| Bear, Stearns & Co. Inc. | JPMorgan Chase | investor protection violation | 2003 | 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. $25,000,000 |
| Goldman Sachs & Co. | Goldman Sachs | investor protection violation | 2003 | 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. $25,000,000 |
| J.P. Morgan Securities Inc. | JPMorgan Chase | investor protection violation | 2003 | 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. $25,000,000 |
| JPMorgan Chase & Co. | JPMorgan Chase | investor protection violation | 2008 | 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. $25,000,000 |
| Morgan Stanley & Co. | Morgan Stanley | investor protection violation | 2003 | 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. $25,000,000 |
| UBS Warburg and UBS PaineWebber | UBS | investor protection violation | 2003 | 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. $25,000,000 |
| MetLife Securities, Inc. | MetLife | investor protection violation | 2016 | FINRA | $25,000,000 |
| Farmers Insurance | Zurich Insurance | insurance violation | 2021 | OK-AG | $25,000,000 |
| UBS Financial Services Inc. | UBS | investor protection violation | 2022 | SEC | $25,000,000 |
| Westpac Banking Corporation | Westpac Banking | price-fixing or anti-competitive practices | 2022 | private lawsuit-federal | $25,000,000 |
| BMO Capital Markets Corp | Bank of Montreal | investor protection violation | 2023 | SEC | $25,000,000 |
| Mizuho Securities USA LLC | Mizuho Financial | investor protection violation | 2023 | SEC | $25,000,000 |
| DWS Investment Management Americas Inc. | Deutsche Bank | investor protection violation | 2023 | SEC | $25,000,000 |
| Prudential Insurance Company of America | Prudential Financial | insurance violation | 2001 | NJ-DBI | $25,100,000 |
| Cooperatieve Rabobank U.A | Rabobank | price-fixing or anti-competitive practices | 2023 | private lawsuit-federal | $25,250,000 |
| Lloyds Banking Group plc | Lloyds Banking Group | price-fixing or anti-competitive practices | 2023 | private lawsuit-federal | $25,250,000 |
| Royal Bank of Canada | Royal Bank of Canada | price-fixing or anti-competitive practices | 2023 | private lawsuit-federal | $25,250,000 |
| Portigon Financial Services | Portigon Financial Services | price-fixing or anti-competitive practices | 2023 | private lawsuit-federal | $25,250,000 |
| Societe Generale, S.A. | Societe Generale | price-fixing or anti-competitive practices | 2016 | private lawsuit-federal | $25,412,500 |
| Wells Fargo Bank, N.A. | Wells Fargo | wage and hour violation | 2020 | private lawsuit-federal | $25,696,122 |
| Wells Fargo & Co. | Wells Fargo | consumer protection violation | 2016 | private lawsuit-federal | $25,750,000 |
| LPL Financial LLC | LPL Financial | investor protection violation | 2019 | MULTI-AG | $25,848,000 |
| Citibank N.A. | Citigroup | discriminatory practices (non-employment) | 2023 | CFPB | $25,900,000 |
| Merrill Lynch Pierce Fenner & Smith Inc. | Bank of America | investor protection violation | 2012 | IL-SEC | $25,930,000 |
| Banc of America Securities LLC | Bank of America | fraud | 2007 | SEC | $26,000,000 |
| LPL Financial LLC | LPL Financial | investor protection violation | 2018 | MULTI-FIN | $26,000,000 |
| PaineWebber Incorporated | UBS | investor protection violation | 2000 | SEC | $26,200,000 |
| Merrill Lynch, Pierce, Fenner & Smith Inc. | Bank of America | investor protection violation | 2020 | NH-BSR | $26,250,000 |
| John Hancock Life & Health Insurance Company | Manulife Financial | insurance violation | 2022 | NY-DFS | $26,300,000 |
| Nomura Securities International Inc. | Nomura | investor protection violation | 2019 | SEC | $26,400,000 |
| Bank of America | Bank of America | price-fixing or anti-competitive practices | 2022 | private lawsuit-federal | $26,420,000 |
| Merrill Lynch | Bank of America | investor protection violation | 2010 | MULTI-FIN | $26,563,094 |
| UBS Financial Services Inc. of Puerto Rico | UBS | investor protection violation | 2012 | SEC | $26,600,000 |
