| Morgan Stanley Smith Barney LLC | Morgan Stanley | investor protection violation | 2014 | FINRA | $5,000,000 |
| SunTrust Robinson Humphrey, Inc. | Truist Financial | investor protection violation | 2011 | FINRA | $5,000,000 |
| USAllianz Securities | Allianz | investor protection violation | 2006 | FINRA | $5,000,000 |
| MetLife, Inc. | MetLife | investor protection violation | 2006 | FINRA | $5,000,000 |
| Merrill Lynch, Pierce, Fenner & Smith Inc. | Bank of America | investor protection violation | 2006 | FINRA | $5,000,000 |
| Goldman, Sachs & Co. | Goldman Sachs | investor protection violation | 2004 | FINRA | $5,000,000 |
| Deutsche Bank Securities, Inc. | Deutsche Bank | investor protection violation | 2004 | FINRA | $5,000,000 |
| Citigroup Global Markets Inc. | Citigroup | investor protection violation | 2004 | FINRA | $5,000,000 |
| Salomon Smith Barney | Morgan Stanley | investor protection violation | 2002 | FINRA | $5,000,000 |
| Companion Life Insurance Co. | BlueCross BlueShield of South Carolina | insurance violation | 2021 | MULTI-FIN | $5,000,000 |
| Trustmark National Bank | Trustmark | discriminatory practices (non-employment) | 2021 | CFPB | (*)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 |
| BofA Securities, Inc. | Bank of America | investor protection violation | 2022 | FINRA | $5,000,000 |
| Bank of America N.A. | Bank of America | price-fixing or anti-competitive practices | 2020 | private lawsuit-federal | $5,000,000 |
| JPMorgan Chase & Co. | JPMorgan Chase | price-fixing or anti-competitive practices | 2020 | private lawsuit-federal | $5,000,000 |
| Premier Insurance Company of Massachusetts | Travelers | consumer protection violation | 2011 | MA-AG | $5,000,386 |
| Old Republic Title Co. | Old Republic International | consumer protection violation | 2002 | CA-MULTI | $5,096,963 |
| Wells Fargo Advisors LLC | Wells Fargo | investor protection violation | 2018 | SEC | $5,108,441 |
| Zurich Life Insurance Company Ltd | Zurich Insurance | tax violations | 2019 | DOJ_TAX | $5,115,000 |
| Societe Generale | Societe Generale | price-fixing or anti-competitive practices | 2020 | private lawsuit-federal | $5,125,000 |
| New Day Financial, LLC d/b/a NewDay USA | New Day Financial LLC | investor protection violation | 2015 | MULTI-FIN | $5,160,000 |
| Goldman, Sachs & Co. | Goldman Sachs | investor protection violation | 2000 | SEC | $5,200,000 |
| CIT Group Inc. | First Citizens BancShares | mortgage abuses | 2018 | FED | $5,200,000 |
| ING Life Insurance and Annuity Co. | Voya Financial | benefit plan administrator violation | 2013 | EBSA | $5,200,000 |
| National Union Fire Insurance Company | American International Group | insurance violation | 2019 | NY-DFS | $5,200,000 |
| American Express Travel Related Services Company, Inc. | American Express | economic sanction violation | 2013 | OFAC | $5,226,120 |
| HSBC | HSBC | toxic securities abuses | 2012 | NCUA | $5,250,000 |
| JPMorgan Chase Bank, N.A. | JPMorgan Chase | economic sanction violation | 2018 | OFAC | $5,263,171 |
| American International Group, Inc. | American International Group | tax violations | 2006 | MI-AG | $5,279,484 |
| Deutsche Bank Securities, Inc. | Deutsche Bank | investor protection violation | 2004 | FINRA | $5,290,000 |
| UBS O'Connor, LLC | UBS | investor protection violation | 2013 | SEC | $5,297,716 |
| Industrial and Commercial Bank of China Financial Services LLC | Industrial and Commercial Bank of China | anti-money-laundering deficiencies | 2018 | FINRA | $5,300,000 |
| Wells Fargo Bank, N.A. and Wells Fargo Insurance, Inc. | Wells Fargo | insurance violation | 2019 | CA-INS | $5,345,816 |
| Morgan Stanley & Co. Inc. | Morgan Stanley | investor protection violation | 2004 | FINRA | $5,390,000 |
