| TD Bank | Toronto-Dominion Bank | wage and hour violation | 2015 | private lawsuit-federal | $9,900,000 |
| Glencore Ltd. | Glencore | price-fixing or anti-competitive practices | 2022 | private lawsuit-federal | $9,850,000 |
| PROGRESSIVE DIRECT INSURANCE | Progressive | insurance violation | 2017 | VA-INS | $9,839,379 |
| RBC Capital Markets Corporation | Royal Bank of Canada | 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. $9,800,000 |
| Banc of America Investment Services, Inc. | Bank of America | investor protection violation | 2008 | SEC | $9,763,634 |
| Piper Jaffray & Co. | Piper Sandler | price-fixing or anti-competitive practices | 2016 | private lawsuit-federal | $9,750,000 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Bank of America | investor protection violation | 2023 | SEC | $9,660,000 |
| CashCall Inc. | CashCall Inc. | consumer protection violation | 2017 | SC-FIN | $9,650,000 |
| BlackRock Institutional Trust Company, N.A. | BlackRock | benefit plan administrator violation | 2021 | private lawsuit-federal | $9,650,000 |
| Countrywide Home Loans Inc. | Bank of America | wage and hour violation | 2015 | private lawsuit-federal | $9,649,000 |
| U.S. Bank Pension Plan | U.S. Bancorp | benefit plan administrator violation | 2012 | private lawsuit-federal | $9,600,000 |
| General Motors Acceptance Corp. | Ally Financial | discriminatory practices (non-employment) | 2004 | private lawsuit-federal | $9,600,000 |
| Deutsche Bank Securities | Deutsche Bank | investor protection violation | 2016 | SEC | $9,500,000 |
| PNC Bank N.A. | PNC Financial Services | False Claims Act and related | 2016 | USAO | $9,500,000 |
| Wells Fargo Advisors, LLC | Wells Fargo | wage and hour violation | 2018 | private lawsuit-federal | $9,500,000 |
| Massachusetts Mutual Life Insurance Co. | Massachusetts Mutual Life Insurance | benefit plan administrator violation | 2015 | private lawsuit-federal | $9,475,000 |
| Santander Consumer USA Inc. | Banco Santander | consumer protection violation | 2015 | DOJ_RIGHTS | $9,350,000 |
| HSBC Bank USA | HSBC | benefit plan administrator violation | 2005 | private lawsuit-federal | $9,350,000 |
| Liberty National Life Insurance Company | Globe Life Inc. | discriminatory practices (non-employment) | 2006 | private lawsuit-federal | $9,350,000 |
| LPL Financial LLC | LPL Financial | investor protection violation | 2019 | SEC | $9,333,516 |
| Goldman Sachs | Goldman Sachs | investor protection violation | 2003 | SEC | $9,305,382 |
| Western Sky Financial LLC et al. | CashCall Inc. | consumer protection violation | 2016 | NC-BKG | $9,275,000 |
| Towers Perrin | Willis Towers Watson | benefit plan administrator violation | 2011 | private lawsuit-federal | $9,200,000 |
| American International Insurance Group Inc. | American International Group | insurance violation | 2008 | PA-INS | $9,125,400 |
| Nationstar Mortgage, LLC dba Mr. Cooper | Mr. Cooper Group | consumer protection violation | 2017 | CA-DFPI | $9,118,784 |
| Provident Funding Associates | Provident Funding Associates | consumer protection violation | 2015 | CFPB | $9,000,000 |
| AMERICAN EXPRESS COMPANY | American Express | banking violation | 2012 | FED | $9,000,000 |
| TMX Finance LLC | TMX Finance | consumer protection violation | 2016 | CFPB | $9,000,000 |
| Union Savings Bank and Guardian Savings Bank | Union Savings Bank | discriminatory practices (non-employment) | 2016 | DOJ_RIGHTS | $9,000,000 |
| Bank of America | Bank of America | wage and hour violation | 2015 | private lawsuit-federal | $9,000,000 |
| JPMorgan Chase | JPMorgan Chase | wage and hour violation | 2012 | private lawsuit-federal | $9,000,000 |
| Bank of America | Bank of America | wage and hour violation | 2006 | private lawsuit-federal | $9,000,000 |
| ACE Limited | Chubb Limited | price-fixing or anti-competitive practices | 2007 | PA-AG | $9,000,000 |
