PASADENA REFINING SYSTEM, INC. | Chevron | oil and gas | air pollution violation | 2022 | TX-ENV | $1,100,000 |
OXY USA INC. | Occidental Petroleum | oil and gas | environmental violation | 2022 | TX-ENV | $25,467 |
OCCIDENTAL PERMIAN LTD. | Occidental Petroleum | oil and gas | environmental violation | 2022 | TX-ENV | $12,600 |
OXY USA WTP LP | Occidental Petroleum | oil and gas | air pollution violation | 2023 | TX-ENV | $42,120 |
Occidental Chemical Corporation | Occidental Petroleum | oil and gas | air pollution violation | 2023 | TX-ENV | $10,500 |
Oxy Vinyls, LP | Occidental Petroleum | oil and gas | air pollution violation | 2023 | TX-ENV | $63,961 |
Oxy Vinyls, LP | Occidental Petroleum | oil and gas | air pollution violation | 2023 | TX-ENV | $6,360 |
Occidental Permian Ltd. | Occidental Petroleum | oil and gas | air pollution violation | 2022 | TX-ENV | $23,956 |
Keller Oaks Healthcare Center | Ensign Group | healthcare services | nursing home violation | 2020 | TX-DHHS | $66,500 |
Mason Creek Transitional Care Of Katy | Ensign Group | healthcare services | nursing home violation | 2020 | TX-DHHS | $12,500 |
NCO Financial Systems Inc. | Alorica | business services | consumer protection violation | 2008 | TX-AG | $400,000 |
PayPal Inc. | PayPal Holdings | financial services | privacy violation | 2016 | TX-AG | $175,000 |
Google | Alphabet Inc. | information technology | consumer protection violation | 2023 | TX-AG | $8,000,000 |
Wedbush Securities Inc. | Wedbush Securities | financial services | investor protection violation | 2016 | TN-SEC | $30,000 |
YourPeople, Inc., dba Zenefits FTW Insurance Services | TriNet Group | business services | insurance violation | 2016 | TN-INS | $62,500 |
Wells Fargo Advisors LLC | Wells Fargo | financial services | investor protection violation | 2014 | SEC | $5,000,000 |
Wells Fargo | Wells Fargo | financial services | toxic securities abuses | 2012 | SEC | $6,500,000 |
Wells Fargo Securities LLC | Wells Fargo | financial services | toxic securities abuses | 2011 | SEC | $11,000,000 |
TD Ameritrade Inc. | Charles Schwab Corp. | financial services | investor protection violation | 2011 | SEC | $10,000,000 |
Charles Schwab Investment Management and Charles Schwab & Co., Inc. | Charles Schwab Corp. | financial services | investor protection violation | 2011 | SEC | $118,000,000 |
Qualcomm Inc. | Qualcomm | miscellaneous manufacturing | Foreign Corrupt Practices Act | 2016 | SEC | $7,500,000 |
SciClone Pharmaceuticals | SciClone Pharmaceuticals | pharmaceuticals | Foreign Corrupt Practices Act | 2016 | SEC | $12,000,000 |
FLIR Systems Inc. | Teledyne Technologies | miscellaneous manufacturing | Foreign Corrupt Practices Act | 2015 | SEC | $9,500,000 |
Bio-Rad Laboratories Inc. | Bio-Rad Laboratories | healthcare services | Foreign Corrupt Practices Act | 2014 | SEC | $40,700,000 |
Hewlett-Packard | HP Inc. | electrical and electronic equipment | Foreign Corrupt Practices Act | 2014 | SEC | $31,500,000 |
Oracle Corporation | Oracle | information technology | Foreign Corrupt Practices Act | 2012 | SEC | $2,000,000 |
Maxwell Technologies Inc. | Tesla Inc. | motor vehicles | Foreign Corrupt Practices Act | 2011 | SEC | $6,350,890 |
Polycom Inc. | Plantronics | miscellaneous manufacturing | accounting fraud or deficiencies | 2015 | SEC | $750,000 |
Wedbush Securities | Wedbush Securities | financial services | investor protection violation | 2014 | SEC | $2,440,000 |
Charles Schwab & Co. | Charles Schwab Corp. | financial services | investor protection violation | 2014 | SEC | $61,800 |
TD Ameritrade | Charles Schwab Corp. | financial services | investor protection violation | 2014 | SEC | $100,800 |
Wedbush Securities Inc. | Wedbush Securities | financial services | investor protection violation | 2014 | SEC | $67,200 |
Lions Gate Entertainment Corp. | Lions Gate Entertainment | entertainment | accounting fraud or deficiencies | 2014 | SEC | $7,500,000 |
Scottrade | Charles Schwab Corp. | financial services | data submission deficiencies | 2014 | SEC | $2,500,000 |
Western Asset Management Company | Franklin Resources | financial services | investor protection violation | 2014 | SEC | $19,400,000 |
VeriFone Holdings, Inc. | Francisco Partners | private equity (including portfolio companies) | accounting fraud or deficiencies | 2009 | SEC | $25,000 |
