| AIM Advisors, Inc. and AIM Distributors, Inc. | Invesco | investor protection violation | 2004 | SEC | $50,000,000 |
| PA Fund Management LLC, PEA Capital LLC and PA Distributors LLC | Allianz | investor protection violation | 2004 | SEC | $50,000,000 |
| Franklin Advisers, Inc. | Franklin Resources | investor protection violation | 2004 | SEC | $50,000,000 |
| Banc One Investment Advisors Corporation | JPMorgan Chase | investor protection violation | 2004 | SEC | $50,000,000 |
| Massachusetts Financial Services Company | Sun Life Financial | investor protection violation | 2004 | SEC | $50,000,000 |
| Morgan Stanley DW Inc. | Morgan Stanley | investor protection violation | 2003 | SEC | $50,000,000 |
| Societe Generale S.A. | Societe Generale | toxic securities abuses | 2017 | USAO | $50,000,000 |
| Wachovia Bank N.A. | Wells Fargo | anti-money-laundering deficiencies | 2010 | USAO | $50,000,000 |
| Rabobank, National Association | Rabobank | anti-money-laundering deficiencies | 2018 | OCC | $50,000,000 |
| Morgan Stanley | Morgan Stanley | wage and hour violation | 2009 | private lawsuit-federal | $50,000,000 |
| ICAP Capital Markets LLC | CME Group | price-fixing or anti-competitive practices | 2018 | CFTC | $50,000,000 |
| Waddell & Reed, Inc. | Macquarie | investor protection violation | 2006 | SEC | $50,000,000 |
| Great American Life Insurance Company | Massachusetts Mutual Life Insurance | insurance violation | 2009 | MN-AG | $50,000,000 |
| JPMorgan Chase | JPMorgan Chase | consumer protection violation | 2015 | CA-AG | $50,000,000 |
| Willis Group Holdings Ltd. | Willis Towers Watson | price-fixing or anti-competitive practices | 2005 | NY-AG | $50,000,000 |
| Wells Fargo | Wells Fargo | consumer protection violation | 2016 | CA-LACA | $50,000,000 |
| Royal Bank of Scotland | NatWest Group PLC | economic sanction violation | 2013 | NY-DFS | $50,000,000 |
| MetLife | MetLife | insurance violation | 2014 | NY-DFS | $50,000,000 |
| Goldman Sachs | Goldman Sachs | investor protection violation | 2015 | NY-DFS | $50,000,000 |
| Bank of America | Bank of America | 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. $50,000,000 |
| Wachovia Securities LLC | Wells Fargo | 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. $50,000,000 |
| The Bank of Nova Scotia | Scotiabank | investor protection violation | 2020 | CFTC | $50,000,000 |
| Morgan Stanley DW Inc. | Morgan Stanley | investor protection violation | 2003 | FINRA | (*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $50,000,000 |
| Credit Suisse First Boston Corporation | UBS | investor protection violation | 2002 | FINRA | (*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $50,000,000 |
| Equitable Financial Life Insurance Company | Equitable Holdings | investor protection violation | 2022 | SEC | $50,000,000 |
| Fifth Third Bank | Fifth Third Bancorp | privacy violation | 2022 | private lawsuit-federal | $50,000,000 |
| Nomura Securities | Nomura | investor protection violation | 2022 | CFTC | $50,000,000 |
| Nomura Securities International, Inc. | Nomura | investor protection violation | 2022 | SEC | $50,000,000 |
| Bank of America N.A. | Bank of America | price-fixing or anti-competitive practices | 2018 | private lawsuit-federal | $50,000,000 |
| Credit Suisse AG | UBS | price-fixing or anti-competitive practices | 2018 | private lawsuit-federal | $50,000,000 |
| Deutsche Bank AG | Deutsche Bank | price-fixing or anti-competitive practices | 2018 | private lawsuit-federal | $50,000,000 |
| Morgan Stanley & Co. LLC | Morgan Stanley | price-fixing or anti-competitive practices | 2018 | private lawsuit-federal | $50,000,000 |
| Royal Bank of Scotland PLC | NatWest Group PLC | price-fixing or anti-competitive practices | 2018 | private lawsuit-federal | $50,000,000 |
| Metropolitan Life Insurance Co. | MetLife | consumer protection violation | 2010 | private lawsuit-federal | $50,000,000 |
