| 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 |
| Interactive Brokers LLC | Interactive Brokers Group | anti-money-laundering deficiencies | 2020 | FINRA | $15,000,000 |
| BNP Paribas Securities Corp. and BNP Paribas Prime Brokerage, Inc. | BNP Paribas | anti-money-laundering deficiencies | 2019 | FINRA | $15,000,000 |
| Wells Fargo Advisors, LLC and Wells Fargo Advisors Financial Network, LLC | Wells Fargo | investor protection violation | 2015 | FINRA | $15,000,000 |
| Citigroup Global Markets, Inc. | Citigroup | investor protection violation | 2014 | FINRA | $15,000,000 |
| TitleMax and TMX Finance | TMX Finance | consumer protection violation | 2023 | CFPB | $15,000,000 |
| Deutsche Bank | Deutsche Bank | price-fixing or anti-competitive practices | 2020 | private lawsuit-federal | $15,000,000 |
| JPMorgan Chase & Co. | JPMorgan Chase | price-fixing or anti-competitive practices | 2021 | private lawsuit-federal | $15,000,000 |
| Goldman Sachs | Goldman Sachs | investor protection violation | 2023 | CFTC | $15,000,000 |
| Bank of Nova Scotia | Scotiabank | investor protection violation | 2023 | CFTC | $15,000,000 |
| HSBC Securities (USA) Inc. | HSBC | investor protection violation | 2023 | SEC | $15,000,000 |
| ING Life Insurance & Annuity Co. | Voya Financial | benefit plan administrator violation | 2014 | private lawsuit-federal | $14,950,000 |
| BNY Mellon | Bank of New York Mellon | Foreign Corrupt Practices Act | 2015 | SEC | $14,800,000 |
| Aon Corporation | Aon | Foreign Corrupt Practices Act | 2011 | SEC | $14,545,020 |
| First Tennessee Bank NA | First Horizon National | price-fixing or anti-competitive practices | 2020 | private lawsuit-federal | $14,500,000 |
| Wells Fargo Bank, N.A. | Wells Fargo | investor protection violation | 2019 | CFTC | $14,475,000 |
| UBS Securities LLC | UBS | investor protection violation | 2015 | SEC | $14,400,000 |
| Morgan Stanley Capital Group | Morgan Stanley | data submission deficiencies | 2010 | CFTC | $14,000,000 |
| Goldman Sachs | Goldman Sachs | mortgage abuses | 2018 | FED | $14,000,000 |
| New York Stock Exchange | IntercontinentalExchange Group | investor protection violation | 2018 | SEC | $14,000,000 |
| Merrill Lynch | Bank of America | wage and hour violation | 2016 | private lawsuit-federal | $14,000,000 |
| New York Life Insurance | New York Life Insurance | benefit plan administrator violation | 2008 | private lawsuit-federal | $14,000,000 |
| Union Bancaire Privee, UBP SA | Union Bancaire Privee | tax violations | 2020 | DOJ_TAX | $14,000,000 |
| Assurant, Inc. | Assurant | insurance violation | 2013 | NY-DFS | $14,000,000 |
| Merrill Lynch, Pierce, Fenner & Smith | Bank of America | investor protection violation | 2005 | FINRA | $14,000,000 |
| John Hancock Life Insurance Company | Manulife Financial | benefit plan administrator violation | 2021 | private lawsuit-federal | $14,000,000 |
| HSBC Bank USA N.A. | HSBC | price-fixing or anti-competitive practices | 2018 | private lawsuit-federal | $14,000,000 |
| UBS AG | UBS | price-fixing or anti-competitive practices | 2018 | private lawsuit-federal | $14,000,000 |
| Franklin Resources, Inc. | Franklin Resources | benefit plan administrator violation | 2019 | private lawsuit-federal | $13,850,000 |
| Wells Fargo Bank | Wells Fargo | mortgage abuses | 2015 | MD-AG | $13,800,000 |
| Hartford Life Insurance Company | Hartford Financial Services | benefit plan administrator violation | 2010 | private lawsuit-federal | $13,775,000 |
| Barclays Capital, Inc. | Barclays | investor protection violation | 2015 | FINRA | $13,750,000 |
| Merrill Lynch | Bank of America | toxic securities abuses | 2008 | MA-AG | $13,700,000 |