| American International Group | American International Group | price-fixing or anti-competitive practices | 2010 | OH-AG | $9,000,000 |
| Barclays Capital Inc. | Barclays | toxic securities abuses | 2016 | VA-AG | $9,000,000 |
| CashCall and Western Sky | CashCall Inc. | consumer protection violation | 2016 | NC-AG | $9,000,000 |
| Prudential Insurance Company Of America | Prudential Financial | benefit plan administrator violation | 2019 | private lawsuit-federal | $9,000,000 |
| Deutsche Bank AG | Deutsche Bank | investor protection violation | 2020 | CFTC | $9,000,000 |
| JPMorgan Chase & Co. | JPMorgan Chase | employment discrimination | 2020 | OFCCP | $9,000,000 |
| LPL Financial LLC | LPL Financial | investor protection violation | 2013 | FINRA | $9,000,000 |
| Credit Suisse Securities | Credit Suisse | investor protection violation | 2022 | FINRA | $9,000,000 |
| Park National Bank | Park National Corp. | discriminatory practices (non-employment) | 2023 | DOJ_RIGHTS | $9,000,000 |
| Citizens Bank | Citizens Financial Group | consumer protection violation | 2023 | CFPB | $9,000,000 |
| Merrill Lynch, Pierce, Fenner & Smith | Bank of America | investor protection violation | 2018 | SEC | $8,900,000 |
| Household Finance Corp. of California and Beneficial California, Inc. | HSBC | mortgage abuses | 2002 | CA-DFPI | $8,900,000 |
| Credit Suisse AG | Credit Suisse | price-fixing or anti-competitive practices | 2022 | private lawsuit-federal | $8,875,000 |
| Merrill Lynch, Pierce and Fenner & Smith Incorporated | Bank of America | investor protection violation | 2018 | SEC | $8,872,723 |
| Citizens Bank | Citizens Financial Group | banking violation | 2015 | FDIC | $8,800,000 |
| Morgan Stanley Investment Management | Morgan Stanley | investor protection violation | 2015 | SEC | $8,800,000 |
| Transamerica Financial Advisors, Inc. | Aegon | investor protection violation | 2020 | FINRA | $8,800,000 |
| Ameriprise Financial Services, Inc. | Ameriprise Financial | investor protection violation | 2017 | SEC | $8,750,000 |
| Nomura Securities International Inc. | Nomura | price-fixing or anti-competitive practices | 2018 | private lawsuit-federal | $8,750,000 |
| Wells Fargo Bank, N.A. | Wells Fargo | price-fixing or anti-competitive practices | 2018 | private lawsuit-federal | $8,750,000 |
| Affinion Group Holdings, Inc. | JPMorgan Chase | consumer protection violation | 2015 | CFPB | $8,700,000 |
| Raymond James & Associates, Inc. and Raymond James Financial Services, Inc. | Raymond James Financial | investor protection violation | 2015 | FINRA | $8,700,000 |
| Buckeye Pipe Line Company, L.P. and West Shore Pipe Line Comany | IFM Investors | environmental violation | 2021 | IL-ENV | $8,700,000 |
| Citigroup | Citigroup | banking violation | 2018 | FED | $8,600,000 |
| Providian Financial Corp. | JPMorgan Chase | benefit plan administrator violation | 2003 | private lawsuit-federal | $8,600,000 |
| Unum Life Insurance Company of America et al. | Unum | insurance violation | 2005 | CA-INS | $8,598,503 |
| Bank of Tokyo-Mitsubishi UFJ, Ltd. | Mitsubishi UFJ Financial Group | economic sanction violation | 2012 | OFAC | $8,571,634 |
| Charles Schwab & Co., Inc. et al. | Charles Schwab Corp. | investor protection violation | 2011 | IL-SEC | $8,567,364 |
| Western Union Financial Services | Western Union | consumer protection violation | 2005 | MULTI-AG | $8,529,000 |
| First BanCorp | First Bancorp (Puerto Rico) | accounting fraud or deficiencies | 2007 | SEC | $8,500,000 |
| Combined Insurance Company of America | Chubb Limited | employment discrimination | 2005 | private lawsuit-federal | $8,500,000 |
| Citigroup Inc. | Citigroup | benefit plan administrator violation | 2014 | private lawsuit-federal | $8,500,000 |
| Wells Fargo Bank | Wells Fargo | privacy violation | 2016 | CA-AG | $8,500,000 |
