Stericycle, Inc. | Stericycle | waste management and environmental services | Foreign Corrupt Practices Act | 2022 | $28,200,000 |
Fiat S.p.A. | Stellantis | motor vehicles | Foreign Corrupt Practices Act | 2008 | $10,809,142 |
Fiat Chrysler Automobiles N.V. | Stellantis | motor vehicles | accounting fraud or deficiencies | 2019 | $40,000,000 |
Fiat Chrysler Automobiles N.V. | Stellantis | motor vehicles | investor protection violation | 2020 | $9,500,000 |
ModusLink Global Solutions Inc. | Steel Connect Inc. | freight and logistics | accounting fraud or deficiencies | 2016 | $1,600,000 |
State Street Bank and Trust Company | State Street Corp. | financial services | investor protection violation | 2016 | $382,400,000 |
State Street Bank and Trust Company | State Street Corp. | financial services | illicit political contributions | 2016 | $12,000,000 |
State Street Bank and Trust Company | State Street Corp. | financial services | investor protection violation | 2010 | $313,300,000 |
State Street Bank and Trust Company | State Street Corp. | financial services | investor protection violation | 2017 | $35,300,000 |
State Street Bank and Trust Company | State Street Corp. | financial services | investor protection violation | 2019 | $88,780,000 |
St. Joe Company | St. Joe Company | real estate | accounting fraud or deficiencies | 2015 | $2,750,000 |
Nicor, Inc. | Southern Company | utilities and power generation | accounting fraud or deficiencies | 2007 | $10,000,000 |
SG Americas Securities LLC | Societe Generale | financial services | investor protection violation | 2015 | $1,011,093 |
SG Americas Securities, LLC | Societe Generale | financial services | investor protection violation | 2009 | $8,384,932 |
SG Americas Securities LLC (Societe Generale) | Societe Generale | financial services | investor protection violation | 2018 | $800,000 |
SG Americas Securities LLC | Societe Generale | financial services | investor protection violation | 2020 | $1,550,000 |
SG Americas Securities, LLC | Societe Generale | financial services | investor protection violation | 2023 | $35,000,000 |
Smith & Wesson Holding Corporation | Smith & Wesson | miscellaneous manufacturing | Foreign Corrupt Practices Act | 2014 | $2,000,000 |
Smith & Nephew PLC | Smith & Nephew | medical equipment and supplies | Foreign Corrupt Practices Act | 2012 | $5,400,000 |
Osiris Therapeutics | Smith & Nephew | medical equipment and supplies | accounting fraud or deficiencies | 2017 | $1,500,000 |
Skechers U.S.A. Inc. | Skechers USA Inc. | apparel | investor protection violation | 2024 | $1,250,000 |
Siemens AG | Siemens | diversified | Foreign Corrupt Practices Act | 2008 | $350,000,000 |
Royal Dutch Shell | Shell PLC | oil and gas | Foreign Corrupt Practices Act | 2010 | $18,149,459 |
Royal Dutch Petroleum Company | Shell PLC | oil and gas | accounting fraud or deficiencies | 2004 | $120,000,000 |
Galena Biopharma, Inc. | SELLAS Life Sciences Group | pharmaceuticals | accounting fraud or deficiencies | 2017 | $200,000 |
SeaWorld Entertainment Inc. | SeaWorld Entertainment | entertainment | investor protection violation | 2018 | $4,000,000 |
OZ Management LP | Sculptor Capital Management | financial services | data submission deficiencies | 2015 | $4,250,000 |
Och-Ziff Capital Management Group | Sculptor Capital Management | financial services | Foreign Corrupt Practices Act | 2016 | $199,045,167 |
Scotia Capital (USA) Inc. | Scotiabank | financial services | investor protection violation | 2023 | $7,500,000 |
SciClone Pharmaceuticals | SciClone Pharmaceuticals | pharmaceuticals | Foreign Corrupt Practices Act | 2016 | $12,000,000 |
Schnitzer Steel Industries | Schnitzer Steel Industries | metals | Foreign Corrupt Practices Act | 2006 | $7,725,201 |
NATCO Group Inc. | Schlumberger | oilfield services and supplies | Foreign Corrupt Practices Act | 2010 | $65,000 |
SAP SE | SAP | information technology | Foreign Corrupt Practices Act | 2016 | $3,700,000 |
SAP SE | SAP | information technology | Foreign Corrupt Practices Act | 2024 | $98,400,000 |
Sanofi | Sanofi | pharmaceuticals | Foreign Corrupt Practices Act | 2018 | $25,200,000 |
SandRidge Energy, Inc. | SandRidge Energy | oil and gas | investor protection violation | 2016 | $1,400,000 |
