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 |
BorgWarner Inc. | BorgWarner | automotive parts | accounting fraud or deficiencies | 2020 | $950,000 |
Gentex Corporation | Gentex | automotive parts | investor protection violation | 2023 | $4,000,000 |
Ralph Lauren Corporation | Ralph Lauren Corp. | apparel | Foreign Corrupt Practices Act | 2013 | $734,846 |
Iconix Brand Group Inc. | Iconix Brand Group | apparel | accounting fraud or deficiencies | 2019 | $5,500,000 |
Under Armour Inc. | Under Armour | apparel | investor protection violation | 2021 | $9,000,000 |
Skechers U.S.A. Inc. | Skechers USA Inc. | apparel | investor protection violation | 2024 | $1,250,000 |
LAN Airlines | LATAM Airlines Group | airlines | Foreign Corrupt Practices Act | 2016 | $9,400,000 |
United Airlines | United Airlines Holdings | airlines | accounting fraud or deficiencies | 2016 | $2,400,000 |
Archer-Daniels-Midland Company | Archer Daniels Midland | agribusiness | Foreign Corrupt Practices Act | 2013 | $36,000,000 |
AGCO Corporation | AGCO Corp. | agribusiness | Foreign Corrupt Practices Act | 2009 | $18,300,000 |
Precigen, Inc. | Precigen | agribusiness | investor protection violation | 2020 | $2,500,000 |
Armor Holdings Inc. | BAE Systems | aerospace and military contracting | Foreign Corrupt Practices Act | 2011 | $5,700,000 |
Textron Inc. | Textron | aerospace and military contracting | Foreign Corrupt Practices Act | 2007 | $3,535,040 |
Raytheon Company | RTX Corporation | aerospace and military contracting | accounting fraud or deficiencies | 2006 | $12,000,000 |
The Titan Corporation | L3Harris Technologies | aerospace and military contracting | Foreign Corrupt Practices Act | 2005 | $15,500,000 |
Embraer S.A. | Embraer | aerospace and military contracting | Foreign Corrupt Practices Act | 2016 | $98,000,000 |
L3 Technologies Inc. | L3Harris Technologies | aerospace and military contracting | accounting fraud or deficiencies | 2017 | $1,600,000 |
United Technologies Corporation | RTX Corporation | aerospace and military contracting | Foreign Corrupt Practices Act | 2018 | $13,900,000 |
Boeing Company | Boeing | aerospace and military contracting | investor protection violation | 2022 | $200,000,000 |
Nordion Inc. | | | Foreign Corrupt Practices Act | 2016 | $375,000 |
PBSJ Corporation | | | Foreign Corrupt Practices Act | 2015 | $3,400,000 |
Layne Christensen Company | | | Foreign Corrupt Practices Act | 2014 | $5,100,000 |
Comverse Technology Inc. | | | Foreign Corrupt Practices Act | 2011 | $1,600,000 |
Veraz Networks Inc. | | | Foreign Corrupt Practices Act | 2010 | $300,000 |
Luca International Group, LLC | | | investor protection violation | 2016 | $68,300,000 |
JNL Oilfield Instruments, LLC | | | accounting fraud or deficiencies | 2016 | $160,000 |
Phoenix Companies | | | accounting fraud or deficiencies | 2016 | $600,000 |
StratoComm Corporation | | | accounting fraud or deficiencies | 2016 | $5,068,709 |
Icon Capital | | | accounting fraud or deficiencies | 2016 | $750,000 |
IEC Electronics Corp. | | | accounting fraud or deficiencies | 2016 | $200,000 |
Ethiopian Electric Power | | | investor protection violation | 2016 | $6,448,854 |
Albert Fried & Company | | | anti-money-laundering deficiencies | 2016 | $300,000 |
First Mortgage Corporation | | | investor protection violation | 2016 | $12,700,000 |
Burrill Capital Management | | | accounting fraud or deficiencies | 2016 | $4,785,000 |
Uni-Pixel Inc. | | | investor protection violation | 2016 | $750,000 |
Westlands Water District | | | investor protection violation | 2016 | $125,000 |
Marrone Bio Innovations | | | accounting fraud or deficiencies | 2016 | $1,750,000 |
E.S. Financial Services | | | anti-money-laundering deficiencies | 2016 | $1,000,000 |
eAdGear Inc. | | | accounting fraud or deficiencies | 2016 | $22,640,000 |
Miller Energy Resources | | | accounting fraud or deficiencies | 2016 | $5,000,000 |
Marwood Group Research LLC | | | investor protection violation | 2015 | $375,000 |
Sands Brothers Asset Management LLC | | | investor protection violation | 2015 | $1,000,000 |
Fenway Partners LLC | | | investor protection violation | 2015 | $8,716,471 |
Summit Trust Company | | | accounting fraud or deficiencies | 2015 | $18,900,000 |
DBRS Inc. | | | investor protection violation | 2015 | $5,814,482 |
Premiere Power LLC | | | investor protection violation | 2015 | $2,587,523 |
