| PKB Privatbank AG | | | tax violations | 2015 | DOJ_TAX | $6,328,000 |
| World Interactive Gaming Corporation | | | investor protection violation | 2000 | NY-AG | $6,300,000 |
| One Source Mortgage & Investments, Inc. and Strategic Equity Investments, LLC | | | investor protection violation | 2010 | AZ-CC | $6,274,453 |
| Lasalle Bank MidWest National Association | Bank of America | financial services | banking violation | 2005 | OCC | $6,250,000 |
| AT&T | AT&T | telecommunications | investor protection violation | 2022 | SEC | $6,250,000 |
| 3-CG, LLC and Choice Property Group, LLC | | | investor protection violation | 2012 | AZ-CC | $6,216,949 |
| Profutura LLC | | | investor protection violation | 2001 | AZ-CC | $6,215,350 |
| Lantheus Medical Imaging Inc. | | | tax violations | 2014 | NY-AG | $6,200,000 |
| Berkley Capital Management, LLC et al. | | | investor protection violation | 2022 | CFTC | $6,198,632 |
| Kestra Advisory Services, LLC | | | investor protection violation | 2019 | SEC | $6,196,279 |
| Cambridge Investment Research Advisors, Inc. | | | investor protection violation | 2019 | SEC | $6,187,562 |
| Toll Holdings Limited | | | economic sanction violation | 2022 | OFAC | $6,131,855 |
| New York Life Investment Management LLC | New York Life Insurance | financial services | investor protection violation | 2009 | SEC | $6,100,784 |
| Impact Theory, LLC | | | investor protection violation | 2023 | SEC | $6,100,000 |
| Strategic Legacy Investment Group, Inc. et al. | | | investor protection violation | 2024 | SEC | $6,049,524 |
| Stifel and Nicolaus & Company, Incorporated | Stifel Financial | financial services | investor protection violation | 2019 | SEC | $6,037,175 |
| Transamerica Financial Advisors, Inc. | Aegon | financial services | investor protection violation | 2019 | SEC | $6,023,072 |
| Santander Bank, National Association | Banco Santander | financial services | banking violation | 2015 | OCC | $6,000,000 |
| THE BANK OF NEW YORK MELLON | Bank of New York Mellon | financial services | banking violation | 2012 | FED | $6,000,000 |
| PricewaterhouseCoopers | PricewaterhouseCoopers | business services | accounting fraud or deficiencies | 2011 | SEC | $6,000,000 |
| Lumber Liquidators Holdings Inc. | LL Flooring Holdings | housewares and home furnishings | investor protection violation | 2019 | SEC | $6,000,000 |
| Israel Discount Bank of New York | Israel Discount Bank | financial services | anti-money-laundering deficiencies | 2006 | NY-DFS | $6,000,000 |
| HP Inc. | HP Inc. | electrical and electronic equipment | accounting fraud or deficiencies | 2020 | SEC | $6,000,000 |
| Deutsche Bank Securities Inc. | Deutsche Bank | financial services | investor protection violation | 2016 | FINRA | $6,000,000 |
| J.P. Morgan Securities, Inc. | JPMorgan Chase | financial services | investor protection violation | 2003 | FINRA | $6,000,000 |
| Healthcare Services Group, Inc. | Healthcare Services Group Inc. | business services | accounting fraud or deficiencies | 2021 | SEC | $6,000,000 |
| Digital Platinum Limited | | | investor protection violation | 2021 | CFTC | $6,000,000 |
| BNP Paribas | BNP Paribas | financial services | investor protection violation | 2022 | CFTC | $6,000,000 |
| Sterling Bank and Trust, FSB | | | banking violation | 2022 | OCC | $6,000,000 |
| Merrill Lynch, Pierce, Fenner & Smith Inc. | Bank of America | financial services | anti-money-laundering deficiencies | 2023 | FINRA | $6,000,000 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Bank of America | financial services | anti-money-laundering deficiencies | 2023 | SEC | $6,000,000 |
| Wedbush Securities Inc. | Wedbush Securities | financial services | investor protection violation | 2023 | CFTC | $6,000,000 |
| DBRS Inc. | | | investor protection violation | 2023 | SEC | $6,000,000 |