| E-Loan Inc. | Popular Inc. | wage and hour violation | 2007 | private lawsuit-federal | $13,600,000 |
| Bank of America | Bank of America | fraud | 2010 | DC-AG | $13,502,852 |
| Metropolitan Life Insurance Company | MetLife | kickbacks and bribery | 2010 | USAO | $13,500,000 |
| LaSalle Bank | Bank of America | benefit plan administrator violation | 2011 | private lawsuit-federal | $13,500,000 |
| US Bank | U.S. Bancorp | housing code violation | 2016 | CA-LACA | $13,500,000 |
| Edward D. Jones & Co., L.P. | Jones Financial | investor protection violation | 2015 | FINRA | $13,500,000 |
| State Farm | State Farm Insurance | insurance violation | 2017 | CA-INS | $13,335,701 |
| Fidelity National Title Insurance Co. et al. | Fidelity National Financial | insurance violation | 2005 | CA-INS | $13,300,000 |
| John Hancock Life Insurance Company | Manulife Financial | insurance violation | 2012 | MULTI-FIN | $13,300,000 |
| Mizuho Bank Ltd | Mizuho Financial | price-fixing or anti-competitive practices | 2019 | private lawsuit-federal | $13,083,333 |
| Norinchukin Bank | Norinchukin Bank | price-fixing or anti-competitive practices | 2019 | private lawsuit-federal | $13,083,333 |
| Morgan Stanley Smith Barney LLC | Morgan Stanley | investor protection violation | 2017 | FINRA | $13,030,000 |
| Morgan Stanley Smith Barney | Morgan Stanley | investor protection violation | 2017 | SEC | $13,000,000 |
| Mastercard International Inc. | MasterCard | consumer protection violation | 2017 | CFPB | $13,000,000 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Bank of America | anti-money-laundering deficiencies | 2017 | SEC | $13,000,000 |
| Wells Fargo | Wells Fargo | wage and hour violation | 2017 | private lawsuit-state | $13,000,000 |
| Bank of America | Bank of America | fraud | 2016 | DC-AG | $13,000,000 |
| CashCall Inc. | CashCall Inc. | consumer protection violation | 2015 | WV-AG | $13,000,000 |
| MoneyGram Payment Systems | MoneyGram International | consumer protection violation | 2016 | MULTI-AG | $13,000,000 |
| American Express Financial Advisors | Ameriprise Financial | investor protection violation | 2005 | FINRA | $13,000,000 |
| Royal Bank of Scotland Group | NatWest Group PLC | price-fixing or anti-competitive practices | 2020 | private lawsuit-federal | $13,000,000 |
| Dain Rauscher Incorporated | Royal Bank of Canada | investor protection violation | 2000 | SEC | $12,941,191 |
| Citigroup Global Markets Inc. | Citigroup | investor protection violation | 2018 | SEC | $12,937,475 |
| Barclays PLC | Barclays | price-fixing or anti-competitive practices | 2018 | DOJ_CRIMINAL | $12,896,011 |
| Wells Fargo | Wells Fargo | wage and hour violation | 2007 | private lawsuit-federal | $12,800,000 |
| Willis Group | Willis Towers Watson | employment discrimination | 2008 | private lawsuit-federal | $12,757,949 |
| Barclays Capital Inc. | Barclays | investor protection violation | 2017 | SEC | $12,710,040 |
| Lincoln National Life Insurance Company | Lincoln National | insurance violation | 2013 | MULTI-AG | $12,600,000 |
| HSBC Private Bank (Suisse) | HSBC | investor protection violation | 2014 | SEC | $12,500,000 |
| Thomas Weisel Partners LLC | Stifel Financial | investor protection violation | 2004 | SEC | $12,500,000 |
| Merrill Lynch | Bank of America | investor protection violation | 2016 | SEC | $12,500,000 |
| Prudential Financial | Prudential Financial | wage and hour violation | 2017 | private lawsuit-federal | $12,500,000 |
| Bank of China | Bank of China | banking violation | 2018 | OCC | $12,500,000 |
| American International Group, Inc. | American International Group | price-fixing or anti-competitive practices | 2008 | MULTI-AG | $12,500,000 |
| U.S. Bancorp Piper Jaffray Inc. | Piper Sandler | 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. $12,500,000 |