| Wells Fargo N.A. | Wells Fargo | consumer protection violation | 2017 | private lawsuit-federal | $50,000,000 |
| American Express Co. | American Express | consumer protection violation | 2012 | private lawsuit-federal | $49,500,000 |
| Washington Mutual Inc. | JPMorgan Chase | benefit plan administrator violation | 2010 | private lawsuit-federal | $49,000,000 |
| Deutsche Bank Securities Inc. | Deutsche Bank | price-fixing or anti-competitive practices | 2021 | private lawsuit-federal | $48,500,000 |
| JPMorgan Chase Bank, National Association | JPMorgan Chase | banking violation | 2016 | OCC | $48,000,000 |
| Credit Suisse (Hong Kong) Limited | UBS | Foreign Corrupt Practices Act | 2018 | DOJ_CRIMINAL | $47,029,916 |
| Nelnet Inc. | Nelnet | False Claims Act and related | 2010 | DOJ_CIVIL | $47,000,000 |
| Household International | HSBC | benefit plan administrator violation | 2004 | private lawsuit-federal | $46,500,000 |
| Regions Bank | Regions Financial | banking violation | 2014 | FED | $46,000,000 |
| American International Group, Inc. | American International Group | investor protection violation | 2004 | SEC | $46,000,000 |
| Morgan Stanley | Morgan Stanley | employment discrimination | 2007 | private lawsuit-federal | $46,000,000 |
| Unum Life Insurance Company of America | Unum | consumer protection violation | 2016 | private lawsuit-federal | $45,998,014 |
| Spear, Leeds & Kellogg Specialists LLC | Goldman Sachs | investor protection violation | 2004 | SEC | $45,272,478 |
| Citibank | Citigroup | consumer protection violation | 2016 | CFPB | $45,000,000 |
| Salomon Smith Barney Inc. | Morgan Stanley | investor protection violation | 2000 | SEC | $45,000,000 |
| UBS | UBS | wage and hour violation | 2007 | private lawsuit-federal | $45,000,000 |
| Fred Alger Management, Inc. | Alger Associates | investor protection violation | 2007 | 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. $45,000,000 |
| Merrill Lynch & Co. | Bank of America | investor protection violation | 2013 | NJ-AG | $45,000,000 |
| PHH Mortgage Corp. | Ocwen Financial | mortgage abuses | 2018 | MULTI-AG | $45,000,000 |
| HSBC Holdings PLC | HSBC | price-fixing or anti-competitive practices | 2018 | private lawsuit-federal | $45,000,000 |
| HSBC Bank USA, N.A. | HSBC | investor protection violation | 2023 | CFTC | $45,000,000 |
| Wells Fargo Bank, N.A. | Wells Fargo | consumer protection violation | 2021 | private lawsuit-federal | $45,000,000 |
| U.S. Bank NA | U.S. Bancorp | consumer protection violation | 2015 | private lawsuit-federal | $44,500,000 |
| Fireman's Fund Insurance Company | Allianz | False Claims Act and related | 2015 | DOJ_CIVIL | $44,000,000 |
| RBS Securities Inc. | NatWest Group PLC | toxic securities abuses | 2017 | USAO | $44,000,000 |
| UBS | UBS | wage and hour violation | 2007 | private lawsuit-federal | $44,000,000 |
| ConvergEx Group LLC | Toronto-Dominion Bank | fraud | 2014 | DOJ_CRIMINAL | $43,800,000 |
| Merrill Lynch | Bank of America | wage and hour violation | 2010 | private lawsuit-federal | $43,500,000 |
| National City Corp. | PNC Financial Services | benefit plan administrator violation | 2010 | private lawsuit-federal | $43,000,000 |
| Deutsche Bank AG | Deutsche Bank | Foreign Corrupt Practices Act | 2021 | SEC | $43,000,000 |
| Industrial and Commercial Bank of China Financial Services LLC | Industrial and Commercial Bank of China | investor protection violation | 2019 | SEC | $42,700,000 |
| JPMorgan Chase & Co. | JPMorgan Chase | price-fixing or anti-competitive practices | 2012 | private lawsuit-federal | $42,600,000 |
| Morgan Stanley | Morgan Stanley | wage and hour violation | 2006 | private lawsuit-federal | $42,500,000 |
| JPMorgan Chase | JPMorgan Chase | wage and hour violation | 2011 | private lawsuit-federal | $42,000,000 |
