PricewaterhouseCoopers LL | PricewaterhouseCoopers | business services | accounting fraud or deficiencies | 2002 | SEC | $5,000,000 |
Overseas Shipholding Group | Overseas Shipholding Group | freight and logistics | accounting fraud or deficiencies | 2017 | SEC | $5,000,000 |
Mid America Bank and Trust | | | banking violation | 2017 | FED | $5,000,000 |
NPB Neue Privat Bank | | | tax violations | 2018 | DOJ_TAX | $5,000,000 |
Credit Suisse Securities (USA) LLC | UBS | financial services | investor protection violation | 2018 | SEC | $5,000,000 |
LendingClub Asset Management LLC | LendingClub Corp. | financial services | investor protection violation | 2018 | SEC | $5,000,000 |
Citibank N.A. | Citigroup | financial services | bankruptcy professional violation | 2018 | DOJ_UTP | $5,000,000 |
UBS Financial Services Inc. | UBS | financial services | investor protection violation | 2018 | SEC | $5,000,000 |
UBS Financial Services Inc. | UBS | financial services | anti-money-laundering deficiencies | 2018 | FINCEN | $5,000,000 |
Deer Park Road Management Company LP | | | investor protection violation | 2019 | SEC | $5,000,000 |
Commercial Bank of New York | | | anti-money-laundering deficiencies | 2001 | NY-AG | $5,000,000 |
Inviva, Inc. | | | investor protection violation | 2004 | NY-AG | $5,000,000 |
Comscore, Inc. | ComScore | information services | accounting fraud or deficiencies | 2019 | SEC | $5,000,000 |
Prime Partners SA | | | tax violations | 2017 | USAO | $5,000,000 |
Hudson United Bank | | | anti-money-laundering deficiencies | 2004 | NY-MANDA | $5,000,000 |
Diageo plc | Diageo | beverages | investor protection violation | 2020 | SEC | $5,000,000 |
Morgan Stanley Smith Barney LLC | Morgan Stanley | financial services | investor protection violation | 2020 | SEC | $5,000,000 |
Bloomberg Tradebook LLC | Bloomberg | information technology | investor protection violation | 2020 | SEC | $5,000,000 |
Regions Bank | Regions Financial | financial services | banking violation | 2014 | AL-SBD | $5,000,000 |
State Street Global Advisors | State Street Corp. | financial services | investor protection violation | 2012 | MA-SEC | $5,000,000 |
Morgan Stanley & Co. LLC | Morgan Stanley | financial services | investor protection violation | 2012 | MA-SEC | $5,000,000 |
Smith Barney | Morgan Stanley | financial services | investor protection violation | 2007 | NJ-BOS | $5,000,000 |
U.S. Trust Corporation | Bank of America | financial services | anti-money-laundering deficiencies | 2001 | NY-DFS | $5,000,000 |
Credit Agricole | Credit Agricole | financial services | banking violation | 2004 | NY-DFS | $5,000,000 |
E*TRADE Securities LLC | Morgan Stanley | financial services | investor protection violation | 2011 | MULTI-FIN | $5,000,000 |
Thomas Weisel Partners LLC | Stifel Financial | financial services | investor protection violation | 2005 | MULTI-FIN | (*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $5,000,000 |
Anheuser-Busch, LLC | Anheuser-Busch InBev | beverages | tax violations | 2020 | ATTTB | $5,000,000 |
Morgan Stanley Capital Services LLC | Morgan Stanley | financial services | investor protection violation | 2020 | CFTC | $5,000,000 |
Kik Interactive Inc. | | | investor protection violation | 2020 | SEC | $5,000,000 |
Morgan Stanley & Co. LLC | Morgan Stanley | financial services | investor protection violation | 2020 | SEC | $5,000,000 |
Interface Inc. | | | accounting fraud or deficiencies | 2020 | SEC | $5,000,000 |
Merrill Lynch, Pierce, Fenner & Smith, Inc. | Bank of America | financial services | investor protection violation | 2016 | FINRA | $5,000,000 |