Standard & Poor's Ratings Services | S&P Global | information technology | toxic securities abuses | 2015 | $58,000,000 |
S&P Dow Jones Indices LLC | S&P Global | information technology | investor protection violation | 2021 | $9,000,000 |
S&P Global Ratings | S&P Global | information technology | investor protection violation | 2022 | $2,500,000 |
Raytheon Company | RTX Corporation | aerospace and military contracting | accounting fraud or deficiencies | 2006 | $12,000,000 |
United Technologies Corporation | RTX Corporation | aerospace and military contracting | Foreign Corrupt Practices Act | 2018 | $13,900,000 |
RPM International Inc. | RPM International | chemicals | accounting fraud or deficiencies | 2020 | $2,022,500 |
Philips Electronics | Royal Philips | diversified | Foreign Corrupt Practices Act | 2013 | $4,515,178 |
Philips N.V. | Royal Philips | diversified | Foreign Corrupt Practices Act | 2023 | $62,000,000 |
RBC Capital Markets LLC | Royal Bank of Canada | financial services | investor protection violation | 2011 | $30,400,000 |
RBC Capital Markets, LLC | Royal Bank of Canada | financial services | investor protection violation | 2015 | $500,000 |
RBC Dain Rauscher Inc | Royal Bank of Canada | financial services | investor protection violation | 2006 | $1,500,000 |
Dain Rauscher Incorporated | Royal Bank of Canada | financial services | investor protection violation | 2000 | $12,941,191 |
RBC Capital Markets LLC | Royal Bank of Canada | financial services | investor protection violation | 2016 | $2,500,000 |
RBC Capital Markets Corporation | Royal Bank of Canada | financial services | investor protection violation | 2009 | $125,000 |
Ferris, Baker Watts, Inc. | Royal Bank of Canada | financial services | investor protection violation | 2009 | $800,656 |
RBC Dain Rauscher Incorporated | Royal Bank of Canada | financial services | investor protection violation | 2002 | $500,000 |
RBC Capital Markets, LLC | Royal Bank of Canada | financial services | investor protection violation | 2019 | $11,715,395 |
RBC Capital Markets LLC | Royal Bank of Canada | financial services | investor protection violation | 2020 | $3,889,007 |
RBC Capital Markets LLC | Royal Bank of Canada | financial services | investor protection violation | 2021 | $863,326 |
Royal Bank of Canada | Royal Bank of Canada | financial services | accounting fraud or deficiencies | 2023 | $6,000,000 |
Rollins Inc. | Rollins Inc. | miscellaneous services | accounting fraud or deficiencies | 2022 | $8,000,000 |
Rockwell Automation Inc. | Rockwell Automation | industrial equipment | Foreign Corrupt Practices Act | 2011 | $2,761,091 |
Robinhood Financial LLC | Robinhood Markets | financial services | investor protection violation | 2020 | $65,000,000 |
Roadrunner Transportation Systems, Inc | Roadrunner Transportation Systems | freight and logistics | investor protection violation | 2023 | $9,635,911 |
Rio Tinto plc | Rio Tinto | mining and minerals | Foreign Corrupt Practices Act | 2023 | $15,000,000 |
Rio Tinto PLC | Rio Tinto | mining and minerals | investor protection violation | 2023 | $28,000,000 |
Ribbon Communications Inc. (fka Sonus Networks) | Ribbon Communications | telecommunications | investor protection violation | 2018 | $1,900,000 |
Royal Alliance Associates, SagePoint Financial and FSC Securities Corporation | Reverence Capital Partners | private equity (including portfolio companies) | investor protection violation | 2016 | $9,500,000 |
KMS Financial Services, Inc. | Reverence Capital Partners | private equity (including portfolio companies) | investor protection violation | 2017 | $552,086 |
Ladenburg Thalmann Asset Management Inc. | Reverence Capital Partners | private equity (including portfolio companies) | investor protection violation | 2016 | $200,000 |
Securities America Advisors Inc. | Reverence Capital Partners | private equity (including portfolio companies) | investor protection violation | 2018 | $5,828,448 |
Royal Alliance Associates, Inc. | Reverence Capital Partners | private equity (including portfolio companies) | investor protection violation | 2009 | $500,001 |
Woodbury Financial Services, Inc. | Reverence Capital Partners | private equity (including portfolio companies) | investor protection violation | 2009 | $65,000 |
