| BBVA Suiza S.A. | Banco Bilbao Vizcaya Argentaria | tax violations | 2015 | DOJ_TAX | $10,390,000 |
| Invesco Trust Company | Invesco | benefit plan administrator violation | 2016 | EBSA | $10,270,000 |
| Robinhood Financial LLC | Robinhood Markets | investor protection violation | 2023 | MULTI-FIN | $10,200,000 |
| 1st Financial Bank USA | 1st Financial Bank USA | banking violation | 2010 | FDIC | $10,140,000 |
| Allstate Fire and Casualty Insurance Co. | Allstate | consumer protection violation | 2021 | private lawsuit-federal | $10,092,600 |
| Allianz Life Insurance Company of North America | Allianz | insurance violation | 2008 | CA-INS | $10,050,000 |
| U.S. Bank National Association | U.S. Bancorp | banking violation | 2016 | OCC | $10,000,000 |
| RBS Citizens, National Association | Citizens Financial Group | banking violation | 2015 | OCC | $10,000,000 |
| TCF National Bank | Huntington Bancshares | banking violation | 2013 | OCC | $10,000,000 |
| TD Ameritrade Inc. | Charles Schwab Corp. | investor protection violation | 2011 | SEC | $10,000,000 |
| HSBC | HSBC | mortgage abuses | 2014 | USAO | $10,000,000 |
| Merrill Lynch | Bank of America | investor protection violation | 2016 | SEC | $10,000,000 |
| Merrill Lynch | Bank of America | investor protection violation | 2011 | SEC | $10,000,000 |
| Santander Bank, N.A. | Banco Santander | consumer protection violation | 2016 | CFPB | $10,000,000 |
| BankAtlantic | Truist Financial | anti-money-laundering deficiencies | 2006 | DOJ_CRIMINAL | $10,000,000 |
| Bank of China | Bank of China | banking violation | 2002 | OCC | $10,000,000 |
| Morgan Stanley & Co. | Morgan Stanley | investor protection violation | 2006 | SEC | $10,000,000 |
| Morgan Stanley & Co. | Morgan Stanley | data submission deficiencies | 2006 | SEC | $10,000,000 |
| Southwest Securities, Inc. | Hilltop Holdings | investor protection violation | 2005 | SEC | $10,000,000 |
| Banc of America Securities LLC | Bank of America | investor protection violation | 2004 | SEC | $10,000,000 |
| American International Group, Inc. | American International Group | accounting fraud or deficiencies | 2003 | SEC | $10,000,000 |
| Union Bank of California, N.A. | U.S. Bancorp | anti-money-laundering deficiencies | 2007 | FINCEN | $10,000,000 |
| AmSouth | Regions Financial | anti-money-laundering deficiencies | 2004 | FINCEN | $10,000,000 |
| NASDAQ Stock Market, LLC and NASDAQ Execution Services, LLC | Nasdaq Inc. | investor protection violation | 2013 | SEC | $10,000,000 |
| BMO Harris Bank, N.A. | Bank of Montreal | fraud | 2018 | USAO | $10,000,000 |
| Metropolitan Life | MetLife | employment discrimination | 2003 | private lawsuit-federal | $10,000,000 |
| State Street Corporation | State Street Corp. | benefit plan administrator violation | 2014 | private lawsuit-federal | $10,000,000 |
| Merrill Lynch | Bank of America | benefit plan administrator violation | 2012 | private lawsuit-federal | $10,000,000 |
| Bear Stearns Companies, Inc. | JPMorgan Chase | benefit plan administrator violation | 2012 | private lawsuit-federal | $10,000,000 |
| Allianz Life Insurance Company of North America | Allianz | insurance violation | 2012 | MULTI-AG | $10,000,000 |
| CIT Group/Equipment Financing, Inc. | First Citizens BancShares | consumer protection violation | 2005 | MULTI-AG | $10,000,000 |
| Credit Suisse Securities (USA) LLC | UBS | investor protection violation | 2018 | 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. $10,000,000 |
| Merrill Lynch Pierce Fenner & Smith Inc. | Bank of America | investor protection violation | 2005 | NJ-AG | $10,000,000 |