SunTrust Robinson Humphrey, Inc. | Truist Financial | financial services | investor protection violation | 2011 | FINRA | $5,000,000 |
MetLife, Inc. | MetLife | financial services | investor protection violation | 2006 | FINRA | $5,000,000 |
RiverSource Distributors Inc. | | | investor protection violation | 2022 | SEC | $5,000,000 |
RiverSource Distributors, Inc. | | | investor protection violation | 2022 | SEC | $5,000,000 |
Bittrex, Inc. | | | anti-money-laundering deficiencies | 2022 | FINCEN | $5,000,000 |
Bloomberg Finance L.P. | Bloomberg | information technology | investor protection violation | 2023 | SEC | $5,000,000 |
The Options Clearing Corporation | | | investor protection violation | 2023 | CFTC | $5,000,000 |
Coinbase, Inc. | Coinbase Global Inc. | financial services | investor protection violation | 2023 | NJ-AG | $5,000,000 |
Shinhan Bank America | | | anti-money-laundering deficiencies | 2023 | FDIC | (*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $5,000,000 |
Holtec International | Holtec International | miscellaneous energy products and systems | tax violations | 2024 | NJ-AG | $5,000,000 |
Capital Solutions Distributors, LLC and Capital Solutions Management, LP | | | accounting fraud or deficiencies | 2013 | SEC | $4,997,077 |
Bear, Stearns & Co. Inc. | JPMorgan Chase | financial services | investor protection violation | 2004 | FINRA | $4,950,000 |
PlexCorps | | | investor protection violation | 2019 | SEC | $4,911,613 |
Financial Leverage LLC et al. | | | investor protection violation | 2023 | AZ-CC | $4,879,122 |
Merrill Lynch | Bank of America | financial services | investor protection violation | 2010 | NJ-AG | $4,871,620 |
Automata FX Ltd | | | investor protection violation | 2023 | AZ-CC | $4,866,465 |
Tri-Core Companies, LLC et al. | | | investor protection violation | 2017 | AZ-CC | $4,822,311 |
Delaware Asset Advisers | | | investor protection violation | 2012 | SEC | $4,814,520 |
Burrill Capital Management | | | accounting fraud or deficiencies | 2016 | SEC | $4,785,000 |
Community Trust Bank, Inc. | | | banking violation | 2018 | FED | $4,750,000 |
Citigroup Global Markets Inc. | Citigroup | financial services | toxic securities abuses | 2016 | VA-AG | $4,750,000 |
Pine Tree Meat & Produce Inc. et al. | | | tax violations | 2020 | NY-AG | $4,700,000 |
ProSky, Inc. | | | investor protection violation | 2021 | SEC | $4,700,000 |
Premier Asset Management Group LLC | | | investor protection violation | 2022 | AZ-CC | $4,695,136 |
Business Owners Tax Relief LLC | | | investor protection violation | 2020 | AZ-CC | $4,674,873 |
Klytie's Developments, Inc. et al. | | | investor protection violation | 2010 | CO-SEC | $4,667,724 |
Barclays Capital Inc. | Barclays | financial services | toxic securities abuses | 2021 | NM-AG | $4,642,857 |
Citigroup Global Markets Inc. | Citigroup | financial services | toxic securities abuses | 2021 | NM-AG | $4,642,857 |
Goldman Sachs & Co. LLC | Goldman Sachs | financial services | toxic securities abuses | 2021 | NM-AG | $4,642,857 |
J.P. Morgan Securities LLC | JPMorgan Chase | financial services | toxic securities abuses | 2021 | NM-AG | $4,642,857 |
Merrill Lynch, Pierce, Fenner & Smith Incorporated | Bank of America | financial services | toxic securities abuses | 2021 | NM-AG | $4,642,857 |
NatWest Markets Securities Inc. | NatWest Group PLC | financial services | toxic securities abuses | 2021 | NM-AG | $4,642,857 |
Washington Mutual Mortgage Securities Corp. | JPMorgan Chase | financial services | toxic securities abuses | 2021 | NM-AG | $4,642,857 |