Woodbury Financial Services, Inc. | Reverence Capital Partners | private equity (including portfolio companies) | investor protection violation | 2019 | $1,171,028 |
Royal Alliance Associates, Inc. | Reverence Capital Partners | private equity (including portfolio companies) | investor protection violation | 2020 | $502,400 |
Securities America Advisors, Inc. | Reverence Capital Partners | private equity (including portfolio companies) | investor protection violation | 2020 | $603,776 |
KMS Financial Services Inc. | Reverence Capital Partners | private equity (including portfolio companies) | investor protection violation | 2021 | $200,000 |
KMS Financial Services, Inc. | Reverence Capital Partners | private equity (including portfolio companies) | investor protection violation | 2021 | $200,000 |
Securities America Advisors, Inc. | Reverence Capital Partners | private equity (including portfolio companies) | investor protection violation | 2021 | $1,750,000 |
Woodbury Financial Services, Inc. | Reverence Capital Partners | private equity (including portfolio companies) | investor protection violation | 2023 | $100,000 |
SagePoint Financial, Inc. | Reverence Capital Partners | private equity (including portfolio companies) | investor protection violation | 2023 | $100,000 |
RenaissanceRe Holdings Ltd. | RenaissanceRe Holdings | financial services | accounting fraud or deficiencies | 2007 | $15,000,000 |
Regions Bank | Regions Financial | financial services | investor protection violation | 2010 | $1,000,001 |
Regions Bank | Regions Financial | financial services | investor protection violation | 2009 | $1,000,000 |
AmSouth Bank | Regions Financial | financial services | investor protection violation | 2008 | $11,400,000 |
Bankrate Inc. | Red Ventures | business services | accounting fraud or deficiencies | 2015 | $15,000,000 |
Mead Johnson Nutrition Company | Reckitt Benckiser | household and personal care products | Foreign Corrupt Practices Act | 2015 | $12,000,000 |
Vereit, Inc. | Realty Income | real estate | investor protection violation | 2020 | $8,000,000 |
Morgan Keegan & Company | Raymond James Financial | financial services | toxic securities abuses | 2011 | $200,000,000 |
Raymond James & Associates, Inc. | Raymond James Financial | financial services | investor protection violation | 2015 | $500,000 |
Morgan Keegan & Company, Inc. | Raymond James Financial | financial services | investor protection violation | 2006 | $125,000 |
Morgan Keegan & Co., Inc. | Raymond James Financial | financial services | investor protection violation | 2004 | $875,000 |
Raymond James Financial Services, Inc. | Raymond James Financial | financial services | investor protection violation | 2004 | $2,595,129 |
Raymond James & Associates | Raymond James Financial | financial services | investor protection violation | 2016 | $600,000 |
Morgan Keegan & Co., Inc. | Raymond James Financial | financial services | investor protection violation | 2006 | $558,806 |
Raymond James Financial Services Advisors, Inc. | Raymond James Financial | financial services | investor protection violation | 2019 | $6,877,048 |
Raymond James & Associates, Inc. et al. | Raymond James Financial | financial services | investor protection violation | 2019 | $15,000,000 |
Raymond James & Associates, Inc. | Raymond James Financial | financial services | investor protection violation | 2022 | $500,000 |
Monster Worldwide, Inc. | Randstad | business services | accounting fraud or deficiencies | 2009 | $2,500,000 |
Ralph Lauren Corporation | Ralph Lauren Corp. | apparel | Foreign Corrupt Practices Act | 2013 | $734,846 |
Quantum Corporation | Quantum Corp. | electrical and electronic equipment | investor protection violation | 2019 | $1,000,000 |
Qualcomm Inc. | Qualcomm | miscellaneous manufacturing | Foreign Corrupt Practices Act | 2016 | $7,500,000 |
Quad/Graphics Inc. | Quad/Graphics | miscellaneous services | Foreign Corrupt Practices Act | 2019 | $9,895,334 |
Alliance One International Inc. | Pyxus International | tobacco | Foreign Corrupt Practices Act | 2010 | $10,000,000 |
PTC Inc. | PTC Inc. | information technology | Foreign Corrupt Practices Act | 2016 | $13,622,000 |