MML Investors Services, LLC | Massachusetts Mutual Life Insurance | financial services | investor protection violation | 2021 | $2,109,458 |
UBS Financial Services Inc. | UBS | financial services | investor protection violation | 2021 | $8,112,174 |
TIAA-CREF Individual & Institutional Services LLC | TIAA | financial services | accounting fraud or deficiencies | 2021 | $97,000,000 |
Hilltop Securities Inc. | Hilltop Holdings | financial services | investor protection violation | 2021 | $340,193 |
First American Financial Corporation | First American Financial | financial services | privacy violation | 2021 | $487,616 |
Wedbush Securities Inc. | Wedbush Securities | financial services | investor protection violation | 2021 | $1,207,000 |
WEX Inc. | WEX Inc. | financial services | investor protection violation | 2021 | $350,000 |
Credit Suisse Group AG | UBS | financial services | Foreign Corrupt Practices Act | 2021 | $99,000,000 |
LPL Financial LLC | LPL Financial | financial services | investor protection violation | 2021 | $891,202 |
J.P. Morgan Securities LLC | JPMorgan Chase | financial services | investor protection violation | 2021 | $125,000,000 |
Ameritas Advisory Services, LLC | Ameritas Mutual Holding Company | financial services | investor protection violation | 2022 | $4,628,194 |
Charles Schwab & Co., Inc. et al. | Charles Schwab Corp. | financial services | investor protection violation | 2022 | $187,000,000 |
BNY Mellon Investment Adviser, Inc. | Bank of New York Mellon | financial services | investor protection violation | 2022 | $1,500,000 |
Wells Fargo Advisors | Wells Fargo | financial services | anti-money-laundering deficiencies | 2022 | $7,000,000 |
First Republic Investment Management, Inc. | JPMorgan Chase | financial services | investor protection violation | 2022 | $1,825,953 |
Allianz Global Investors U.S. LLC | Allianz | financial services | investor protection violation | 2022 | (*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $1,024,200,000 |
UBS Financial Services Inc. | UBS | financial services | investor protection violation | 2022 | $25,000,000 |
BNY Mellon Capital Markets LLC | Bank of New York Mellon | financial services | investor protection violation | 2022 | $956,833 |
TD Securities (USA) LLC | Toronto-Dominion Bank | financial services | investor protection violation | 2022 | $152,955 |
Janus Henderson Investors US LLC | Janus Henderson | financial services | investor protection violation | 2022 | $150,000 |
J.P. Morgan Securities LLC | JPMorgan Chase | financial services | investor protection violation | 2022 | $1,200,000 |
UBS Financial Services Inc. | UBS | financial services | investor protection violation | 2022 | $925,000 |
Equitable Financial Life Insurance Company | Equitable Holdings | financial services | investor protection violation | 2022 | $50,000,000 |
Waddell & Reed, LLC | Macquarie | financial services | investor protection violation | 2022 | $200,000 |
Morgan Stanley Smith Barney LLC | Morgan Stanley | financial services | investor protection violation | 2022 | $35,000,000 |
Raymond James & Associates, Inc. | Raymond James Financial | financial services | investor protection violation | 2022 | $500,000 |
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 |
BofA Securities Inc. and Merrill Lynch, Pierce, Fenner & Smith Inc. | Bank of America | financial services | investor protection violation | 2022 | $125,000,000 |
Citigroup Global Markets Inc. | Citigroup | financial services | investor protection violation | 2022 | $125,000,000 |
Credit Suisse Securities (USA) LLC | UBS | financial services | investor protection violation | 2022 | $125,000,000 |
Deutsche Bank Securities Inc. | Deutsche Bank | financial services | investor protection violation | 2022 | $125,000,000 |
Goldman Sachs & Co. LLC | Goldman Sachs | financial services | investor protection violation | 2022 | $125,000,000 |
Morgan Stanley & Co. LLC | Morgan Stanley | financial services | investor protection violation | 2022 | $125,000,000 |
UBS Securities LLC and UBS Financial Services Inc. | UBS | financial services | investor protection violation | 2022 | $125,000,000 |
