Ingersoll-Rand Company Ltd. | Ingersoll Rand | industrial equipment | Foreign Corrupt Practices Act | 2007 | $4,220,987 |
Microphase Corp. | | | investor protection violation | 2007 | $700,000 |
Nortel Networks Corporation | | | accounting fraud or deficiencies | 2007 | $35,000,000 |
Sandell Asset Management Corp. | | | investor protection violation | 2007 | $8,097,494 |
York International Corporation | Johnson Controls | automotive parts | Foreign Corrupt Practices Act | 2007 | $12,032,880 |
Federal Home Loan Mortgage Corporation (Freddie Mac) | Freddie Mac (Federal Home Loan Mortgage Corporation) | financial services | investor protection violation | 2007 | $50,000,000 |
Regional Brokers, Inc. | | | investor protection violation | 2007 | $100,000 |
Electronic Data Systems Corporation | | | accounting fraud or deficiencies | 2007 | $490,902 |
Evergreen Investment Management Company | Wells Fargo | financial services | investor protection violation | 2007 | $32,500,000 |
HSBC Bank USA, N.A. | HSBC | financial services | investor protection violation | 2007 | $10,500,000 |
Swiss Re Financial Products Corporation | Swiss Re | financial services | investor protection violation | 2007 | $95,000 |
Sure Trace Security Corporation | | | investor protection violation | 2007 | $1,098,900 |
Commonwealth Equity Services, LLP | | | investor protection violation | 2007 | $250,000 |
Detwiler, Mitchell, Fenton & Graves, Inc. | | | investor protection violation | 2007 | $250,000 |
Textron Inc. | Textron | aerospace and military contracting | Foreign Corrupt Practices Act | 2007 | $3,535,040 |
General American Life Insurance Company | MetLife | financial services | investor protection violation | 2007 | $3,300,000 |
Platforms Wireless International Corp. | | | investor protection violation | 2007 | $2,431,213 |
First BanCorp | First Bancorp (Puerto Rico) | financial services | accounting fraud or deficiencies | 2007 | $8,500,000 |
Cardinal Health, Inc. | Cardinal Health | wholesalers | accounting fraud or deficiencies | 2007 | $35,000,000 |
Delta & Pine Land Company and Turk Deltapine, Inc. | Bayer | chemicals | Foreign Corrupt Practices Act | 2007 | $300,000 |
ConAgra Foods, Inc. | ConAgra Brands | food products | accounting fraud or deficiencies | 2007 | $45,000,000 |
GLG Partners, L.P. | | | investor protection violation | 2007 | $3,203,639 |
International Business Machines | IBM Corp. | information technology | accounting fraud or deficiencies | 2007 | $7,000,000 |
Camden Consulting, Inc. and SKS Consulting, Inc. | | | investor protection violation | 2007 | $3,925,000 |
Brocade Communications Systems, Inc. | Broadcom | electrical and electronic equipment | accounting fraud or deficiencies | 2007 | $7,000,000 |
Mercury Interactive, LLC | | | accounting fraud or deficiencies | 2007 | $28,000,000 |
Barclays Bank PLC | Barclays | financial services | insider trading | 2007 | $10,943,561 |
The BISYS Group | Citigroup | financial services | accounting fraud or deficiencies | 2007 | $25,000,000 |
Morgan Stanley & Co. Incorporated | Morgan Stanley | financial services | investor protection violation | 2007 | $7,957,200 |
Motorola Inc. | Motorola Solutions | telecommunications | accounting fraud or deficiencies | 2007 | $25,000,000 |
Zurich Capital Markets Inc. | Zurich Insurance | financial services | investor protection violation | 2007 | $16,800,000 |
A.G. Edwards & Sons, Inc. | Wells Fargo | financial services | investor protection violation | 2007 | $3,860,000 |
Blue Bottle Limited | | | investor protection violation | 2007 | $10,846,785 |
Baker Hughes Incorporated | Baker Hughes | oilfield services and supplies | Foreign Corrupt Practices Act | 2007 | $33,000,000 |
Tenet Healthcare Corporation | Tenet Healthcare | healthcare services | investor protection violation | 2007 | $10,000,000 |
Nicor, Inc. | Southern Company | utilities and power generation | accounting fraud or deficiencies | 2007 | $10,000,000 |
Banc of America Securities LLC | Bank of America | financial services | fraud | 2007 | $26,000,000 |
Goldman Sachs Execution and Clearing L.P. | Goldman Sachs | financial services | investor protection violation | 2007 | $2,000,000 |
Ashlin Capital, LLC and Kyoto Capital Group, LLC | | | investor protection violation | 2007 | $455,700 |
Crestview Capital Partners | | | investor protection violation | 2007 | $394,640 |
GetAnswers, Inc. | | | investor protection violation | 2007 | $15,713,676 |
Dow Chemical Company | Dow Inc. | chemicals | Foreign Corrupt Practices Act | 2007 | $325,000 |
El Paso Corporation | Kinder Morgan | pipelines | Foreign Corrupt Practices Act | 2007 | $7,700,000 |
RenaissanceRe Holdings Ltd. | RenaissanceRe Holdings | financial services | accounting fraud or deficiencies | 2007 | $15,000,000 |
MBIA Inc. | MBIA | financial services | accounting fraud or deficiencies | 2007 | $50,000,000 |
Fred Alger Management, Inc. | Alger Associates | financial services | investor protection violation | 2007 | $40,000,000 |
20th Century Jackson Equities, Inc. | | | investor protection violation | 2007 | $470,269 |
Morgan Stanley & Co. Incorporated | Morgan Stanley | financial services | investor protection violation | 2007 | $17,000,000 |
Park Financial Group, Inc. | | | investor protection violation | 2007 | $30,373 |
