| LavaFlow Inc. | Citigroup | investor protection violation | 2014 | SEC | $5,000,000 |
| New York Stock Exchange | IntercontinentalExchange Group | investor protection violation | 2012 | SEC | $5,000,000 |
| Republic New York Securities Corporation | HSBC | investor protection violation | 2001 | CFTC | $5,000,000 |
| U.S. Trust Corporation | Bank of America | banking violation | 2001 | FED | $5,000,000 |
| SG Cowen Securities Corporation | Toronto-Dominion Bank | investor protection violation | 2003 | SEC | $5,000,000 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Bank of America | investor protection violation | 2000 | SEC | $5,000,000 |
| Wells Fargo Home Mortgage | Wells Fargo | discriminatory practices (non-employment) | 2014 | HUD | $5,000,000 |
| First American Title Insurance Company | First American Financial | kickbacks and bribery | 2007 | HUD | $5,000,000 |
| Chicago Title Insurance Company | Fidelity National Financial | mortgage abuses | 2005 | HUD | $5,000,000 |
| State Farm | State Farm Insurance | wage and hour violation | 2013 | private lawsuit-federal | $5,000,000 |
| Credit Suisse Securities (USA) LLC | UBS | investor protection violation | 2018 | SEC | $5,000,000 |
| LendingClub Asset Management LLC | LendingClub Corp. | investor protection violation | 2018 | SEC | $5,000,000 |
| Teachers Insurance and Annuity Insurance Association of America | TIAA | benefit plan administrator violation | 2017 | private lawsuit-federal | $5,000,000 |
| UNUM Life Insurance Company of America | Unum | benefit plan administrator violation | 2010 | private lawsuit-federal | $5,000,000 |
| Citibank N.A. | Citigroup | bankruptcy professional violation | 2018 | DOJ_UTP | $5,000,000 |
| UBS Financial Services Inc. | UBS | investor protection violation | 2018 | SEC | $5,000,000 |
| UBS Financial Services Inc. | UBS | anti-money-laundering deficiencies | 2018 | FINCEN | $5,000,000 |
| American Express Financial Advisors Inc. | Ameriprise Financial | investor protection violation | 2005 | NJ-AG | $5,000,000 |
| Jackson Hewitt, Inc. | Jackson Hewitt | consumer protection violation | 2007 | CA-AG | $5,000,000 |
| Principal Financial Group | Principal Financial | kickbacks and bribery | 2007 | CT-AG | $5,000,000 |
| Smith Barney | Morgan Stanley | investor protection violation | 2007 | NJ-AG | $5,000,000 |
| Travelers Companies, Inc. | Travelers | consumer protection violation | 2018 | CT-AG | $5,000,000 |
| Western Union Co. | Western Union | consumer protection violation | 2017 | MULTI-AG | $5,000,000 |
| RBC Capital Markets, LLC | Royal Bank of Canada | investor protection violation | 2019 | CFTC | $5,000,000 |
| GFI Securities LLC | BGC Partners | price-fixing or anti-competitive practices | 2019 | NY-AG | $5,000,000 |
| JPMorgan Chase Bank, N.A. | JPMorgan Chase | employment discrimination | 2019 | private lawsuit-federal | $5,000,000 |
| Morgan Stanley Smith Barney LLC | Morgan Stanley | investor protection violation | 2020 | SEC | $5,000,000 |
| Regions Bank | Regions Financial | banking violation | 2014 | AL-SBD | $5,000,000 |
| Morgan Stanley Smith Barney LLC | Morgan Stanley | investor protection violation | 2014 | CT-SEC | $5,000,000 |
| State Street Global Advisors | State Street Corp. | investor protection violation | 2012 | MA-SEC | $5,000,000 |
| Morgan Stanley & Co. LLC | Morgan Stanley | investor protection violation | 2012 | MA-SEC | $5,000,000 |
| American Security Insurance Company et al. | Assurant | insurance violation | 2016 | MN-FIN | $5,000,000 |
| Smith Barney | Morgan Stanley | investor protection violation | 2007 | NJ-BOS | $5,000,000 |
| U.S. Trust Corporation | Bank of America | anti-money-laundering deficiencies | 2001 | NY-DFS | $5,000,000 |