Auriga Global Investors, Sociedad de Valores, S.A. | | | investor protection violation | 2015 | $618,401 |
Harvest Capital Strategies LLC | | | investor protection violation | 2015 | $84,454 |
Sabby Management LLC | | | investor protection violation | 2015 | $278,747 |
War Chest Capital Partners LLC | | | investor protection violation | 2015 | $351,818 |
Wolverine Trading LLC and Wolverine Asset Management LLC | | | investor protection violation | 2015 | $1,153,303 |
Briargate Trading LLP | | | investor protection violation | 2015 | $912,842 |
Home Loan Servicing Solutions Ltd. | | | accounting fraud or deficiencies | 2015 | $1,500,000 |
Spencer Pharmaceutical Inc. | | | investor protection violation | 2015 | $1,000,000 |
Focus Media Holding Limited | | | investor protection violation | 2015 | $55,600,000 |
Trinity Capital Corporation | | | accounting fraud or deficiencies | 2015 | $1,500,000 |
Idle Media Inc. | | | accounting fraud or deficiencies | 2015 | $50,000 |
Stein Mart Inc. | | | accounting fraud or deficiencies | 2015 | $800,000 |
First Eagle Investment Management and FEF Distributors | | | investor protection violation | 2015 | $39,748,260 |
8000 Inc. | | | investor protection violation | 2015 | $6,500,000 |
MusclePharm Corporation | | | accounting fraud or deficiencies | 2015 | $700,000 |
Summit Asset Strategies | | | accounting fraud or deficiencies | 2015 | $1,143,933 |
Taberna Capital Management | | | investor protection violation | 2015 | $21,500,000 |
EnviraTrends, Inc. | | | investor protection violation | 2015 | $150,000 |
Colonial Tidewater Realty Income Partners | | | investor protection violation | 2015 | $1,319,386 |
ITG Inc. | | | investor protection violation | 2015 | $20,300,000 |
ABS Manager | | | investor protection violation | 2015 | $1,087,648 |
Vero Capital Management LLC | | | accounting fraud or deficiencies | 2015 | $3,068,706 |
AlphaBridge Capital Management | | | accounting fraud or deficiencies | 2015 | $5,000,000 |
The Baker Group, LP | | | investor protection violation | 2015 | $250,000 |
B.C. Ziegler and Company | | | investor protection violation | 2015 | $250,000 |
Benchmark Securities, LLC | | | investor protection violation | 2015 | $100,000 |
Bernardi Securities, Inc. | | | investor protection violation | 2015 | $100,000 |
BOSC, Inc. | | | investor protection violation | 2015 | $250,000 |
Central States Capital Markets, LLC | | | investor protection violation | 2015 | $60,000 |
City Securities Corporation | | | investor protection violation | 2015 | $250,000 |
Davenport & Company LLC | | | investor protection violation | 2015 | $80,000 |
Dougherty & Co. LLC | | | investor protection violation | 2015 | $250,000 |
First National Capital Markets, Inc. | | | investor protection violation | 2015 | $100,000 |
George K. Baum & Company | | | investor protection violation | 2015 | $250,000 |
L.J. Hart and Company | | | investor protection violation | 2015 | $100,000 |
Loop Capital Markets, LLC | | | investor protection violation | 2015 | $60,000 |
Martin Nelson & Co., Inc. | | | investor protection violation | 2015 | $100,000 |
Merchant Capital, L.L.C. | | | investor protection violation | 2015 | $100,000 |
Robert W. Baird & Co. Incorporated | | | investor protection violation | 2015 | $500,000 |
Siebert Brandford Shank & Co., LLC | | | investor protection violation | 2015 | $240,000 |
Smith Hayes Financial Services Corporation | | | investor protection violation | 2015 | $40,000 |
Stephens Inc. | | | investor protection violation | 2015 | $400,000 |
Sterne, Agee & Leach, Inc. | | | investor protection violation | 2015 | $80,000 |
Wells Nelson & Associates, LLC | | | investor protection violation | 2015 | $100,000 |
William Blair & Co., L.L.C. | | | investor protection violation | 2015 | $80,000 |
Sand Hill Exchange | | | investor protection violation | 2015 | $20,000 |
Wwebnet Inc. | | | accounting fraud or deficiencies | 2015 | $15,459,127 |
China Valves Technology Inc. | | | investor protection violation | 2015 | $575,000 |
BioChemics Inc. | | | investor protection violation | 2015 | $17,897,887 |
H.D. Vest Investment Securities | | | investor protection violation | 2015 | $225,000 |
GLR Advisers LLC | | | accounting fraud or deficiencies | 2015 | $2,772,475 |
VCAP Securities | | | investor protection violation | 2015 | $1,477,332 |
F-Squared Investments | | | investor protection violation | 2014 | $35,000,000 |