| RBS Securities Inc. | NatWest Group PLC | toxic securities abuses | 2016 | VA-AG | $10,000,000 |
| State Farm Mutual Automobile Insurance Co. | State Farm Insurance | consumer protection violation | 2005 | TX-AG | $10,000,000 |
| Wells Fargo Financial Leasing, Inc. | Wells Fargo | consumer protection violation | 2005 | MULTI-AG | $10,000,000 |
| GFI Securities, LLC | BGC Partners | investor protection violation | 2019 | CFTC | $10,000,000 |
| Metropolitan Life Insurance Company, Inc. | MetLife | insurance violation | 2014 | NY-MANDA | $10,000,000 |
| MetLife, Inc. | MetLife | investor protection violation | 2019 | SEC | $10,000,000 |
| QBE Insurance Corp. | QBE Insurance | insurance violation | 2013 | NY-DFS | $10,000,000 |
| Allstate | Allstate | insurance violation | 2010 | MULTI-FIN | $10,000,000 |
| UBS Financial Services Inc. | UBS | investor protection violation | 2020 | SEC | $10,000,000 |
| Wells Fargo & Co. | Wells Fargo | discriminatory practices (non-employment) | 2019 | private lawsuit-federal | $10,000,000 |
| Morgan Stanley Smith Barney LLC | Morgan Stanley | anti-money-laundering deficiencies | 2018 | FINRA | $10,000,000 |
| Ameritrade, Inc. | Charles Schwab Corp. | investor protection violation | 2004 | FINRA | $10,000,000 |
| Bank of America | Bank of America | consumer protection violation | 2022 | CFPB | $10,000,000 |
| Cantor Fitzgerald & Co. | Cantor Fitzgerald | investor protection violation | 2022 | SEC | $10,000,000 |
| Bank of America, N.A. (USA) | Bank of America | consumer protection violation | 2015 | private lawsuit-federal | $10,000,000 |
| BNY Mellon | Bank of New York Mellon | consumer protection violation | 2019 | private lawsuit-federal | $10,000,000 |
| Capital One N.A. | Capital One Financial | consumer protection violation | 2013 | private lawsuit-federal | $10,000,000 |
| Washington Mutual | JPMorgan Chase | consumer protection violation | 2015 | private lawsuit-federal | $10,000,000 |
| PNC Merchant Services Company, L.P. | PNC Financial Services | consumer protection violation | 2022 | private lawsuit-federal | $10,000,000 |
| Wedbush Securities Inc. | Wedbush Securities | investor protection violation | 2023 | SEC | $10,000,000 |
| Goldman Sachs | Goldman Sachs | employment discrimination | 2019 | OFCCP | $9,995,000 |
| Citibank N.A. | Citigroup | price-fixing or anti-competitive practices | 2022 | private lawsuit-federal | $9,990,000 |
| Citigroup Inc. | Citigroup | price-fixing or anti-competitive practices | 2020 | private lawsuit-federal | $9,950,000 |
| Bank of America, N.A. | Bank of America | consumer protection violation | 2011 | private lawsuit-federal | $9,950,000 |
| TD Bank | Toronto-Dominion Bank | wage and hour violation | 2015 | private lawsuit-federal | $9,900,000 |
| Robinhood Financial LLC | Robinhood Markets | consumer protection violation | 2023 | 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 |
| Midland Funding LLC | Encore Capital Group | consumer protection violation | 2019 | private lawsuit-federal | $9,805,000 |
| 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 |
| Fifth Third Bank | Fifth Third Bancorp | consumer protection violation | 2011 | private lawsuit-federal | $9,500,000 |
| JPMorgan Chase & Co. | JPMorgan Chase | consumer protection violation | 2019 | 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 |
| BMO Harris | Bank of Montreal | consumer protection violation | 2013 | private lawsuit-federal | $9,400,000 |
| 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 |
