Southwest Securities, Inc. | Hilltop Holdings | financial services | investor protection violation | 2005 | $10,000,000 |
Hilltop Securities Inc. | Hilltop Holdings | financial services | investor protection violation | 2016 | $360,000 |
Southwest Securities, Inc. | Hilltop Holdings | financial services | investor protection violation | 2010 | $470,147 |
Hilltop Securities Inc. and Hilltop Securities Independent Network Inc. | Hilltop Holdings | financial services | investor protection violation | 2019 | $810,785 |
Hilltop Securities Inc. | Hilltop Holdings | financial services | investor protection violation | 2021 | $340,193 |
Hertz Global Holdings, Inc. | Hertz | miscellaneous services | investor protection violation | 2018 | $16,000,000 |
Herbalife Nutrition Ltd. | Herbalife | food products | accounting fraud or deficiencies | 2019 | $20,000,000 |
Herbalife Nutrition Ltd. | Herbalife | food products | Foreign Corrupt Practices Act | 2020 | $67,000,000 |
Helmerich & Payne | Helmerich & Payne | oilfield services and supplies | Foreign Corrupt Practices Act | 2009 | $375,681 |
Healthcare Services Group, Inc. | Healthcare Services Group Inc. | business services | accounting fraud or deficiencies | 2021 | $6,000,000 |
Hartford Financial Services Group, Inc. | Hartford Financial Services | financial services | investor protection violation | 2006 | $55,000,000 |
Halliburton Co. | Halliburton | oilfield services and supplies | accounting fraud or deficiencies | 2004 | $7,500,000 |
Halliburton Company | Halliburton | oilfield services and supplies | Foreign Corrupt Practices Act | 2017 | $29,200,000 |
Guggenheim Partners Investment Management LLC | Guggenheim Partners | financial services | investor protection violation | 2015 | $20,000,000 |
Greenbrier Companies Inc. | Greenbrier Companies | heavy equipment | investor protection violation | 2023 | $1,000,000 |
Great Lakes Dredge & Dock Corporation | Great Lakes Dredge & Dock Corporation | miscellaneous services | accounting fraud or deficiencies | 2014 | $150,000 |
Grant Thornton LLP | Grant Thornton | business services | accounting fraud or deficiencies | 2015 | $4,500,000 |
Grant Thornton India LLP and Grant Thornton Audit Pty Limited | Grant Thornton | business services | accounting fraud or deficiencies | 2015 | $365,085 |
Grant Thornton LLP | Grant Thornton | business services | accounting fraud or deficiencies | 2004 | $1,500,000 |
Granite Construction, Incorporated | Granite Construction | construction and engineering | accounting fraud or deficiencies | 2022 | $12,000,000 |
Goodyear Tire & Rubber Co. | Goodyear Tire & Rubber | automotive parts | Foreign Corrupt Practices Act | 2015 | $16,000,000 |
Goldman Sachs & Co. | Goldman Sachs | financial services | investor protection violation | 2016 | $15,000,000 |
Goldman Sachs & Co. | Goldman Sachs | financial services | investor protection violation | 2015 | $7,000,000 |
Goldman Sachs & Co. | Goldman Sachs | financial services | illicit political contributions | 2012 | $12,000,000 |
Goldman Sachs & Co. | Goldman Sachs | financial services | investor protection violation | 2012 | $22,000,000 |
Goldman Sachs & Co. | Goldman Sachs | financial services | toxic securities abuses | 2010 | $550,000,000 |
Goldman, Sachs & Co. | Goldman Sachs | financial services | investor protection violation | 2015 | $500,000 |
Goldman Sachs Execution and Clearing L.P. | Goldman Sachs | financial services | investor protection violation | 2007 | $2,000,000 |
Goldman Sachs & Co. | Goldman Sachs | financial services | investor protection violation | 2006 | $1,500,000 |
Goldman, Sachs & Co. | Goldman Sachs | financial services | investor protection violation | 2005 | $40,000,000 |
Spear, Leeds & Kellogg Specialists LLC | Goldman Sachs | financial services | investor protection violation | 2004 | $45,272,478 |
Goldman Sachs | Goldman Sachs | financial services | investor protection violation | 2003 | $9,305,382 |
Goldman, Sachs & Co. | Goldman Sachs | financial services | investor protection violation | 2003 | $110,000,000 |
Goldman, Sachs & Co. | Goldman Sachs | financial services | data submission deficiencies | 2002 | $1,650,000 |