Nomura Securities International, Inc. | Nomura | financial services | investor protection violation | 2022 | $50,000,000 |
Cantor Fitzgerald & Co. | Cantor Fitzgerald | financial services | investor protection violation | 2022 | $10,000,000 |
Goldman Sachs Asset Management, L.P. | Goldman Sachs | financial services | investor protection violation | 2022 | $4,000,000 |
Danske Bank A/S | Danske Bank | financial services | anti-money-laundering deficiencies | 2022 | (*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $413,000,000 |
PNC Capital Markets LLC | PNC Financial Services | financial services | investor protection violation | 2022 | $198,323 |
KeyBanc Capital Markets Inc. | KeyCorp | financial services | investor protection violation | 2023 | $397,135 |
Merrill Lynch, Pierce, Fenner & Smith Incorporated | Bank of America | financial services | investor protection violation | 2023 | $9,660,000 |
Chatham Asset Management LLC | Chatham Asset Management | financial services | investor protection violation | 2023 | $18,800,000 |
HSBC Securities (USA) Inc. | HSBC | financial services | investor protection violation | 2023 | $15,000,000 |
Scotia Capital (USA) Inc. | Scotiabank | financial services | investor protection violation | 2023 | $7,500,000 |
Merrill Lynch, Pierce, Fenner & Smith Incorporated | Bank of America | financial services | anti-money-laundering deficiencies | 2023 | $6,000,000 |
Fifth Third Securities, Inc. | Fifth Third Bancorp | financial services | investor protection violation | 2023 | $709,971 |
Cantor Fitzgerald & Co. | Cantor Fitzgerald | financial services | investor protection violation | 2023 | $1,400,000 |
J.P. Morgan Securities LLC | JPMorgan Chase | financial services | investor protection violation | 2023 | $4,000,000 |
Wells Fargo Securities, LLC et al. | Wells Fargo | financial services | investor protection violation | 2023 | $125,000,000 |
BNP Paribas Securities Corp. | BNP Paribas | financial services | investor protection violation | 2023 | $35,000,000 |
SG Americas Securities, LLC | Societe Generale | financial services | investor protection violation | 2023 | $35,000,000 |
BMO Capital Markets Corp | Bank of Montreal | financial services | investor protection violation | 2023 | $25,000,000 |
Mizuho Securities USA LLC | Mizuho Financial | financial services | investor protection violation | 2023 | $25,000,000 |
Wedbush Securities Inc. | Wedbush Securities | financial services | investor protection violation | 2023 | $10,000,000 |
Citigroup Global Markets Inc. | Citigroup | financial services | investor protection violation | 2023 | $2,900,000 |
Wells Fargo Clearing Services LLC | Wells Fargo | financial services | investor protection violation | 2023 | $35,000,000 |
Wilmington Trust Investment Management, LLC | M&T Bank | financial services | investor protection violation | 2023 | $1,327,147 |
Interactive Brokers Corp. | Interactive Brokers Group | financial services | investor protection violation | 2023 | $35,000,000 |
Nuveen Securities LLC | TIAA | financial services | investor protection violation | 2023 | $8,500,000 |
Fifth Third Securities Inc. | Fifth Third Bancorp | financial services | investor protection violation | 2023 | $8,000,000 |
Citigroup Global Markets, Inc. | Citigroup | financial services | investor protection violation | 2023 | $1,975,000 |
DWS Investment Management Americas Inc. | Deutsche Bank | financial services | investor protection violation | 2023 | $25,000,000 |
Goldman Sachs & Co. LLC | Goldman Sachs | financial services | investor protection violation | 2023 | $6,000,000 |
Royal Bank of Canada | Royal Bank of Canada | financial services | accounting fraud or deficiencies | 2023 | $6,000,000 |
BlackRock Advisors, LLC | BlackRock | financial services | investor protection violation | 2023 | $2,500,000 |
J.P. Morgan Securities LLC | JPMorgan Chase | financial services | investor protection violation | 2024 | $18,000,000 |
Morgan Stanley & Co. LLC | Morgan Stanley | financial services | investor protection violation | 2024 | $83,000,000 |