| Wells Fargo Bank N.A., d/b/a Wells Fargo Dealer Services | Wells Fargo | consumer protection violation | 2017 | DOJ_RIGHTS | $5,400,000 |
| Progressive | Progressive | wage and hour violation | 2004 | private lawsuit-federal | $5,400,000 |
| Santander USA Holdings Inc. | Banco Santander | consumer protection violation | 2015 | MA-AG | $5,400,000 |
| Farmers Insurance Exchange | Farmers Insurance Exchange | wage and hour violation | 2020 | private lawsuit-federal | $5,400,000 |
| Wells Fargo Bank N.A | Wells Fargo | workplace whistleblower retaliation | 2017 | OSHA | $5,400,000 |
| Transamerica Corporation | Aegon | benefit plan administrator violation | 2021 | private lawsuit-federal | $5,400,000 |
| Stifel Nicolaus & Company, Inc. | Stifel Financial | investor protection violation | 2010 | NJ-BOS | $5,415,381 |
| UBS Global Asset Management | UBS | benefit plan administrator violation | 2006 | private lawsuit-federal | $5,493,000 |
| UBS as successor to Piper Jaffray | UBS | wage and hour violation | 2008 | private lawsuit-federal | $5,500,000 |
| Allstate Insurance Company | Allstate | wage and hour violation | 2018 | private lawsuit-state | $5,500,000 |
| Nationwide Mutual Insurance Company | Nationwide | privacy violation | 2017 | MULTI-AG | $5,500,000 |
| UBS Financial Services Inc. | UBS | investor protection violation | 2007 | CT-SEC | $5,500,000 |
| Interactive Brokers LLC | Interactive Brokers Group | investor protection violation | 2018 | FINRA | $5,500,000 |
| Wilmington Trust, N.A. | M&T Bank | benefit plan administrator violation | 2021 | private lawsuit-federal | $5,500,000 |
| Cadence Bank N.A. | Cadence Bank | discriminatory practices (non-employment) | 2021 | DOJ_RIGHTS | $5,545,000 |
| ABN AMRO Bank, N.V. | ABN AMRO | investor protection violation | 2013 | SEC | $5,547,408 |
| Unum Group | Unum | kickbacks and bribery | 2008 | USAO | $5,550,000 |
| Santander Consumer USA | Banco Santander | consumer protection violation | 2022 | MA-AG | $5,560,000 |
| Deutsche Bank Securities Inc. | Deutsche Bank | toxic securities abuses | 2016 | VA-AG | $5,621,897 |
| Nationwide Life Insurance Company | Nationwide | insurance violation | 2022 | NY-DFS | $5,640,000 |
| Barclays PLC | Barclays | price-fixing or anti-competitive practices | 2021 | private lawsuit-federal | $5,700,000 |
| JPMorgan Chase | JPMorgan Chase | wage and hour violation | 2017 | private lawsuit-federal | $5,707,279 |
| BB&T Securities | Truist Financial | investor protection violation | 2019 | SEC | $5,709,753 |
| Australia and New Zealand Bank Group, Ltd. | Australia and New Zealand Banking Group | economic sanction violation | 2009 | OFAC | $5,750,000 |
| Nationwide Insurance | Nationwide | consumer protection violation | 2015 | WV-AG | $5,750,000 |
| Progressive Express Insurance Co. et al. | Progressive | insurance violation | 2002 | FL-OFR | $5,750,000 |
| Credit Suisse Securities (USA) LLC | Credit Suisse | investor protection violation | 2017 | SEC | $5,754,714 |
| Wachovia Bank | Wells Fargo | wage and hour violation | 2004 | WHD | $5,798,744 |
| Brown & Brown, Inc. | Brown & Brown | consumer protection violation | 2006 | FL-AG | $5,800,000 |
| Prudential Securities Incorporated | Wells Fargo | investor protection violation | 2000 | SEC | $5,880,000 |
| A.G. Edwards & Sons, Inc. | Wells Fargo | investor protection violation | 2000 | FINRA | $5,890,000 |
| Transamerica Life Insurance Company | Aegon | insurance violation | 2019 | NJ-DBI | $5,942,519 |
| Transamerica Asset Management, Inc. | Aegon | investor protection violation | 2020 | SEC | $5,946,782 |
| Ocwen Loan Servicing, LLC | Ocwen Financial | consumer protection violation | 2023 | CA-DFPI | $5,988,704 |
| Merrill Lynch, Pierce, Fenner & Smith Inc. | Bank of America | securities issuance or trading violation | 2018 | FINRA | $5,990,530 |