Goldman, Sachs & Co. | Goldman Sachs | financial services | investor protection violation | 2000 | $5,200,000 |
Goldman Sachs Execution & Clearing, L.P. | Goldman Sachs | financial services | investor protection violation | 2010 | $225,000 |
Goldman Sachs Execution & Clearing, L.P. and SLK-Hull Derivatives LLC | Goldman Sachs | financial services | investor protection violation | 2009 | $7,200,000 |
Goldman Sachs & Co. | Goldman Sachs | financial services | investor protection violation | 2004 | $2,000,000 |
Spear, Leeds & Kellogg, L.P. | Goldman Sachs | financial services | investor protection violation | 2003 | $450,000 |
Goldman Sachs Group Inc. | Goldman Sachs | financial services | Foreign Corrupt Practices Act | 2020 | (*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $1,006,000,000 |
Goldman Sachs & Co. LLC | Goldman Sachs | financial services | investor protection violation | 2022 | $125,000,000 |
Goldman Sachs Asset Management, L.P. | Goldman Sachs | financial services | investor protection violation | 2022 | $4,000,000 |
Goldman Sachs & Co. LLC | Goldman Sachs | financial services | investor protection violation | 2023 | $6,000,000 |
Heartland Payment Systems, LLC | Global Payments Inc. | financial services | investor protection violation | 2018 | $2,160,000 |
GlaxoSmithKline plc | GlaxoSmithKline | pharmaceuticals | kickbacks and bribery | 2016 | $20,000,000 |
Gentex Corporation | Gentex | automotive parts | investor protection violation | 2023 | $4,000,000 |
Institutional Shareholder Services Inc. | Genstar Capital | private equity (including portfolio companies) | investor protection violation | 2013 | $300,000 |
General Motors | General Motors | motor vehicles | accounting fraud or deficiencies | 2017 | $1,000,000 |
General Electric | General Electric | diversified | Foreign Corrupt Practices Act | 2010 | $23,400,000 |
General Electric Company | General Electric | diversified | accounting fraud or deficiencies | 2009 | $50,000,000 |
General Electric Co. | General Electric | diversified | accounting fraud or deficiencies | 2020 | $200,000,000 |
Gartner, Inc. | Gartner | information technology | Foreign Corrupt Practices Act | 2023 | $2,456,764 |
Gabelli Funds, LLC | Gamco Investors Inc. | financial services | investor protection violation | 2009 | $450,000 |
Gabelli Funds LLC | Gamco Investors Inc. | financial services | investor protection violation | 2008 | $16,000,000 |
Fulton Financial Corporation | Fulton Financial | financial services | investor protection violation | 2020 | $1,500,000 |
Fresenius Medical Care AG & Co KGaA | Fresenius Medical Care | healthcare services | Foreign Corrupt Practices Act | 2019 | $147,000,000 |
Federal Home Loan Mortgage Corporation (Freddie Mac) | Freddie Mac (Federal Home Loan Mortgage Corporation) | financial services | investor protection violation | 2007 | $50,000,000 |
Western Asset Management Company | Franklin Resources | financial services | investor protection violation | 2014 | $19,400,000 |
Franklin Advisers, Inc. and Franklin Templeton Distributors, Inc. | Franklin Resources | financial services | investor protection violation | 2004 | $20,000,000 |
Franklin Advisers, Inc. | Franklin Resources | financial services | investor protection violation | 2004 | $50,000,000 |
Putnam Investment Management LLC | Franklin Resources | financial services | investor protection violation | 2004 | $55,000,000 |
Legg Mason Wood Walker, Inc. | Franklin Resources | financial services | investor protection violation | 2004 | $2,315,467 |
Legg Mason Inc. | Franklin Resources | financial services | Foreign Corrupt Practices Act | 2018 | $34,500,000 |
Putnam Investment Management, LLC | Franklin Resources | financial services | investor protection violation | 2018 | $1,000,000 |
Putnam Investment Management, LLC | Franklin Resources | financial services | investor protection violation | 2007 | $350,000 |
Legg Mason Wood Walker, Incorporated | Franklin Resources | financial services | investor protection violation | 2005 | $1,000,000 |