| Goldman Sachs | Goldman Sachs | consumer protection violation | 2012 | private lawsuit-federal | $26,612,500 |
| Societe Generale | Societe Generale | price-fixing or anti-competitive practices | 2016 | MULTI-AG | $26,750,000 |
| HSBC Securities | HSBC | mortgage abuses | 2018 | MA-AG | $26,800,000 |
| Chemoil Corporation | Glencore | environmental violation | 2016 | EPA | $27,000,000 |
| Banco Bilbao Vizcaya Argentaria, S.A. | Banco Bilbao Vizcaya Argentaria | banking violation | 2016 | FED | $27,000,000 |
| Arthur J. Gallagher & Co. | Arthur J. Gallagher & Co. | consumer protection violation | 2005 | IL-AG | $27,000,000 |
| Bank of Louisville | Truist Financial | investor protection violation | 2002 | KY-INS | $27,000,000 |
| National Australia Bank Limited | National Australia Bank | price-fixing or anti-competitive practices | 2022 | private lawsuit-federal | $27,000,000 |
| CHEMOIL CORPORATION | Glencore | environmental violation | 2016 | EPA | (*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $27,000,000 |
| Credit Acceptance Corporation | Credit Acceptance Corp. | consumer protection violation | 2021 | MA-AG | $27,200,000 |
| Wells Fargo | Wells Fargo | wage and hour violation | 2018 | private lawsuit-state | $27,500,000 |
| National City Mortgage | PNC Financial Services | wage and hour violation | 2008 | private lawsuit-federal | $27,500,000 |
| Ameriprise Financial, Inc. | Ameriprise Financial | benefit plan administrator violation | 2015 | private lawsuit-federal | $27,500,000 |
| Bank of America, N.A. | Bank of America | consumer protection violation | 2016 | private lawsuit-federal | $27,500,000 |
| Goldman Sachs Group Inc. | Goldman Sachs | consumer protection violation | 2016 | private lawsuit-federal | $27,500,000 |
| Coutts & Co Ltd. | NatWest Group PLC | tax violations | 2019 | DOJ_TAX | $27,900,000 |
| Bear Stearns Companies, LLC | JPMorgan Chase | mortgage abuses | 2008 | FTC | $28,000,000 |
| TCF National Bank | Huntington Bancshares | consumer protection violation | 2018 | CFPB | $28,000,000 |
| Bank of New York Mellon | Bank of New York Mellon | investor protection violation | 2013 | FL-AG | $28,000,000 |
| PHH Mortgage Corporation | Ocwen Financial | mortgage abuses | 2016 | NY-DFS | $28,000,000 |
| Wells Fargo Bank, N.A. | Wells Fargo | privacy violation | 2021 | private lawsuit-federal | $28,000,000 |
| Arthur J. Gallagher & Co. | Arthur J. Gallagher & Co. | price-fixing or anti-competitive practices | 2007 | private lawsuit-federal | $28,000,000 |
| Option One Mortgage Corporation | Ocwen Financial | toxic securities abuses | 2012 | SEC | $28,200,000 |
| Morgan Stanley Mortgage Capital Holdings | Morgan Stanley | toxic securities abuses | 2011 | NV-AG | $28,200,000 |
| Navy Federal Credit Union | Navy Federal Credit Union | consumer protection violation | 2016 | CFPB | $28,500,000 |
| Deutsche Bank Securities Inc. | Deutsche Bank | 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. $28,750,000 |
| CitiFinancial Servicing and CitiMortgage, Inc. | Citigroup | consumer protection violation | 2017 | CFPB | $28,800,000 |
| U.S. Bank National Association | U.S. Bancorp | mortgage abuses | 2020 | DOJ_UTP | $29,000,000 |
| Barclays Bank PLC | Barclays | price-fixing or anti-competitive practices | 2018 | private lawsuit-federal | $29,000,000 |
| Bank of America N.A. | Bank of America | consumer protection violation | 2017 | private lawsuit-federal | $29,000,000 |
| Jardine Lloyd Thompson Group Holdings Ltd. | Marsh & McLennan | Foreign Corrupt Practices Act | 2022 | DOJ_CRIMINAL | $29,081,951 |
| Walter Investment Management Corp. | Ditech Holding Corporation | False Claims Act and related | 2015 | DOJ_CIVIL | $29,630,000 |
| Credit Suisse Group AG | UBS | Foreign Corrupt Practices Act | 2018 | SEC | $29,700,000 |
| Wilmington Trust N.A. | M&T Bank | benefit plan administrator violation | 2017 | private lawsuit-federal | $29,773,250 |