Ameritas Advisory Services, LLC | Ameritas Mutual Holding Company | financial services | investor protection violation | 2022 | SEC | $4,628,194 |
Berner Kantonalbank AG | | | tax violations | 2015 | DOJ_TAX | $4,619,000 |
MJG Enterprises, Inc. dba Mike's Lock Club | | | investor protection violation | 2010 | AZ-CC | $4,609,627 |
UBS Financial Services Inc. | UBS | financial services | investor protection violation | 2013 | MULTI-FIN | $4,600,000 |
Kelly's Mobile Home Sales, Inc. | | | investor protection violation | 2008 | AZ-CC | $4,592,939 |
Haidar Capital Management, LLC | | | investor protection violation | 2007 | SEC | $4,580,000 |
UBS Financial Services, Inc | UBS | financial services | investor protection violation | 2013 | MULTI-AG | $4,580,000 |
Acme Refining Co. | | | tax violations | 2017 | USAO | $4,545,243 |
UBS Financial Services, Inc. | UBS | financial services | investor protection violation | 2006 | MT-FIN | $4,503,166 |
Grant Thornton LLP | Grant Thornton | business services | accounting fraud or deficiencies | 2015 | SEC | $4,500,000 |
William Blair & Company, L.L.C. | | | investor protection violation | 2017 | SEC | $4,500,000 |
Ameriprise Financial Services Inc. | Ameriprise Financial | financial services | investor protection violation | 2018 | SEC | $4,500,000 |
Acuity Lending Corporation | | | investor protection violation | 2013 | OR-FIN | $4,500,000 |
Wachovia Securities | Wells Fargo | financial services | investor protection violation | 2009 | FINRA | $4,500,000 |
OWNZONES Media Network, Inc. | | | investor protection violation | 2021 | AZ-CC | $4,500,000 |
Global Infrastructure Management, LLC | | | investor protection violation | 2021 | SEC | $4,500,000 |
Premier Marketing and Investments, Inc. | | | investor protection violation | 2003 | SEC | $4,497,451 |
Deutsche Bank Securities Inc. | Deutsche Bank | financial services | investor protection violation | 2018 | SEC | $4,450,000 |
47 East 34th Street (NY), LP | | | tax violations | 2015 | NY-AG | $4,446,153 |
First Chicago Capital Markets, Inc. | | | investor protection violation | 2000 | FINRA | $4,420,000 |
One Vision Children's Foundation, Inc. | | | investor protection violation | 2003 | AZ-CC | $4,407,140 |
Aracoma Contracting LLC | | | anti-money-laundering deficiencies | 2014 | USAO | $4,405,000 |
Meta 1 Coin Trust | | | investor protection violation | 2023 | AZ-CC | $4,404,361 |
Swisspartners Investment Network AG | | | tax violations | 2014 | USAO | $4,400,000 |
Ironridge Global Partners, LLC and Ironridge Global IV, Ltd. | | | investor protection violation | 2017 | SEC | $4,400,000 |
Danfoss A/S | Danfoss | industrial equipment | economic sanction violation | 2022 | OFAC | $4,379,810 |
Trickling Springs Creamery, LLC | | | investor protection violation | 2020 | PA-BKG | $4,375,000 |
Amerada Hess | Hess Corp. | oil and gas | tax violations | 2000 | LA-AG | $4,360,000 |
Conoco | ConocoPhillips | oil and gas | tax violations | 2000 | LA-AG | $4,360,000 |
Energen | | | tax violations | 2000 | LA-AG | $4,360,000 |
Shell | Shell PLC | oil and gas | tax violations | 2000 | LA-AG | $4,360,000 |
Unocal | Chevron | oil and gas | tax violations | 2000 | LA-AG | $4,360,000 |
AutoChina International Limited | | | accounting fraud or deficiencies | 2014 | SEC | $4,350,000 |
Red Mountain Funding, Inc. | | | investor protection violation | 2015 | AZ-CC | $4,344,885 |
PanAmerican Seed Company | | | economic sanction violation | 2016 | OFAC | $4,320,000 |
Bancorp Bank | | | banking violation | 2015 | FDIC | $4,300,000 |