N.V. | Carlyle Group | private equity (including portfolio companies) | Foreign Corrupt Practices Act | 2007 | $2,981,513 |
Cardinal Health, Inc. | Cardinal Health | wholesalers | accounting fraud or deficiencies | 2007 | $35,000,000 |
Cardinal Health, Inc. | Cardinal Health | wholesalers | Foreign Corrupt Practices Act | 2020 | $8,000,000 |
Capital One Financial Corporation | Capital One Financial | financial services | accounting fraud or deficiencies | 2013 | $3,500,000 |
Cantor Fitzgerald & Co. | Cantor Fitzgerald | financial services | investor protection violation | 2018 | $1,250,000 |
Cantor Fitzgerald & Co. | Cantor Fitzgerald | financial services | investor protection violation | 2019 | $647,000 |
Cantor Fitzgerald & Co. | Cantor Fitzgerald | financial services | investor protection violation | 2020 | $3,200,000 |
Cantor Fitzgerald & Co. | Cantor Fitzgerald | financial services | investor protection violation | 2022 | $10,000,000 |
Cantor Fitzgerald & Co. | Cantor Fitzgerald | financial services | investor protection violation | 2023 | $1,400,000 |
Canoo Inc. | Canoo Inc. | motor vehicles | investor protection violation | 2023 | $1,500,000 |
Canadian Imperial Bank of Commerce | Canadian Imperial Bank of Commerce | financial services | investor protection violation | 2005 | $125,000,000 |
Canadian Imperial Bank of Commerce | Canadian Imperial Bank of Commerce | financial services | accounting fraud or deficiencies | 2003 | $80,000,000 |
CIBC World Markets Corporation | Canadian Imperial Bank of Commerce | financial services | investor protection violation | 2005 | $496,598 |
Diamond Foods | Campbell Soup | food products | accounting fraud or deficiencies | 2014 | $5,000,000 |
Calumet Specialty Products Partners, L.P. | Calumet Specialty Products | chemicals | investor protection violation | 2019 | $250,000 |
Bruker Corporation | Bruker | miscellaneous manufacturing | Foreign Corrupt Practices Act | 2014 | $2,400,000 |
Brown Brothers Harriman & Co. | Brown Brothers Harriman | financial services | investor protection violation | 2014 | $120,000 |
Oaktree Capital Management, LLC | Brookfield Corporation | diversified | investor protection violation | 2005 | $345,701 |
Oaktree Capital Management, L.P. | Brookfield Corporation | diversified | investor protection violation | 2018 | $100,000 |
Broadwind Energy | Broadwind Inc. | utilities and power generation | accounting fraud or deficiencies | 2015 | $1,000,000 |
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 |
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 |
VMware, Inc. | Broadcom | electrical and electronic equipment | investor protection violation | 2022 | $8,000,000 |
Bristol-Myers Squibb | Bristol-Myers Squibb | pharmaceuticals | Foreign Corrupt Practices Act | 2015 | $14,000,000 |
Bristol-Myers Squibb Company | Bristol-Myers Squibb | pharmaceuticals | accounting fraud or deficiencies | 2004 | $150,000,000 |
Brink's Company | Brink's | miscellaneous services | investor protection violation | 2022 | $400,000 |
Braskem S.A. | Braskem | chemicals | Foreign Corrupt Practices Act | 2016 | $65,000,000 |
BP | BP | oil and gas | investor protection violation | 2012 | $525,000,000 |
BorgWarner Inc. | BorgWarner | automotive parts | accounting fraud or deficiencies | 2020 | $950,000 |
BOK Financial Corporation | BOK Financial | financial services | investor protection violation | 2016 | $1,667,720 |
Bok Financial Securities, Inc. | BOK Financial | financial services | investor protection violation | 2019 | $197,801 |
Boeing Company | Boeing | aerospace and military contracting | investor protection violation | 2022 | $200,000,000 |
BNP Paribas Securities Corp. | BNP Paribas | financial services | investor protection violation | 2020 | $250,000 |
BNP Paribas Securities Corp. | BNP Paribas | financial services | investor protection violation | 2023 | $35,000,000 |
BMW AG | BMW | motor vehicles | accounting fraud or deficiencies | 2020 | $18,000,000 |
BlueLinx Holdings Inc. | BlueLinx Holdings | wholesalers | investor protection violation | 2016 | $265,000 |
Magnum Hunter Resources Corporation | Blue Ridge Mountain Resources | oil and gas | accounting fraud or deficiencies | 2016 | $250,000 |
Bloomberg Tradebook LLC | Bloomberg | information technology | investor protection violation | 2020 | $5,000,000 |
Bloomberg Finance L.P. | Bloomberg | information technology | investor protection violation | 2023 | $5,000,000 |