| Credit Agricole | Credit Agricole | banking violation | 2004 | NY-DFS | $5,000,000 |
| Arch Insurance Company | Arch Capital | insurance violation | 2019 | NY-DFS | $5,000,000 |
| E*TRADE Securities LLC | Morgan Stanley | investor protection violation | 2011 | MULTI-FIN | $5,000,000 |
| HCC Life Insurance Company et al. | Tokio Marine | insurance violation | 2018 | MULTI-FIN | $5,000,000 |
| Thomas Weisel Partners LLC | Stifel Financial | investor protection violation | 2005 | 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. $5,000,000 |
| Morgan Stanley Capital Services LLC | Morgan Stanley | investor protection violation | 2020 | CFTC | $5,000,000 |
| PNC Bank, NA | PNC Financial Services | mortgage abuses | 2020 | DOJ_UTP | $5,000,000 |
| Morgan Stanley & Co. LLC | Morgan Stanley | investor protection violation | 2020 | SEC | $5,000,000 |
| UBS Financial Services Inc. and UBS Securities LLC | UBS | anti-money-laundering deficiencies | 2018 | FINRA | $5,000,000 |
| Merrill Lynch, Pierce, Fenner & Smith, Inc. | Bank of America | investor protection violation | 2016 | FINRA | $5,000,000 |
| Barclays Capital Inc. | Barclays | investor protection violation | 2014 | FINRA | $5,000,000 |
| Citigroup Global Markets Inc. | Citigroup | investor protection violation | 2014 | FINRA | $5,000,000 |
| Credit Suisse Securities (USA), LLC | UBS | investor protection violation | 2014 | FINRA | $5,000,000 |
| Goldman, Sachs & Co. | Goldman Sachs | investor protection violation | 2014 | FINRA | $5,000,000 |
| JP Morgan Securities LLC | JPMorgan Chase | investor protection violation | 2014 | FINRA | $5,000,000 |
| Morgan Stanley Smith Barney LLC | Morgan Stanley | investor protection violation | 2014 | FINRA | $5,000,000 |
| SunTrust Robinson Humphrey, Inc. | Truist Financial | investor protection violation | 2011 | FINRA | $5,000,000 |
| USAllianz Securities | Allianz | investor protection violation | 2006 | FINRA | $5,000,000 |
| MetLife, Inc. | MetLife | investor protection violation | 2006 | FINRA | $5,000,000 |
| Merrill Lynch, Pierce, Fenner & Smith Inc. | Bank of America | investor protection violation | 2006 | FINRA | $5,000,000 |
| Goldman, Sachs & Co. | Goldman Sachs | investor protection violation | 2004 | FINRA | $5,000,000 |
| Deutsche Bank Securities, Inc. | Deutsche Bank | investor protection violation | 2004 | FINRA | $5,000,000 |
| Citigroup Global Markets Inc. | Citigroup | investor protection violation | 2004 | FINRA | $5,000,000 |
| Salomon Smith Barney | Morgan Stanley | investor protection violation | 2002 | FINRA | $5,000,000 |
| Companion Life Insurance Co. | BlueCross BlueShield of South Carolina | insurance violation | 2021 | MULTI-FIN | $5,000,000 |
| Trustmark National Bank | Trustmark | discriminatory practices (non-employment) | 2021 | CFPB | (*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $5,000,000 |
| BofA Securities, Inc. | Bank of America | investor protection violation | 2022 | FINRA | $5,000,000 |
| Bank of America N.A. | Bank of America | price-fixing or anti-competitive practices | 2020 | private lawsuit-federal | $5,000,000 |
| JPMorgan Chase & Co. | JPMorgan Chase | price-fixing or anti-competitive practices | 2020 | private lawsuit-federal | $5,000,000 |
| Coinbase, Inc. | Coinbase Global Inc. | investor protection violation | 2023 | NJ-AG | $5,000,000 |
| Deutsche Bank AG | Deutsche Bank | price-fixing or anti-competitive practices | 2023 | private lawsuit-federal | $5,000,000 |
| Premier Insurance Company of Massachusetts | Travelers | consumer protection violation | 2011 | MA-AG | $5,000,386 |
| Old Republic Title Co. | Old Republic International | consumer protection violation | 2002 | CA-MULTI | $5,096,963 |
| Wells Fargo Advisors LLC | Wells Fargo | investor protection violation | 2018 | SEC | $5,108,441 |
