| Citizens Bank, N.A. | Citizens Financial Group | consumer protection violation | 2015 | CFPB | $18,500,000 |
| Discover Bank | Discover Financial Services | consumer protection violation | 2015 | CFPB | $18,500,000 |
| Wilmington Trust | M&T Bank | accounting fraud or deficiencies | 2014 | SEC | $18,500,000 |
| Deutsche Bank | Deutsche Bank | investor protection violation | 2016 | SEC | $18,500,000 |
| UBS Financial Services Incorporated of Puerto Rico | UBS | investor protection violation | 2015 | FINRA | $18,500,000 |
| HSBC Bank PLC | HSBC | price-fixing or anti-competitive practices | 2020 | private lawsuit-federal | $18,500,000 |
| Citigroup Global Markets | Citigroup | investor protection violation | 2017 | SEC | $18,300,000 |
| Pruco Securities, LLC | Prudential Financial | investor protection violation | 2020 | SEC | $18,252,341 |
| Allstate Life Insurance Company of New York | Allstate | insurance violation | 2007 | NY-DFS | $18,250,000 |
| Mellon Bank N.A. | Bank of New York Mellon | False Claims Act and related | 2006 | USAO | $18,130,405 |
| U.S. Bank National Association | U.S. Bancorp | investor protection violation | 2015 | CFTC | $18,000,000 |
| MoneyGram International, Inc. | MoneyGram International | consumer protection violation | 2009 | FTC | $18,000,000 |
| Coast National Insurance | Zurich Insurance | wage and hour violation | 2002 | private lawsuit-state | $18,000,000 |
| Allianz Dresdner Asset Management of America LP | Allianz | investor protection violation | 2004 | NJ-AG | $18,000,000 |
| Franklin/Templeton Distributors, Inc. | Franklin Resources | investor protection violation | 2004 | CA-AG | $18,000,000 |
| Waddell & Reed, Inc. | Macquarie | investor protection violation | 2005 | MULTI-FIN | $18,000,000 |
| RBS Financial Products, Inc. | NatWest Group PLC | toxic securities abuses | 2020 | MD-AG | $18,000,000 |
| Charles Schwab & Company, Inc. | Charles Schwab Corp. | investor protection violation | 2011 | FINRA | $18,000,000 |
| LendingClub Corp. | LendingClub Corp. | consumer protection violation | 2021 | FTC | $18,000,000 |
| Cleco Power | Macquarie | utility administrative violation | 2004 | LA-PSC | $18,000,000 |
| Societe Generale | Societe Generale | price-fixing or anti-competitive practices | 2018 | private lawsuit-federal | $18,000,000 |
| Citibank, N.A. | Citigroup | banking violation | 2020 | OCC | $17,998,510 |
| UBS AG | UBS | price-fixing or anti-competitive practices | 2020 | private lawsuit-federal | $17,900,000 |
| Societe Generale Private Banking (Suisse) SA | Societe Generale | tax violations | 2015 | DOJ_TAX | $17,807,000 |
| Barclays Bank PLC | Barclays | price-fixing or anti-competitive practices | 2023 | private lawsuit-federal | $17,750,000 |
| UBS Willow Management LLC and UBS Fund Advisor LLC | UBS | investor protection violation | 2015 | SEC | $17,500,000 |
| Wells Fargo & Company | Wells Fargo | benefit plan administrator violation | 2011 | private lawsuit-federal | $17,500,000 |
| United States Fidelity & Guaranty | Travelers | False Claims Act and related | 2007 | CT-AG | $17,500,000 |
| VITOL, S.A. | Vitol | kickbacks and bribery | 2007 | NY-MANDA | $17,500,000 |
| Deutsche Bank Securities Inc. | Deutsche Bank | investor protection violation | 2013 | MA-SEC | $17,500,000 |
| UnumProvident Corporation | Unum | consumer protection violation | 2006 | NY-AG | $17,400,000 |
| Wells Fargo Clearing Services, LLC and Wells Fargo Advisors Financial Network, LLC | Wells Fargo | investor protection violation | 2019 | SEC | $17,363,847 |
| Ameriprise Financial Services, Inc. | Ameriprise Financial | investor protection violation | 2009 | SEC | $17,300,000 |
| Countrywide Securities Corp. | Bank of America | mortgage abuses | 2013 | MA-AG | $17,300,000 |