| JPMorgan Chase Bank, National Association | JPMorgan Chase | banking violation | 2015 | OCC | $30,000,000 |
| Bank of America, National Association | Bank of America | banking violation | 2015 | OCC | $30,000,000 |
| Ameriprise Financial, Inc. | Ameriprise Financial | investor protection violation | 2005 | SEC | $30,000,000 |
| Deutsche Bank AG and Deutsche Bank Securities Inc. | Deutsche Bank | investor protection violation | 2018 | CFTC | $30,000,000 |
| Countrywide Financial | Bank of America | wage and hour violation | 2005 | private lawsuit-state | $30,000,000 |
| Wachovia National Bank, N.A. | Wells Fargo | benefit plan administrator violation | 2000 | EBSA | $30,000,000 |
| Bank of America, N.A. | Bank of America | price-fixing or anti-competitive practices | 2018 | CFTC | $30,000,000 |
| Liberty Mutual Retirement Benefit Plan | Liberty Mutual Insurance | benefit plan administrator violation | 2018 | private lawsuit-federal | $30,000,000 |
| Affinion | JPMorgan Chase | consumer protection violation | 2013 | MULTI-AG | $30,000,000 |
| Credit Suisse Securities | UBS | investor protection violation | 2016 | NY-AG | $30,000,000 |
| Citibank, N.A. | Citigroup | banking violation | 2019 | OCC | $30,000,000 |
| Citigroup Global Markets Inc. | Citigroup | investor protection violation | 2013 | MA-SEC | $30,000,000 |
| Bank of Tokyo-Mitsubishi UFJ, Ltd. | Mitsubishi UFJ Financial Group | price-fixing or anti-competitive practices | 2018 | private lawsuit-federal | $30,000,000 |
| Barclays Bank PLC | Barclays | price-fixing or anti-competitive practices | 2018 | private lawsuit-federal | $30,000,000 |
| HSBC Securities (USA) Inc. | HSBC | price-fixing or anti-competitive practices | 2021 | private lawsuit-federal | $30,000,000 |
| Wells Fargo & Co. | Wells Fargo | economic sanction violation | 2023 | OFAC | $30,000,000 |
| HSBC Bank PLC | HSBC | investor protection violation | 2023 | CFTC | $30,000,000 |
| State Farm Fire and Casualty Company | State Farm Insurance | consumer protection violation | 2010 | private lawsuit-federal | $30,000,000 |
| Wells Fargo Bank, N.A. | Wells Fargo | consumer protection violation | 2019 | private lawsuit-federal | $30,000,000 |
| Goldman Sachs & Co. LLC | Goldman Sachs | investor protection violation | 2023 | CFTC | $30,000,000 |
| MUFG Bank, Ltd. | U.S. Bancorp | price-fixing or anti-competitive practices | 2023 | private lawsuit-federal | $30,000,000 |
| Norinchukin Bank | Norinchukin Bank | price-fixing or anti-competitive practices | 2023 | private lawsuit-federal | $30,000,000 |
| Societe Generale | Societe Generale | price-fixing or anti-competitive practices | 2023 | private lawsuit-federal | $30,000,000 |
| Industrial and Commercial Bank of China Ltd. | Industrial and Commercial Bank of China | banking violation | 2024 | NY-DFS | $30,000,000 |
| Bank Hapoalim B.M. | Bank Hapoalim | anti-money-laundering deficiencies | 2020 | DOJ_CRIMINAL | $30,063,317 |
| RBC Capital Markets LLC | Royal Bank of Canada | investor protection violation | 2011 | SEC | $30,400,000 |
| Wells Fargo Bank, N.A. | Wells Fargo | privacy violation | 2017 | private lawsuit-federal | $30,446,022 |
| Massachusetts Mutual Life Insurance Co. | Massachusetts Mutual Life Insurance | benefit plan administrator violation | 2016 | private lawsuit-federal | $30,900,000 |
| American Express Financial Advisors | Ameriprise Financial | employment discrimination | 2002 | private lawsuit-federal | $31,000,000 |
| Oppenheimer & Co. Inc. | Oppenheimer Holdings | investor protection violation | 2010 | MULTI-AG | $31,000,000 |
| City National Bank | Royal Bank of Canada | discriminatory practices (non-employment) | 2023 | DOJ_RIGHTS | $31,000,000 |
| Bank of America N.A. | Bank of America | consumer protection violation | 2014 | private lawsuit-federal | $31,000,000 |
| Deutsche Bank (Suisse) SA | Deutsche Bank | tax violations | 2015 | DOJ_TAX | $31,026,000 |
| Fidelity National Title Insurance Company | Fidelity National Financial | consumer protection violation | 2002 | CA-AG | $31,148,320 |