| Goldman Sachs & Co. LLC | Goldman Sachs | financial services | investor protection violation | 2023 | SEC | $6,000,000 |
| Royal Bank of Canada | Royal Bank of Canada | financial services | accounting fraud or deficiencies | 2023 | SEC | $6,000,000 |
| Merrill Lynch, Pierce, Fenner & Smith Inc. | Bank of America | financial services | securities issuance or trading violation | 2018 | FINRA | $5,990,530 |
| CWT B.V. | | | economic sanction violation | 2014 | OFAC | $5,990,490 |
| National Oilwell Varco and Dreco Energy Services Ltd. | NOV Inc. | oilfield services and supplies | economic sanction violation | 2016 | OFAC | (*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $5,976,028 |
| Transamerica Asset Management, Inc. | Aegon | financial services | investor protection violation | 2020 | SEC | $5,946,782 |
| Prevezon Holdings Ltd. | | | anti-money-laundering deficiencies | 2017 | USAO | $5,896,333 |
| A.G. Edwards & Sons, Inc. | Wells Fargo | financial services | investor protection violation | 2000 | FINRA | $5,890,000 |
| Native American Water, L.L.C. dba NATAWA et al. | | | investor protection violation | 2019 | AZ-CC | $5,874,215 |
| MNI Properties, L.L.C. and Mortgage Notes, Inc. | | | investor protection violation | 2008 | AZ-CC | $5,867,967 |
| Generali Global Assistance, Inc. | | | economic sanction violation | 2020 | OFAC | $5,864,860 |
| PricewaterhouseCoopers LLP | PricewaterhouseCoopers | business services | accounting fraud or deficiencies | 2009 | NJ-AG | $5,850,000 |
| Securities America Advisors Inc. | Reverence Capital Partners | private equity (including portfolio companies) | investor protection violation | 2018 | SEC | $5,828,448 |
| DBRS Inc. | | | investor protection violation | 2015 | SEC | $5,814,482 |
| Private Advisor Group, LLC | | | investor protection violation | 2022 | SEC | $5,800,000 |
| Credit Suisse Securities (USA) LLC | UBS | financial services | investor protection violation | 2017 | SEC | $5,754,714 |
| Australia and New Zealand Bank Group, Ltd. | Australia and New Zealand Banking Group | financial services | economic sanction violation | 2009 | OFAC | $5,750,000 |
| General Motors | General Motors | motor vehicles | investor protection violation | 2021 | CA-AG | $5,750,000 |
| Charlevoix Homes LLC | | | investor protection violation | 2011 | AZ-CC | $5,727,226 |
| Capital Source Lending LLC | | | investor protection violation | 2019 | SEC | $5,720,451 |
| Deephaven Capital Management, LLC | | | insider trading | 2006 | SEC | $5,709,958 |
| BB&T Securities | Truist Financial | financial services | investor protection violation | 2019 | SEC | $5,709,753 |
| Five Star Capital Markets LLC | | | investor protection violation | 2011 | AZ-CC | $5,677,226 |
| Deutsche Bank Securities Inc. | Deutsche Bank | financial services | toxic securities abuses | 2016 | VA-AG | $5,621,897 |
| Retire Happy, LLC et al. | | | investor protection violation | 2021 | MO-SEC | $5,596,783 |
| PBZ Verwaltungs AG | | | tax violations | 2015 | DOJ_TAX | $5,570,000 |
| ABN AMRO Bank, N.V. | ABN AMRO | financial services | investor protection violation | 2013 | SEC | $5,547,408 |
| North American Capital Trust, LLC et al. | | | investor protection violation | 2010 | ID-SEC | $5,533,464 |
| AppliChem GmbH | | | economic sanction violation | 2019 | OFAC | $5,512,564 |
| Marvell Technology Group, Ltd. | Marvell Technology | electrical and electronic equipment | accounting fraud or deficiencies | 2019 | SEC | $5,500,000 |
| Iconix Brand Group Inc. | Iconix Brand Group | apparel | accounting fraud or deficiencies | 2019 | SEC | $5,500,000 |
| Metropolitan Ambulatory Surgical Center LLC and MGK Holdings LLC | | | investor protection violation | 2014 | NJ-BOS | $5,500,000 |
| NVIDIA Corporation | Nvidia | electrical and electronic equipment | investor protection violation | 2022 | SEC | $5,500,000 |