| Wells Fargo | Wells Fargo | toxic securities abuses | 2018 | IL-AG | $17,250,000 |
| Deutsche Asset Management, Inc. and Deutsche Investment Management Americas, Inc. | Deutsche Bank | investor protection violation | 2006 | SEC | $17,200,000 |
| Standard Chartered Bank | Standard Chartered | price-fixing or anti-competitive practices | 2018 | private lawsuit-federal | $17,200,000 |
| Kemper Corp. | Kemper | privacy violation | 2022 | private lawsuit-federal | $17,100,000 |
| Morgan Stanley & Co. Incorporated | Morgan Stanley | investor protection violation | 2007 | SEC | $17,000,000 |
| Chubb | Chubb Limited | price-fixing or anti-competitive practices | 2006 | MULTI-AG | $17,000,000 |
| Prudential Insurance Company of America | Prudential Financial | insurance violation | 2012 | MULTI-AG | $17,000,000 |
| Nationstar Mortgage LLC | Mr. Cooper Group | consumer protection violation | 2018 | NY-DFS | $17,000,000 |
| Raymond James & Associates, Inc. and Raymond James Financial Services, Inc. | Raymond James Financial | anti-money-laundering deficiencies | 2016 | FINRA | $17,000,000 |
| Bank of America N.A. | Bank of America | price-fixing or anti-competitive practices | 2021 | private lawsuit-federal | $17,000,000 |
| Zurich Capital Markets Inc. | Zurich Insurance | investor protection violation | 2007 | SEC | $16,800,000 |
| JPMorgan Chase | JPMorgan Chase | wage and hour violation | 2017 | private lawsuit-federal | $16,666,667 |
| Bank of America | Bank of America | wage and hour violation | 2010 | private lawsuit-state | $16,650,000 |
| Bank of America N.A. | Bank of America | economic sanction violation | 2014 | OFAC | $16,562,700 |
| Mellon Bank, N.A. | Bank of New York Mellon | False Claims Act and related | 2007 | DOJ_CIVIL | $16,500,000 |
| Credit Suisse Securities (USA) LLC | Credit Suisse | anti-money-laundering deficiencies | 2016 | FINRA | $16,500,000 |
| Deutsche Bank AG | Deutsche Bank | Foreign Corrupt Practices Act | 2019 | SEC | $16,178,850 |
| Sovereign Bank N.A. | Banco Santander | banking violation | 2013 | OCC | $16,086,180 |
| Wells Fargo & Company | Wells Fargo | Americans with Disabilities Act | 2011 | DOJ_RIGHTS | $16,055,000 |
| Riggs Bank | PNC Financial Services | anti-money-laundering deficiencies | 2005 | USAO | $16,000,000 |
| PNC Bank | PNC Financial Services | wage and hour violation | 2017 | private lawsuit-federal | $16,000,000 |
| JPMorgan Chase | JPMorgan Chase | wage and hour violation | 2014 | private lawsuit-federal | $16,000,000 |
| Gabelli Funds LLC | Gamco Investors Inc. | investor protection violation | 2008 | SEC | $16,000,000 |
| Morgan Stanley | Morgan Stanley | employment discrimination | 2008 | private lawsuit-federal | $16,000,000 |
| Citigroup Global Markets, Inc. | Citigroup | consumer protection violation | 2014 | NY-AG | $16,000,000 |
| Waddell & Reed, Inc. | Macquarie | investor protection violation | 2005 | FINRA | (*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $16,000,000 |
| U.S. Bancorp Investments, Inc. | U.S. Bancorp | investor protection violation | 2020 | SEC | $15,992,441 |
| Midland States Bancorp | Midland States Bancorp | discriminatory practices (non-employment) | 2014 | HUD | $15,950,000 |
| Merrill Lynch, Pierce, Fenner & Smith Inc. | Bank of America | investor protection violation | 2018 | SEC | $15,700,000 |
| HSBC Bank | HSBC | wage and hour violation | 2013 | private lawsuit-federal | $15,625,000 |
| El Paso Electric Corporation | JPMorgan Chase | energy market violation | 2003 | FERC | $15,500,000 |
| USAA Federal Savings Bank | USAA | consumer protection violation | 2019 | CFPB | $15,500,000 |