Putnam Investment Management, LLC | Franklin Resources | financial services | investor protection violation | 2005 | $40,000,001 |
Western Asset Management Co. | Franklin Resources | financial services | investor protection violation | 2001 | $50,000 |
Legg Mason Fund Adviser, Inc. | Franklin Resources | financial services | investor protection violation | 2001 | $50,000 |
Legg Mason Wood Walker, Incorporated | Franklin Resources | financial services | investor protection violation | 2001 | $50,000 |
Franklin Advisers and Inc. | Franklin Resources | financial services | investor protection violation | 2020 | $250,000 |
Franklin Templeton Investments Corp. | Franklin Resources | financial services | investor protection violation | 2020 | $75,000 |
VeriFone Holdings, Inc. | Francisco Partners | private equity (including portfolio companies) | accounting fraud or deficiencies | 2009 | $25,000 |
Ford Motor Credit Company | Ford Motor | motor vehicles | investor protection violation | 2005 | $700,000 |
Flutter Entertainment plc | Flutter Entertainment PLC | entertainment | Foreign Corrupt Practices Act | 2023 | $4,000,000 |
Fluor Corporation | Fluor | construction and engineering | accounting fraud or deficiencies | 2023 | $14,500,000 |
Flowserve Corporation | Flowserve | industrial equipment | Foreign Corrupt Practices Act | 2008 | $6,574,225 |
Flowserve Corporation | Flowserve | industrial equipment | investor protection violation | 2005 | $350,000 |
First BanCorp | First Bancorp (Puerto Rico) | financial services | accounting fraud or deficiencies | 2007 | $8,500,000 |
First Bancorp | First Bancorp (North Carolina) | financial services | accounting fraud or deficiencies | 2015 | $275,000 |
First American Financial Corporation | First American Financial | financial services | privacy violation | 2021 | $487,616 |
Fifth Third Bancorp | Fifth Third Bancorp | financial services | accounting fraud or deficiencies | 2013 | $6,500,000 |
Fifth Third Securities, Inc. | Fifth Third Bancorp | financial services | investor protection violation | 2015 | $20,000 |
Fifth Third Securities, Inc. | Fifth Third Bancorp | financial services | investor protection violation | 2023 | $709,971 |
Fifth Third Securities Inc. | Fifth Third Bancorp | financial services | investor protection violation | 2023 | $8,000,000 |
Fidelity Investments | Fidelity Investments | financial services | kickbacks and bribery | 2008 | $8,000,000 |
Fidelity Brokerage Services, LLC | Fidelity Investments | financial services | investor protection violation | 2004 | $1,000,000 |
Fiserv Securities, Inc. | Fidelity Investments | financial services | investor protection violation | 2005 | $15,000,000 |
Federated Investors, Inc. | Federated Hermes | financial services | investor protection violation | 2005 | $72,000,000 |
Faro Technologies, Inc. | Faro Technologies | information technology | Foreign Corrupt Practices Act | 2008 | $439,637 |
Federal National Mortgage Association (Fannie Mae) | Fannie Mae | financial services | accounting fraud or deficiencies | 2006 | $400,000,000 |
Exelon Corporation | Exelon | utilities and power generation | fraud | 2023 | $46,200,000 |
Ernst & Young LLP | Ernst & Young | business services | accounting fraud or deficiencies | 2014 | $4,070,000 |
Ernst & Young LLP | Ernst & Young | business services | accounting fraud or deficiencies | 2009 | $8,500,000 |
Ernst & Young | Ernst & Young | business services | accounting fraud or deficiencies | 2016 | $9,300,000 |
Ernst & Young LLP | Ernst & Young | business services | accounting fraud or deficiencies | 2016 | $11,800,000 |
Ernst & Young LLP | Ernst & Young | business services | investor protection violation | 2008 | $2,918,987 |
Ernst & Young LLP | Ernst & Young | business services | investor protection violation | 2007 | $1,587,170 |
Ernst & Young Hua Ming LLP | Ernst & Young | business services | accounting fraud or deficiencies | 2015 | $500,000 |
Ernst & Young LLP | Ernst & Young | business services | accounting fraud or deficiencies | 2021 | $10,000,000 |
Ernst & Young LLP | Ernst & Young | business services | investor protection violation | 2022 | $100,000,000 |