| Zurich Life Insurance Company Ltd | Zurich Insurance | tax violations | 2019 | DOJ_TAX | $5,115,000 |
| Societe Generale | Societe Generale | price-fixing or anti-competitive practices | 2020 | private lawsuit-federal | $5,125,000 |
| New Day Financial, LLC d/b/a NewDay USA | New Day Financial LLC | investor protection violation | 2015 | MULTI-FIN | $5,160,000 |
| Goldman, Sachs & Co. | Goldman Sachs | investor protection violation | 2000 | SEC | $5,200,000 |
| CIT Group Inc. | First Citizens BancShares | mortgage abuses | 2018 | FED | $5,200,000 |
| ING Life Insurance and Annuity Co. | Voya Financial | benefit plan administrator violation | 2013 | EBSA | $5,200,000 |
| National Union Fire Insurance Company | American International Group | insurance violation | 2019 | NY-DFS | $5,200,000 |
| Fifth Third Bank | Fifth Third Bancorp | consumer protection violation | 2021 | private lawsuit-federal | $5,200,000 |
| American Express Travel Related Services Company, Inc. | American Express | economic sanction violation | 2013 | OFAC | $5,226,120 |
| HSBC | HSBC | toxic securities abuses | 2012 | NCUA | $5,250,000 |
| JPMorgan Chase Bank, N.A. | JPMorgan Chase | economic sanction violation | 2018 | OFAC | $5,263,171 |
| American International Group, Inc. | American International Group | tax violations | 2006 | MI-AG | $5,279,484 |
| Deutsche Bank Securities, Inc. | Deutsche Bank | investor protection violation | 2004 | FINRA | $5,290,000 |
| UBS O'Connor, LLC | UBS | investor protection violation | 2013 | SEC | $5,297,716 |
| Industrial and Commercial Bank of China Financial Services LLC | Industrial and Commercial Bank of China | anti-money-laundering deficiencies | 2018 | FINRA | $5,300,000 |
| Wells Fargo Bank, N.A. and Wells Fargo Insurance, Inc. | Wells Fargo | insurance violation | 2019 | CA-INS | $5,345,816 |
| Morgan Stanley & Co. Inc. | Morgan Stanley | investor protection violation | 2004 | FINRA | $5,390,000 |
| Wells Fargo Bank N.A., d/b/a Wells Fargo Dealer Services | Wells Fargo | consumer protection violation | 2017 | DOJ_RIGHTS | $5,400,000 |
| Progressive | Progressive | wage and hour violation | 2004 | private lawsuit-federal | $5,400,000 |
| Santander USA Holdings Inc. | Banco Santander | consumer protection violation | 2015 | MA-AG | $5,400,000 |
| Farmers Insurance Exchange | Farmers Insurance Exchange | wage and hour violation | 2020 | private lawsuit-federal | $5,400,000 |
| Wells Fargo Bank N.A | Wells Fargo | workplace whistleblower retaliation | 2017 | OSHA | $5,400,000 |
| Transamerica Corporation | Aegon | benefit plan administrator violation | 2021 | private lawsuit-federal | $5,400,000 |
| Stifel Nicolaus & Company, Inc. | Stifel Financial | investor protection violation | 2010 | NJ-BOS | $5,415,381 |
| UBS Global Asset Management | UBS | benefit plan administrator violation | 2006 | private lawsuit-federal | $5,493,000 |
| UBS as successor to Piper Jaffray | UBS | wage and hour violation | 2008 | private lawsuit-federal | $5,500,000 |
| Allstate Insurance Company | Allstate | wage and hour violation | 2018 | private lawsuit-state | $5,500,000 |
| Nationwide Mutual Insurance Company | Nationwide | privacy violation | 2017 | MULTI-AG | $5,500,000 |
| UBS Financial Services Inc. | UBS | investor protection violation | 2007 | CT-SEC | $5,500,000 |
| Interactive Brokers LLC | Interactive Brokers Group | investor protection violation | 2018 | FINRA | $5,500,000 |
| Wilmington Trust, N.A. | M&T Bank | benefit plan administrator violation | 2021 | private lawsuit-federal | $5,500,000 |
| Goldman Sachs & Co. | Goldman Sachs | investor protection violation | 2023 | CFTC | $5,500,000 |
| Cadence Bank N.A. | Cadence Bank | discriminatory practices (non-employment) | 2021 | DOJ_RIGHTS | $5,545,000 |