| Deutsche Bank Securities Inc. | Deutsche Bank | investor protection violation | 2016 | FINRA | $12,500,000 |
| Morgan Stanley & Co. | Morgan Stanley | investor protection violation | 2007 | FINRA | $12,500,000 |
| Knight Securities, L.P. | Virtu Financial | investor protection violation | 2004 | FINRA | $12,500,000 |
| Bank of Nova Scotia | Scotiabank | price-fixing or anti-competitive practices | 2022 | private lawsuit-federal | $12,500,000 |
| Barclays Bank PLC | Barclays | price-fixing or anti-competitive practices | 2022 | private lawsuit-federal | $12,500,000 |
| Societe Generale | Societe Generale | price-fixing or anti-competitive practices | 2022 | private lawsuit-federal | $12,500,000 |
| Allianz SE | Allianz | Foreign Corrupt Practices Act | 2012 | SEC | $12,396,423 |
| Wachovia Corporation | Wells Fargo | benefit plan administrator violation | 2011 | private lawsuit-federal | $12,350,000 |
| Ameriprise Financial Services, Inc. | Ameriprise Financial | investor protection violation | 2005 | FINRA | $12,300,000 |
| Interactive Brokers LLC | Interactive Brokers Group | anti-money-laundering deficiencies | 2020 | CFTC | $12,206,214 |
| H&R Block | H&R Block | consumer protection violation | 2010 | NY-AG | $12,150,000 |
| BlackRock Advisors LLC | BlackRock | investor protection violation | 2015 | SEC | $12,000,000 |
| Goldman Sachs & Co. | Goldman Sachs | illicit political contributions | 2012 | SEC | $12,000,000 |
| Capital One N.A. | Capital One Financial | consumer protection violation | 2012 | DOJ_RIGHTS | $12,000,000 |
| State Street Bank and Trust Company | State Street Corp. | illicit political contributions | 2016 | SEC | $12,000,000 |
| Israel Discount Bank | Israel Discount Bank | anti-money-laundering deficiencies | 2006 | FINCEN | $12,000,000 |
| JPMorgan Chase | JPMorgan Chase | wage and hour violation | 2015 | private lawsuit-federal | $12,000,000 |
| Old Republic Title | Old Republic International | wage and hour violation | 2014 | private lawsuit-federal | $12,000,000 |
| Merrill Lynch | Bank of America | wage and hour violation | 2013 | private lawsuit-federal | $12,000,000 |
| A.G. Edwards | Wells Fargo | wage and hour violation | 2009 | private lawsuit-federal | $12,000,000 |
| Knight Capital Americas LLC | Virtu Financial | investor protection violation | 2013 | SEC | $12,000,000 |
| Commerzbank AG | Commerzbank | investor protection violation | 2018 | CFTC | $12,000,000 |
| Allianz Asset Management of America, L.P. | Allianz | benefit plan administrator violation | 2018 | private lawsuit-federal | $12,000,000 |
| FMR LLC | Fidelity Investments | benefit plan administrator violation | 2014 | private lawsuit-federal | $12,000,000 |
| Wells Fargo Bank | Wells Fargo | employment screening violation | 2016 | private lawsuit-federal | $12,000,000 |
| Fannie Mae | Fannie Mae | consumer protection violation | 2008 | NY-AG | $12,000,000 |
| Freddie Mac | Freddie Mac (Federal Home Loan Mortgage Corporation) | consumer protection violation | 2008 | NY-AG | $12,000,000 |
| American International Group | American International Group | insurance violation | 2021 | NY-DFS | $12,000,000 |
| UBS Securities LLC | UBS | investor protection violation | 2011 | FINRA | $12,000,000 |
| Encore Capital Group, Inc. et al. | Encore Capital Group | consumer protection violation | 2022 | MA-AG | $12,000,000 |
| Santander Consumer USA Inc. | Banco Santander | consumer protection violation | 2018 | CFPB | $11,790,000 |
| Allstate Corporation | Allstate | discriminatory practices (non-employment) | 2007 | private lawsuit-federal | $11,720,000 |
| RBC Capital Markets, LLC | Royal Bank of Canada | investor protection violation | 2019 | SEC | $11,715,395 |
. 