| Israel Discount Bank of New York | Israel Discount Bank | anti-money-laundering deficiencies | 2005 | NY-MANDA | $8,500,000 |
| Morgan Stanley & Co. | Morgan Stanley | investor protection violation | 2009 | MULTI-FIN | $8,500,000 |
| SG Americas Securities, LLC | Societe Generale | investor protection violation | 2009 | SEC | $8,384,932 |
| JPMorgan Chase | JPMorgan Chase | wage and hour violation | 2018 | private lawsuit-federal | $8,333,333 |
| MoneyGram International Inc. | MoneyGram International | anti-money-laundering deficiencies | 2022 | NY-DFS | $8,250,000 |
| Popular, Inc. | Popular Inc. | benefit plan administrator violation | 2012 | private lawsuit-federal | $8,200,000 |
| UBS Financial Services Inc. | UBS | investor protection violation | 2021 | SEC | $8,112,174 |
| Wedbush Securities Inc. | Wedbush Securities | investor protection violation | 2019 | SEC | $8,100,000 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Bank of America | investor protection violation | 2019 | SEC | $8,014,000 |
| Zions First National Bank | Zions Bancorporation | banking violation | 2011 | OCC | $8,000,000 |
| UBS Securities LLC | UBS | investor protection violation | 2011 | SEC | $8,000,000 |
| Nationwide Life Insurance Company | Nationwide | investor protection violation | 2015 | SEC | $8,000,000 |
| Credit Agricole S.A. | Credit Agricole | banking violation | 2004 | FED | $8,000,000 |
| Crawford Healthcare Management of Norfolk & Baltimore | Crawford & Co. | fraud | 2003 | DOJ_CRIMINAL | $8,000,000 |
| Fidelity Investments | Fidelity Investments | kickbacks and bribery | 2008 | SEC | $8,000,000 |
| Morgan Stanley Smith Barney | Morgan Stanley | investor protection violation | 2017 | SEC | $8,000,000 |
| Morgan Stanley | Morgan Stanley | mortgage abuses | 2018 | FED | $8,000,000 |
| Farmers Insurance Exchange | Farmers Insurance Exchange | wage and hour violation | 2010 | private lawsuit-federal | $8,000,000 |
| Affinion Group, Inc. | JPMorgan Chase | consumer protection violation | 2010 | NY-AG | $8,000,000 |
| American International Group Inc. | American International Group | investor protection violation | 2010 | OR-AG | $8,000,000 |
| Wells Fargo | Wells Fargo | consumer protection violation | 2016 | WV-AG | $8,000,000 |
| Western Union Financial Services, Inc. | Western Union | anti-money-laundering deficiencies | 2002 | NY-DFS | $8,000,000 |
| Raymond James & Associates, Inc. and Raymond James Financial Services, Inc. | Raymond James Financial | investor protection violation | 2019 | FINRA | $8,000,000 |
| Brown Brothers Harriman & Co. | Brown Brothers Harriman | anti-money-laundering deficiencies | 2014 | FINRA | $8,000,000 |
| BNP Paribas SA | BNP Paribas | price-fixing or anti-competitive practices | 2022 | private lawsuit-federal | $8,000,000 |
| Deutsche Bank AG | Deutsche Bank | price-fixing or anti-competitive practices | 2022 | private lawsuit-federal | $8,000,000 |
| Royal Bank of Canada | Royal Bank of Canada | price-fixing or anti-competitive practices | 2022 | private lawsuit-federal | $8,000,000 |
| Royal Bank of Scotland PLC | NatWest Group PLC | price-fixing or anti-competitive practices | 2022 | private lawsuit-federal | $8,000,000 |
| UBS AG | UBS | price-fixing or anti-competitive practices | 2022 | private lawsuit-federal | $8,000,000 |
| Morgan Stanley & Co. Incorporated | Morgan Stanley | investor protection violation | 2007 | SEC | $7,957,200 |
| Citibank | Citigroup | consumer protection violation | 2016 | CFPB | $7,890,000 |
| CitiMortgage, Inc. | Citigroup | consumer protection violation | 2019 | CA-DFPI | $7,800,000 |
| Deutsche Bank Securities Inc. | Deutsche Bank | investor protection violation | 2010 | NC-SEC | $7,800,000 |
| Wells Fargo Bank, N.A. | Wells Fargo | employment discrimination | 2020 | OFCCP | $7,800,000 |
| Globe Life Insurance Company of New York | Globe Life Inc. | insurance violation | 2019 | NY-DFS | $7,769,000 |