| Merrill Lynch, Pierce, Fenner & Smith | Bank of America | investor protection violation | 2018 | SEC | $42,000,000 |
| Bank of America Merrill Lynch | Bank of America | investor protection violation | 2018 | NY-AG | $42,000,000 |
| RBS Financial Products | NatWest Group PLC | toxic securities abuses | 2012 | NV-AG | $42,000,000 |
| Western Sky Financial, LLC, CashCall, Inc. | CashCall Inc. | consumer protection violation | 2017 | GA-AG | $42,000,000 |
| Citigroup Inc. | Citigroup | price-fixing or anti-competitive practices | 2018 | private lawsuit-federal | $42,000,000 |
| HSBC Bank PLC | HSBC | price-fixing or anti-competitive practices | 2022 | private lawsuit-federal | $42,000,000 |
| Bank of America N.A. | Bank of America | consumer protection violation | 2018 | private lawsuit-federal | $41,920,374 |
| TD Bank N.A. | Toronto-Dominion Bank | consumer protection violation | 2022 | private lawsuit-federal | $41,500,000 |
| Mercury Insurance Co. and Mercury Casualty Co. and California Automobile Insurance Co. | Mercury General Corporation | insurance violation | 2019 | CA-INS | $41,188,505 |
| Countrywide Financial Corporation | Bank of America | mortgage abuses | 2009 | WI-AG | $41,100,000 |
| ABN AMRO Mortgage Group | ABN AMRO | mortgage abuses | 2006 | HUD | $41,000,000 |
| Deutsche Bank AG | Deutsche Bank | anti-money-laundering deficiencies | 2017 | FED | $41,000,000 |
| State Farm Mutual Insurance Company | State Farm Insurance | consumer protection violation | 2005 | MULTI-AG | $41,000,000 |
| ABN AMRO Bank, N.V. | ABN AMRO | economic sanction violation | 2006 | OFAC | $40,000,000 |
| Evergreen Investment Management Company LLC | Wells Fargo | investor protection violation | 2009 | SEC | $40,000,000 |
| Fred Alger Management, Inc. | Alger Associates | investor protection violation | 2007 | SEC | $40,000,000 |
| Goldman, Sachs & Co. | Goldman Sachs | investor protection violation | 2005 | SEC | $40,000,000 |
| Morgan Stanley & Co. | Morgan Stanley | investor protection violation | 2005 | SEC | $40,000,000 |
| AmSouth Bancorporation | Regions Financial | fraud | 2004 | USAO | $40,000,000 |
| American International Group, Inc. | American International Group | benefit plan administrator violation | 2015 | private lawsuit-federal | $40,000,000 |
| MetLife | MetLife | insurance violation | 2012 | MULTI-AG | $40,000,000 |
| Nationwide Insurance | Nationwide | consumer protection violation | 2008 | MS-AG | $40,000,000 |
| SunTrust Mortgage Inc. | Truist Financial | mortgage abuses | 2014 | MULTI-AG | (*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $40,000,000 |
| Standard Chartered Bank | Standard Chartered | price-fixing or anti-competitive practices | 2019 | NY-DFS | $40,000,000 |
| Nationstar Mortgage, LLC | Mr. Cooper Group | mortgage abuses | 2020 | DOJ_UTP | $40,000,000 |
| Prudential Insurance Company of America | Prudential Financial | consumer protection violation | 2014 | private lawsuit-federal | $40,000,000 |
| Wells Fargo Merchant Services LLC | Wells Fargo | consumer protection violation | 2021 | private lawsuit-federal | $40,000,000 |
| VALIC Financial Advisors Inc. | American International Group | investor protection violation | 2020 | SEC | $39,900,000 |
| Prudential Insurance | Prudential Financial | benefit plan administrator violation | 2014 | private lawsuit-federal | $39,100,000 |
| Wachovia Securities | Wells Fargo | wage and hour violation | 2009 | private lawsuit-federal | $39,000,000 |
| National Union Fire Insurance Company of Pittsburgh, PA | American International Group | insurance violation | 2012 | MULTI-FIN | $39,000,000 |
| Citibank N.A. | Citigroup | investor protection violation | 2018 | SEC | $38,700,000 |
| Academy Mortgage Corporation | Academy Mortgage Corp. | False Claims Act and related | 2022 | DOJ_CIVIL | $38,500,000 |
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