| National Union Fire Insurance Co. | American International Group | insurance violation | 2013 | CA-INS | $5,991,132 |
| Morgan Stanley | Morgan Stanley | wage and hour violation | 2016 | private lawsuit-federal | $5,995,000 |
| Santander Bank, National Association | Banco Santander | banking violation | 2015 | OCC | $6,000,000 |
| THE BANK OF NEW YORK MELLON | Bank of New York Mellon | banking violation | 2012 | FED | $6,000,000 |
| Chicago Board Options Exchange | CBOE Holdings | investor protection violation | 2013 | SEC | $6,000,000 |
| Vitol Inc. and Vitol Capital Management Ltd. | Vitol | investor protection violation | 2010 | CFTC | $6,000,000 |
| Citibank N.A. | Citigroup | consumer protection violation | 2017 | CFPB | $6,000,000 |
| Bank of America | Bank of America | wage and hour violation | 2017 | private lawsuit-federal | $6,000,000 |
| PNC Financial Services | PNC Financial Services | wage and hour violation | 2016 | private lawsuit-federal | $6,000,000 |
| TD Bank | Toronto-Dominion Bank | wage and hour violation | 2014 | private lawsuit-federal | $6,000,000 |
| Combined Insurance Company of America | Chubb Limited | wage and hour violation | 2010 | private lawsuit-federal | $6,000,000 |
| First Horizon National Corporation | First Horizon National | benefit plan administrator violation | 2012 | private lawsuit-federal | $6,000,000 |
| Fifth Third Bancorp | Fifth Third Bancorp | benefit plan administrator violation | 2016 | private lawsuit-federal | $6,000,000 |
| BB&T Leasing Corporation | Truist Financial | consumer protection violation | 2006 | MULTI-AG | $6,000,000 |
| Countrywide Financial Corp. | Bank of America | mortgage abuses | 2009 | CO-AG | $6,000,000 |
| Encore Capital Group Inc. | Encore Capital Group | consumer protection violation | 2018 | MULTI-AG | $6,000,000 |
| TravelersCompanies, Inc. | Travelers | price-fixing or anti-competitive practices | 2007 | MULTI-AG | $6,000,000 |
| Israel Discount Bank of New York | Israel Discount Bank | anti-money-laundering deficiencies | 2006 | NY-DFS | $6,000,000 |
| American Modern Insurance Group Inc. | Munich Re | insurance violation | 2015 | MULTI-FIN | $6,000,000 |
| Principal Life Insurance Company | Principal Financial | insurance violation | 2020 | NY-DFS | $6,000,000 |
| Fifth Third Securities, Inc. | Fifth Third Bancorp | investor protection violation | 2018 | FINRA | $6,000,000 |
| Deutsche Bank Securities Inc. | Deutsche Bank | investor protection violation | 2016 | FINRA | $6,000,000 |
| Merrill Lynch | Bank of America | investor protection violation | 2014 | FINRA | $6,000,000 |
| J.P. Morgan Securities, Inc. | JPMorgan Chase | investor protection violation | 2003 | FINRA | $6,000,000 |
| BNP Paribas | BNP Paribas | investor protection violation | 2022 | CFTC | $6,000,000 |
| Cantor Fitzgerald | Cantor Fitzgerald | investor protection violation | 2022 | CFTC | $6,000,000 |
| Transamerica Financial Advisors, Inc. | Aegon | investor protection violation | 2019 | SEC | $6,023,072 |
| Stifel and Nicolaus & Company, Incorporated | Stifel Financial | investor protection violation | 2019 | SEC | $6,037,175 |
| Imperial Sugar Company | Louis Dreyfus | workplace safety or health violation | 2010 | OSHA | $6,050,000 |
| HSBC Finance Corporation et al. | HSBC | discriminatory practices (non-employment) | 2010 | private lawsuit-federal | $6,050,000 |
| AIG Federal Savings Bank and Wilmington Finance Inc. | American International Group | discriminatory practices (non-employment) | 2010 | DOJ_RIGHTS | $6,100,000 |
| Morgan Stanley DW Inc. | Morgan Stanley | investor protection violation | 2007 | FINRA | $6,100,000 |
| Morgan Stanley DW, Inc. | Morgan Stanley | investor protection violation | 2005 | FINRA | $6,100,000 |