Credit Suisse Securities (USA) LLC | UBS | financial services | investor protection violation | 2023 | $10,000,000 |
TIAA-CREF Individual & Institutional Services LLC | TIAA | financial services | investor protection violation | 2024 | $2,200,000 |
Northwestern Mutual Investment Services LLC | Northwestern Mutual | financial services | investor protection violation | 2024 | $16,500,000 |
Oppenheimer & Co. Inc. | Oppenheimer Holdings | financial services | investor protection violation | 2024 | $12,000,000 |
Lincoln Financial Advisors Corporation | Lincoln National | financial services | investor protection violation | 2024 | $8,500,000 |
U.S. Bancorp Investments Inc. | U.S. Bancorp | financial services | investor protection violation | 2024 | $8,000,000 |
Aon Investments USA Inc. | Aon | financial services | investor protection violation | 2024 | $1,542,187 |
Las Vegas Sands Corp. | Las Vegas Sands Corp. | entertainment | Foreign Corrupt Practices Act | 2016 | $9,000,000 |
Lions Gate Entertainment Corp. | Lions Gate Entertainment | entertainment | accounting fraud or deficiencies | 2014 | $7,500,000 |
Take-Two Interactive Software, Inc. | Take-Two Interactive Software Inc. | entertainment | accounting fraud or deficiencies | 2009 | $3,000,000 |
Take-Two Interactive Software, Inc. | Take-Two Interactive Software Inc. | entertainment | accounting fraud or deficiencies | 2005 | $7,500,000 |
SeaWorld Entertainment Inc. | SeaWorld Entertainment | entertainment | investor protection violation | 2018 | $4,000,000 |
Flutter Entertainment plc | Flutter Entertainment PLC | entertainment | Foreign Corrupt Practices Act | 2023 | $4,000,000 |
Hewlett-Packard | HP Inc. | electrical and electronic equipment | Foreign Corrupt Practices Act | 2014 | $31,500,000 |
Logitech International | Logitech International | electrical and electronic equipment | accounting fraud or deficiencies | 2016 | $7,500,000 |
Vitesse Semiconductor Corp. | Microchip Technology Inc. | electrical and electronic equipment | accounting fraud or deficiencies | 2010 | $3,000,000 |
Dell Inc. | Dell Technologies | electrical and electronic equipment | accounting fraud or deficiencies | 2010 | $100,000,000 |
Analog Devices, Inc. | Analog Devices Inc. | electrical and electronic equipment | accounting fraud or deficiencies | 2008 | $3,000,000 |
Marvell Technology Group, Ltd. | Marvell Technology | electrical and electronic equipment | accounting fraud or deficiencies | 2008 | $10,000,000 |
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 |
Scientific-Atlanta, Inc. | Cisco Systems | electrical and electronic equipment | accounting fraud or deficiencies | 2006 | $20,000,000 |
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 |
Symbol Technologies, Inc. | Zebra Technologies | electrical and electronic equipment | accounting fraud or deficiencies | 2004 | $37,000,000 |
General Cable Corporation | Prysmian Group | electrical and electronic equipment | Foreign Corrupt Practices Act | 2016 | $55,000,000 |
KMG Chemicals, Inc. | Entegris | electrical and electronic equipment | investor protection violation | 2014 | $150,000 |
Universal Electronics Inc. | Universal Electronics Inc. | electrical and electronic equipment | investor protection violation | 2014 | $75,000 |
Panasonic Corp. | Panasonic | electrical and electronic equipment | Foreign Corrupt Practices Act | 2018 | $143,000,000 |
Juniper Networks, Inc. | Juniper Networks | electrical and electronic equipment | Foreign Corrupt Practices Act | 2019 | $11,745,018 |
Marvell Technology Group, Ltd. | Marvell Technology | electrical and electronic equipment | accounting fraud or deficiencies | 2019 | $5,500,000 |
Quantum Corporation | Quantum Corp. | electrical and electronic equipment | investor protection violation | 2019 | $1,000,000 |
Super Micro Computer, Inc. | Super Micro Computer Inc. | electrical and electronic equipment | accounting fraud or deficiencies | 2020 | $17,500,000 |
HP Inc. | HP Inc. | electrical and electronic equipment | accounting fraud or deficiencies | 2020 | $6,000,000 |