Avery Dennison Corporation | Avery Dennison | miscellaneous manufacturing | Foreign Corrupt Practices Act | 2009 | SEC | $518,470 |
Evergreen Investment Management Company LLC | Wells Fargo | financial services | investor protection violation | 2009 | SEC | $40,000,000 |
Scottrade, Inc. | Charles Schwab Corp. | financial services | investor protection violation | 2008 | SEC | $950,000 |
Broadcom Corp. | Broadcom | electrical and electronic equipment | investor protection violation | 2008 | SEC | $12,000,000 |
Chevron Corporation | Chevron | oil and gas | Foreign Corrupt Practices Act | 2007 | SEC | $30,000,000 |
Evergreen Investment Management Company | Wells Fargo | financial services | investor protection violation | 2007 | SEC | $32,500,000 |
Brocade Communications Systems, Inc. | Broadcom | electrical and electronic equipment | accounting fraud or deficiencies | 2007 | SEC | $7,000,000 |
A.G. Edwards & Sons, Inc. | Wells Fargo | financial services | investor protection violation | 2007 | SEC | $3,860,000 |
Scientific-Atlanta, Inc. | Cisco Systems | electrical and electronic equipment | accounting fraud or deficiencies | 2006 | SEC | $20,000,000 |
A.G. Edwards & Sons, Inc. | Wells Fargo | financial services | investor protection violation | 2006 | SEC | $125,000 |
Wachovia Capital Markets, LLC | Wells Fargo | financial services | investor protection violation | 2006 | SEC | $125,000 |
Franklin Advisers, Inc. and Franklin Templeton Distributors, Inc. | Franklin Resources | financial services | investor protection violation | 2004 | SEC | $20,000,000 |
Wachovia Corporation | Wells Fargo | financial services | investor protection violation | 2004 | SEC | $37,000,000 |
Computer Associates International, Inc. | Broadcom | electrical and electronic equipment | accounting fraud or deficiencies | 2004 | SEC | (*)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 |
Charles Schwab & Co., Inc. | Charles Schwab Corp. | financial services | investor protection violation | 2004 | SEC | $350,000 |
Franklin Advisers, Inc. | Franklin Resources | financial services | investor protection violation | 2004 | SEC | $50,000,000 |
Strong Capital Management, Inc. | Wells Fargo | financial services | investor protection violation | 2004 | SEC | $80,000,000 |
Putnam Investment Management LLC | Franklin Resources | financial services | investor protection violation | 2004 | SEC | $55,000,000 |
Legg Mason Wood Walker, Inc. | Franklin Resources | financial services | investor protection violation | 2004 | SEC | $2,315,467 |
Wachovia Securities, LLC | Wells Fargo | financial services | investor protection violation | 2004 | SEC | $4,844,465 |
Prudential Securities, Inc. | Wells Fargo | financial services | investor protection violation | 2003 | SEC | $382,000 |
Siebel Systems, Inc. | Oracle | information technology | investor protection violation | 2002 | SEC | $250,000 |
Prudential Securities Incorporated | Wells Fargo | financial services | investor protection violation | 2000 | SEC | $5,880,000 |
Wedbush Securities Inc. | Wedbush Securities | financial services | investor protection violation | 2018 | SEC | $1,304,197 |
Wells Fargo Advisors, LLC | Wells Fargo | financial services | anti-money-laundering deficiencies | 2017 | SEC | $3,500,000 |
YourPeople, Inc., dba Zenefits FTW Insurance Services | TriNet Group | business services | investor protection violation | 2017 | SEC | $450,000 |
Platinum Equity Advisors, LLC | Platinum Equity | private equity (including portfolio companies) | investor protection violation | 2017 | SEC | $3,402,132 |
Cytrx Corporation | CytRx | pharmaceuticals | investor protection violation | 2017 | SEC | $75,000 |
Wells Fargo Bank N.A. Municipal Products Group | Wells Fargo | financial services | investor protection violation | 2016 | SEC | $440,000 |
Maxwell Technologies, Inc. | Tesla Inc. | motor vehicles | accounting fraud or deficiencies | 2018 | SEC | $2,800,000 |
Universal Electronics Inc. | Universal Electronics Inc. | electrical and electronic equipment | investor protection violation | 2014 | SEC | $75,000 |
Institutional Shareholder Services Inc. | Genstar Capital | private equity (including portfolio companies) | investor protection violation | 2013 | SEC | $300,000 |