| Lear Capital | | | investor protection violation | 2023 | SC-AG | $5,500,000 |
| Goldman Sachs & Co. | Goldman Sachs | financial services | investor protection violation | 2023 | CFTC | $5,500,000 |
| Stephens Inc. | | | investor protection violation | 2019 | SEC | $5,489,119 |
| Energy & Environmental Investments, LLC and Energy & Environment, Inc. | | | investor protection violation | 2023 | SEC | $5,428,694 |
| Stifel Nicolaus & Company, Inc. | Stifel Financial | financial services | investor protection violation | 2010 | NJ-BOS | $5,415,381 |
| Finter Bank Zurich AG | | | tax violations | 2015 | DOJ_TAX | $5,414,000 |
| Hotel Connect, LLC et al. | | | investor protection violation | 2001 | AZ-CC | $5,400,000 |
| Alumni Ventures Group, LLC | | | investor protection violation | 2022 | SEC | $5,400,000 |
| Morgan Stanley & Co. Inc. | Morgan Stanley | financial services | investor protection violation | 2004 | FINRA | $5,390,000 |
| Foresee Inc. et al. | | | investor protection violation | 2023 | SEC | $5,374,482 |
| Justby International Auctions | | | investor protection violation | 2023 | CFTC | $5,352,843 |
| British American Tobacco p.l.c. | British American Tobacco | tobacco | economic sanction violation | 2023 | OFAC | $5,348,685 |
| Oxford Development, L.L.C. and CNT Family Fun Outlets, Inc. | | | investor protection violation | 2001 | AZ-CC | $5,336,160 |
| Industrial and Commercial Bank of China Financial Services LLC | Industrial and Commercial Bank of China | financial services | anti-money-laundering deficiencies | 2018 | FINRA | $5,300,000 |
| Artichoke Joe's Casino | | | anti-money-laundering deficiencies | 2021 | CA-AG | $5,300,000 |
| UBS O'Connor, LLC | UBS | financial services | investor protection violation | 2013 | SEC | $5,297,716 |
| Deutsche Bank Securities, Inc. | Deutsche Bank | financial services | investor protection violation | 2004 | FINRA | $5,290,000 |
| American International Group, Inc. | American International Group | financial services | tax violations | 2006 | MI-AG | $5,279,484 |
| JPMorgan Chase Bank, N.A. | JPMorgan Chase | financial services | economic sanction violation | 2018 | OFAC | $5,263,171 |
| SwapStar Capital LLC | | | investor protection violation | 2022 | CFTC | $5,255,560 |
| HSBC | HSBC | financial services | toxic securities abuses | 2012 | NCUA | $5,250,000 |
| Crystal Pistol Resources, LLC et al. | | | investor protection violation | 2013 | AZ-CC | $5,249,316 |
| Sojitz (Hong Kong) Limited | | | economic sanction violation | 2022 | OFAC | $5,228,298 |
| American Express Travel Related Services Company, Inc. | American Express | financial services | economic sanction violation | 2013 | OFAC | $5,226,120 |
| Property Quest D.J.E., Inc. | | | investor protection violation | 2008 | AZ-CC | $5,210,399 |
| Catharon Software Corp. | | | investor protection violation | 2015 | AZ-CC | $5,176,559 |
| SAP SE | SAP | information technology | economic sanction violation | 2021 | DOJ_NATSEC | $5,140,000 |
| Bridgeway Capital Management | | | investor protection violation | 2004 | SEC | $5,116,464 |
| Zurich Life Insurance Company Ltd | Zurich Insurance | financial services | tax violations | 2019 | DOJ_TAX | $5,115,000 |
| Wells Fargo Advisors LLC | Wells Fargo | financial services | investor protection violation | 2018 | SEC | $5,108,441 |
| Tyco International Ltd. | Johnson Controls | automotive parts | investor protection violation | 2002 | NH-BSR | $5,100,000 |
| StratoComm Corporation | | | accounting fraud or deficiencies | 2016 | SEC | $5,068,709 |
| Corner Banca SA | | | tax violations | 2015 | DOJ_TAX | $5,068,000 |
| Capital Ventures LLC | | | investor protection violation | 2008 | ID-SEC | $5,020,000 |
| Pamrapo Savings Bank S.L.A. | | | anti-money-laundering deficiencies | 2010 | DOJ_CRIMINAL | $5,000,000 |