Blackstone Group | Blackstone | private equity (including portfolio companies) | investor protection violation | 2015 | $39,000,000 |
BlackRock Advisors LLC | BlackRock | financial services | investor protection violation | 2015 | $12,000,000 |
BlackRock Institutional Trust Company | BlackRock | financial services | investor protection violation | 2014 | $1,675,350 |
BlackRock Inc. | BlackRock | financial services | investor protection violation | 2017 | $340,000 |
Blackrock Fund Advisors | BlackRock | financial services | investor protection violation | 2017 | $1,500,000 |
State Street Research & Management Company | BlackRock | financial services | investor protection violation | 2005 | $585,743 |
BlackRock Advisors, LLC | BlackRock | financial services | investor protection violation | 2023 | $2,500,000 |
Blackbaud Inc. | Blackbaud | information technology | investor protection violation | 2023 | $3,000,000 |
Bio-Rad Laboratories Inc. | Bio-Rad Laboratories | healthcare services | Foreign Corrupt Practices Act | 2014 | $40,700,000 |
Biglari Capital LLC | Biglari Holdings | diversified | investor protection violation | 2018 | $75,000 |
BHP Billiton | BHP Group | mining and minerals | Foreign Corrupt Practices Act | 2015 | $25,000,000 |
GFI Securities LLC | BGC Partners | financial services | investor protection violation | 2019 | $4,300,000 |
BGC Partners, Inc. | BGC Partners | financial services | investor protection violation | 2020 | $1,400,000 |
Berthel Fisher & Company Financial Services, Inc. | Berthel Fisher | financial services | investor protection violation | 2021 | $389,425 |
General Re Corporation | Berkshire Hathaway | diversified | accounting fraud or deficiencies | 2010 | $12,200,000 |
Belden Inc. | Belden | industrial equipment | investor protection violation | 2020 | $650,000 |
BDO USA | BDO International | business services | accounting fraud or deficiencies | 2015 | $2,100,000 |
Monsanto Company | Bayer | chemicals | accounting fraud or deficiencies | 2016 | $80,000,000 |
Delta & Pine Land Company and Turk Deltapine, Inc. | Bayer | chemicals | Foreign Corrupt Practices Act | 2007 | $300,000 |
Monsanto Company | Bayer | chemicals | Foreign Corrupt Practices Act | 2005 | $500,000 |
Baxter International Inc. | Baxter International | medical equipment and supplies | accounting fraud or deficiencies | 2022 | $18,000,000 |
Biovail Corporation | Bausch Health | pharmaceuticals | accounting fraud or deficiencies | 2008 | $10,000,000 |
ICN Pharmaceuticals, Inc. | Bausch Health | pharmaceuticals | accounting fraud or deficiencies | 2002 | $1,000,000 |
Bausch Health | Bausch Health | pharmaceuticals | accounting fraud or deficiencies | 2020 | $45,000,000 |
Cabela's | Bass Pro | retailing | accounting fraud or deficiencies | 2016 | $1,000,000 |
Barrett Business Services Inc. | Barrett Business Services | miscellaneous services | accounting fraud or deficiencies | 2018 | $1,500,000 |
Barclays Capital Inc. | Barclays | financial services | investor protection violation | 2016 | $35,000,000 |
Barclays Capital Inc. | Barclays | financial services | investor protection violation | 2014 | $15,000,000 |
Barclays Bank PLC | Barclays | financial services | insider trading | 2007 | $10,943,561 |
Barclays Capital | Barclays | financial services | investor protection violation | 2017 | $97,037,659 |
Barclays Capital Inc. | Barclays | financial services | investor protection violation | 2017 | $12,710,040 |
Barclays Capital Inc. | Barclays | financial services | investor protection violation | 2016 | $500,000 |
Barclays PLC | Barclays | financial services | Foreign Corrupt Practices Act | 2019 | $6,308,726 |
Barclays Bank PLC | Barclays | financial services | investor protection violation | 2022 | $361,000,000 |
Barclays Capital Inc. | Barclays | financial services | investor protection violation | 2022 | $125,000,000 |
BNY Mellon | Bank of New York Mellon | financial services | Foreign Corrupt Practices Act | 2015 | $14,800,000 |
BNY Mellon Capital Markets, LLC | Bank of New York Mellon | financial services | investor protection violation | 2015 | $120,000 |
BNY Mellon | Bank of New York Mellon | financial services | investor protection violation | 2017 | $6,600,000 |
BNY Mellon Securities LLC | Bank of New York Mellon | financial services | investor protection violation | 2011 | $24,045,447 |
The Bank Of New York | Bank of New York Mellon | financial services | investor protection violation | 2007 | $750,000 |