Legg Mason Inc. | Franklin Resources | financial services | Foreign Corrupt Practices Act | 2018 | SEC | $34,500,000 |
Wells Fargo Advisors LLC | Wells Fargo | financial services | investor protection violation | 2018 | SEC | $5,108,441 |
Charles Schwab & Co., Inc. | Charles Schwab Corp. | financial services | investor protection violation | 2018 | SEC | $2,800,000 |
Ingram Micro Inc. | Platinum Equity | private equity (including portfolio companies) | investor protection violation | 2009 | SEC | $15,000,000 |
Tesla Inc. | Tesla Inc. | motor vehicles | investor protection violation | 2018 | SEC | $20,000,000 |
LendingClub Asset Management LLC | LendingClub Corp. | financial services | investor protection violation | 2018 | SEC | $5,000,000 |
Putnam Investment Management, LLC | Franklin Resources | financial services | investor protection violation | 2018 | SEC | $1,000,000 |
TD Ameritrade, Inc. | Charles Schwab Corp. | financial services | investor protection violation | 2018 | SEC | $500,000 |
LPL Financial Corporation | LPL Financial | financial services | investor protection violation | 2008 | SEC | $275,000 |
Putnam Investment Management, LLC | Franklin Resources | financial services | investor protection violation | 2007 | SEC | $350,000 |
Strong Capital Management, Inc. | Wells Fargo | financial services | investor protection violation | 2006 | SEC | $2,185,927 |
Legg Mason Wood Walker, Incorporated | Franklin Resources | financial services | investor protection violation | 2005 | SEC | $1,000,000 |
Putnam Investment Management, LLC | Franklin Resources | financial services | investor protection violation | 2005 | SEC | $40,000,001 |
Norwest Investment Services, Inc. | Wells Fargo | financial services | investor protection violation | 2002 | SEC | $153,245 |
Western Asset Management Co. | Franklin Resources | financial services | investor protection violation | 2001 | SEC | $50,000 |
Legg Mason Fund Adviser, Inc. | Franklin Resources | financial services | investor protection violation | 2001 | SEC | $50,000 |
Legg Mason Wood Walker, Incorporated | Franklin Resources | financial services | investor protection violation | 2001 | SEC | $50,000 |
Prudential Securities Incorporated | Wells Fargo | financial services | investor protection violation | 2001 | SEC | $800,000 |
First Union Securities, Inc. | Wells Fargo | financial services | investor protection violation | 2000 | SEC | $408,931 |
Wells Fargo Securities | Wells Fargo | financial services | investor protection violation | 2019 | SEC | $812,500 |
Wedbush Securities Inc. | Wedbush Securities | financial services | investor protection violation | 2019 | SEC | $250,000 |
Wells Fargo Clearing Services, LLC and Wells Fargo Advisors Financial Network, LLC | Wells Fargo | financial services | investor protection violation | 2019 | SEC | $17,363,847 |
LPL Financial LLC | LPL Financial | financial services | investor protection violation | 2019 | SEC | $9,333,516 |
Polycom, Inc. | Plantronics | miscellaneous manufacturing | Foreign Corrupt Practices Act | 2018 | SEC | $3,800,000 |
Facebook Inc. | Meta Platforms Inc. | information technology | investor protection violation | 2019 | SEC | $100,000,000 |
Juniper Networks, Inc. | Juniper Networks | electrical and electronic equipment | Foreign Corrupt Practices Act | 2019 | SEC | $11,745,018 |
Wedbush Securities Inc. | Wedbush Securities | financial services | investor protection violation | 2019 | SEC | $8,100,000 |
Wedbush Securities Inc. | Wedbush Securities | financial services | investor protection violation | 2019 | SEC | $1,852,540 |
Wells Fargo Clearing Services and Wells Fargo Advisors Financial Network | Wells Fargo | financial services | investor protection violation | 2020 | SEC | $35,000,000 |
Wells Fargo & Co. | Wells Fargo | financial services | investor protection violation | 2020 | SEC | (*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $500,000,000 |
Quantum Corporation | Quantum Corp. | electrical and electronic equipment | investor protection violation | 2019 | SEC | $1,000,000 |
Ares Management LLC | Ares Management | private equity (including portfolio companies) | investor protection violation | 2020 | SEC | $1,000,000 |
Super Micro Computer, Inc. | Super Micro Computer Inc. | electrical and electronic equipment | accounting fraud or deficiencies | 2020 | SEC | $17,500,000 |