| 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 |
| H&R Block | H&R Block | consumer protection violation | 2010 | NY-AG | $12,150,000 |
| Interactive Brokers LLC | Interactive Brokers Group | anti-money-laundering deficiencies | 2020 | CFTC | $12,206,214 |
| Ameriprise Financial Services, Inc. | Ameriprise Financial | investor protection violation | 2005 | FINRA | $12,300,000 |
| Wachovia Corporation | Wells Fargo | benefit plan administrator violation | 2011 | private lawsuit-federal | $12,350,000 |
| Allianz SE | Allianz | Foreign Corrupt Practices Act | 2012 | SEC | $12,396,423 |
| 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 |
| Lincoln National Life Insurance Company | Lincoln National | insurance violation | 2013 | MULTI-AG | $12,600,000 |
| Barclays Capital Inc. | Barclays | investor protection violation | 2017 | SEC | $12,710,040 |
| Willis Group | Willis Towers Watson | employment discrimination | 2008 | private lawsuit-federal | $12,757,949 |
| Wells Fargo | Wells Fargo | wage and hour violation | 2007 | private lawsuit-federal | $12,800,000 |
| Barclays PLC | Barclays | price-fixing or anti-competitive practices | 2018 | DOJ_CRIMINAL | $12,896,011 |
| Citigroup Global Markets Inc. | Citigroup | investor protection violation | 2018 | SEC | $12,937,475 |
| Dain Rauscher Incorporated | Royal Bank of Canada | investor protection violation | 2000 | SEC | $12,941,191 |
| 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 |
| Morgan Stanley Smith Barney LLC | Morgan Stanley | investor protection violation | 2017 | FINRA | $13,030,000 |
| 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 |
| State Farm | State Farm Insurance | insurance violation | 2017 | CA-INS | $13,335,701 |
| 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 |
| Bank of America | Bank of America | fraud | 2010 | DC-AG | $13,502,852 |
| E-Loan Inc. | Popular Inc. | wage and hour violation | 2007 | private lawsuit-federal | $13,600,000 |
| Merrill Lynch | Bank of America | toxic securities abuses | 2008 | MA-AG | $13,700,000 |
| Barclays Capital, Inc. | Barclays | investor protection violation | 2015 | FINRA | $13,750,000 |
| Hartford Life Insurance Company | Hartford Financial Services | benefit plan administrator violation | 2010 | private lawsuit-federal | $13,775,000 |
| Wells Fargo Bank | Wells Fargo | mortgage abuses | 2015 | MD-AG | $13,800,000 |
| Franklin Resources, Inc. | Franklin Resources | benefit plan administrator violation | 2019 | private lawsuit-federal | $13,850,000 |
| 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 |
| UBS Securities LLC | UBS | investor protection violation | 2015 | SEC | $14,400,000 |
| Wells Fargo Bank, N.A. | Wells Fargo | investor protection violation | 2019 | CFTC | $14,475,000 |
| Aon Corporation | Aon | Foreign Corrupt Practices Act | 2011 | SEC | $14,545,020 |
| BNY Mellon | Bank of New York Mellon | Foreign Corrupt Practices Act | 2015 | SEC | $14,800,000 |
| ING Life Insurance & Annuity Co. | Voya Financial | benefit plan administrator violation | 2014 | private lawsuit-federal | $14,950,000 |
| ACE Cash Express | ACE Cash Express | consumer protection violation | 2014 | CFPB | $15,000,000 |
| Goldman Sachs & Co. | Goldman Sachs | investor protection violation | 2016 | SEC | $15,000,000 |
| UBS Financial Services Inc. of Puerto Rico | UBS | investor protection violation | 2015 | SEC | $15,000,000 |
| Citigroup Global Markets | Citigroup | investor protection violation | 2015 | SEC | $15,000,000 |
| Barclays Capital Inc. | Barclays | investor protection violation | 2014 | SEC | $15,000,000 |
| Balli Aviation Ltd. and Balli Group PLC | Balli Group | export control violation | 2010 | BIS | $15,000,000 |
| Macquarie Capital (USA) Inc. | Macquarie | investor protection violation | 2015 | SEC | $15,000,000 |
| TD Bank | Toronto-Dominion Bank | investor protection violation | 2013 | SEC | $15,000,000 |
| RenaissanceRe Holdings Ltd. | RenaissanceRe Holdings | accounting fraud or deficiencies | 2007 | SEC | $15,000,000 |
| Ameriprise Financial, Inc. | Ameriprise Financial | investor protection violation | 2005 | SEC | $15,000,000 |
| Conseco, Inc. | CNO Financial | investor protection violation | 2004 | SEC | $15,000,000 |
| U.S. Bank National Association | U.S. Bancorp | banking violation | 2017 | OCC | $15,000,000 |
| UBS AG | UBS | investor protection violation | 2018 | CFTC | $15,000,000 |
| US Bancorp | U.S. Bancorp | banking violation | 2018 | FED | $15,000,000 |
| Wells Fargo | Wells Fargo | wage and hour violation | 2014 | private lawsuit-federal | $15,000,000 |
| PNC Bank, National Association | PNC Financial Services | banking violation | 2018 | OCC | $15,000,000 |
| R.R. Donnelley & Sons | Chatham Asset Management | employment discrimination | 2003 | private lawsuit-federal | $15,000,000 |
| R.R. Donnelley & Sons | Chatham Asset Management | employment discrimination | 2004 | private lawsuit-federal | $15,000,000 |
| Fiserv Securities, Inc. | Fidelity Investments | investor protection violation | 2005 | SEC | $15,000,000 |
| Conseco, Inc. | CNO Financial | investor protection violation | 2004 | 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. $15,000,000 |
| New York Life Insurance Company | New York Life Insurance | insurance violation | 2013 | MULTI-AG | $15,000,000 |
| UnumProvident Corporation | Unum | consumer protection violation | 2004 | MULTI-AG | $15,000,000 |
| BGC Financial, LP | BGC Partners | investor protection violation | 2019 | CFTC | $15,000,000 |
| Raymond James & Associates, Inc. et al. | Raymond James Financial | investor protection violation | 2019 | SEC | $15,000,000 |
| Barclays Bank PLC | Barclays | workplace whistleblower retaliation | 2018 | NY-DFS | $15,000,000 |
| Farmers Insurance Group | Zurich Insurance | insurance violation | 2002 | TX-INS | $15,000,000 |
| Credit Suisse Securities (USA) LLC | Credit Suisse | investor protection violation | 2008 | MULTI-FIN | $15,000,000 |
| 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 |