| RBC Capital Markets LLC | Royal Bank of Canada | price-fixing or anti-competitive practices | 2018 | private lawsuit-federal | $15,500,000 |
| CashCall, Inc. | CashCall Inc. | consumer protection violation | 2017 | VA-AG | $15,335,000 |
| Citigroup Global Markets, Inc. | Citigroup | investor protection violation | 2007 | FINRA | $15,200,000 |
| Merrill Lynch, Pierce, Fenner & Smith, Inc. | Bank of America | investor protection violation | 2022 | FINRA | $15,200,000 |
| Encore Capital Group, Inc. | Encore Capital Group | consumer protection violation | 2020 | CFPB | $15,079,308 |
| Guaranteed Rate Inc. | Guaranteed Rate Inc. | False Claims Act and related | 2020 | DOJ_CIVIL | $15,060,000 |
| UBS Financial Services | UBS | investor protection violation | 2016 | SEC | $15,025,882 |
| ACE Cash Express | ACE Cash Express | consumer protection violation | 2014 | CFPB | $15,000,000 |
| Goldman Sachs & Co. | Goldman Sachs | investor protection violation | 2016 | SEC | $15,000,000 |
| UBS Financial Services Inc. of Puerto Rico | UBS | investor protection violation | 2015 | SEC | $15,000,000 |
| Citigroup Global Markets | Citigroup | investor protection violation | 2015 | SEC | $15,000,000 |
| Barclays Capital Inc. | Barclays | investor protection violation | 2014 | SEC | $15,000,000 |
| Balli Aviation Ltd. and Balli Group PLC | Balli Group | export control violation | 2010 | BIS | $15,000,000 |
| Macquarie Capital (USA) Inc. | Macquarie | investor protection violation | 2015 | SEC | $15,000,000 |
| TD Bank | Toronto-Dominion Bank | investor protection violation | 2013 | SEC | $15,000,000 |
| RenaissanceRe Holdings Ltd. | RenaissanceRe Holdings | accounting fraud or deficiencies | 2007 | SEC | $15,000,000 |
| Ameriprise Financial, Inc. | Ameriprise Financial | investor protection violation | 2005 | SEC | $15,000,000 |
| Conseco, Inc. | CNO Financial | investor protection violation | 2004 | SEC | $15,000,000 |
| U.S. Bank National Association | U.S. Bancorp | banking violation | 2017 | OCC | $15,000,000 |
| UBS AG | UBS | investor protection violation | 2018 | CFTC | $15,000,000 |
| US Bancorp | U.S. Bancorp | banking violation | 2018 | FED | $15,000,000 |
| Wells Fargo | Wells Fargo | wage and hour violation | 2014 | private lawsuit-federal | $15,000,000 |
| PNC Bank, National Association | PNC Financial Services | banking violation | 2018 | OCC | $15,000,000 |
| R.R. Donnelley & Sons | Chatham Asset Management | employment discrimination | 2003 | private lawsuit-federal | $15,000,000 |
| R.R. Donnelley & Sons | Chatham Asset Management | employment discrimination | 2004 | private lawsuit-federal | $15,000,000 |
| Fiserv Securities, Inc. | Fidelity Investments | investor protection violation | 2005 | SEC | $15,000,000 |
| Conseco, Inc. | CNO Financial | investor protection violation | 2004 | NY-AG | (*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $15,000,000 |
| New York Life Insurance Company | New York Life Insurance | insurance violation | 2013 | MULTI-AG | $15,000,000 |
| UnumProvident Corporation | Unum | consumer protection violation | 2004 | MULTI-AG | $15,000,000 |
| BGC Financial, LP | BGC Partners | investor protection violation | 2019 | CFTC | $15,000,000 |
| Raymond James & Associates, Inc. et al. | Raymond James Financial | investor protection violation | 2019 | SEC | $15,000,000 |
| Barclays Bank PLC | Barclays | workplace whistleblower retaliation | 2018 | NY-DFS | $15,000,000 |
| Farmers Insurance Group | Zurich Insurance | insurance violation | 2002 | TX-INS | $15,000,000 |
| Credit Suisse Securities (USA) LLC | Credit Suisse | investor protection violation | 2008 | MULTI-FIN | $15,000,000 |
| Deutsche Bank Securities Inc. | Deutsche Bank | 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. $15,000,000 |