Founding Partners Capital Management Compan | | | investor protection violation | 2007 | $182,244 |
Morgan Stanley & Co. Incorporated | Morgan Stanley | financial services | investor protection violation | 2007 | $7,500,000 |
Consulting Services Group, LLC | | | investor protection violation | 2007 | $20,000 |
MCL Financial Group, Inc. | | | investor protection violation | 2007 | $60,000 |
Smith Barney Fund Management LLC | Morgan Stanley | financial services | investor protection violation | 2007 | $450,000 |
Putnam Investment Management, LLC | Franklin Resources | financial services | investor protection violation | 2007 | $350,000 |
AllianceBernstein, L.P. | Equitable Holdings | financial services | investor protection violation | 2007 | $450,000 |
Intervoice | | | investor protection violation | 2007 | $942,628 |
D.M. Keck & Company, Inc. | | | investor protection violation | 2007 | $15,000 |
Financial Design Associates, Inc. | | | investor protection violation | 2007 | $300,000 |
Folger Nolan Fleming Douglas Capital Management, Inc. | | | investor protection violation | 2007 | $244,921 |
Haidar Capital Management, LLC | | | investor protection violation | 2007 | $4,580,000 |
GLG Partners, LP | | | investor protection violation | 2007 | $2,703,635 |
John Hancock Investment Management Services, LLC | Manulife Financial | financial services | investor protection violation | 2007 | $19,787,879 |
Amaranth Advisors L.L.C. | | | investor protection violation | 2007 | $716,819 |
Citigroup Global Markets, Inc. | Citigroup | financial services | investor protection violation | 2007 | $200,000 |
Tier One, Inc. | | | investor protection violation | 2007 | $85,500 |
Ernst & Young LLP | Ernst & Young | business services | investor protection violation | 2007 | $1,587,170 |
Imperium Advisors, LLC | | | investor protection violation | 2007 | $119,964 |
Temple Securities, Ltd. | | | investor protection violation | 2007 | $268,346 |
Vertical Capital Partners, Inc. | | | investor protection violation | 2007 | $490,432 |
Pacific Growth Equities, LLC | | | investor protection violation | 2007 | $425,000 |
Kelmoore Investment Company, Inc. | | | investor protection violation | 2007 | $100,000 |
Deutsche Bank Trust Company Americas | Deutsche Bank | financial services | investor protection violation | 2007 | $750,000 |
The Bank Of New York | Bank of New York Mellon | financial services | investor protection violation | 2007 | $750,000 |
Wilmington Trust Company | M&T Bank | financial services | investor protection violation | 2007 | $100,000 |
Friedman, Billings, Ramsey & Co., Inc. | Arlington Asset Investment Corp. | financial services | insider trading | 2006 | $3,755,839 |
Jefferies & Co., Inc. | Jefferies Financial Group | diversified | kickbacks and bribery | 2006 | $4,200,000 |
1st Global Capital Corp. | | | investor protection violation | 2006 | $100,000 |
Focus Financial Associates, Inc. and Focus Development Center, Inc. | | | fraud | 2006 | $6,272,264 |
Hartford Financial Services Group, Inc. | Hartford Financial Services | financial services | investor protection violation | 2006 | $55,000,000 |
U.S. Wind Farming, Inc. | | | investor protection violation | 2006 | $38,487 |
U.S. Gas & Electric, Inc. | | | investor protection violation | 2006 | $167,000 |
Graycort Financial, LLC | | | investor protection violation | 2006 | $100,000 |
BISYS Fund Services, Inc. | | | investor protection violation | 2006 | $21,400,000 |
Doral Financial Corporation | | | accounting fraud or deficiencies | 2006 | $25,000,000 |
American-Amicable Life Insurance Company of Texas, Pioneer American Insurance Company, and Pioneer Security Life Insurance Company | | | investor protection violation | 2006 | $10,000,000 |
Endocare, Inc. | | | accounting fraud or deficiencies | 2006 | $750,000 |
Raytheon Company | RTX Corporation | aerospace and military contracting | accounting fraud or deficiencies | 2006 | $12,000,000 |
Morgan Stanley & Co. | Morgan Stanley | financial services | investor protection violation | 2006 | $10,000,000 |
Scientific-Atlanta, Inc. | Cisco Systems | electrical and electronic equipment | accounting fraud or deficiencies | 2006 | $20,000,000 |
A.G. Edwards & Sons, Inc. | Wells Fargo | financial services | investor protection violation | 2006 | $125,000 |
Banc of America Securities LLC | Bank of America | financial services | investor protection violation | 2006 | $750,000 |
Bear, Stearns & Co., Inc. | JPMorgan Chase | financial services | investor protection violation | 2006 | $1,500,000 |
Citigroup Global Markets, Inc. | Citigroup | financial services | investor protection violation | 2006 | $1,500,000 |
Goldman Sachs & Co. | Goldman Sachs | 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 |
Lehman Brothers Inc. | | | investor protection violation | 2006 | $1,500,000 |
Merrill Lynch, Pierce, Fenner & Smith Incorporated | Bank of America | financial services | investor protection violation | 2006 | $1,500,000 |
Morgan Keegan & Company, Inc. | Raymond James Financial | financial services | investor protection violation | 2006 | $125,000 |
Morgan Stanley & Co. Incorporated/ Morgan Stanley DW Inc. | Morgan Stanley | financial services | investor protection violation | 2006 | $1,500,000 |
Piper Jaffray & Co. | Piper Sandler | financial services | investor protection violation | 2006 | $125,000 |