| ProEquities, Inc | Dai-ichi Life | investor protection violation | 2012 | MULTI-FIN | $435,000 |
| HSBC Finance Corporation | HSBC | consumer protection violation | 2016 | DOJ_RIGHTS | $434,500 |
| Safeco | Liberty Mutual Insurance | insurance violation | 2009 | CT-INS | $434,000 |
| American Express National Bank | American Express | economic sanction violation | 2022 | OFAC | $430,500 |
| The Insurance Company of the State of Pennsylvania | American International Group | consumer protection violation | 2015 | MA-AG | $430,000 |
| Pacific Life & Annuity Company | Pacific Life | insurance violation | 2020 | NY-DFS | $425,533 |
| Allianz Life Insurance Company of North America | Allianz | insurance violation | 2005 | CA-INS | $425,000 |
| BUCKEYE PORT READING TERMINAL LLC | IFM Investors | air pollution violation | 2012 | NJ-ENV | $425,000 |
| Citigroup Global Markets | Citigroup | investor protection violation | 2009 | FINRA | $425,000 |
| KeyBanc Capital Markets, Inc. | KeyCorp | investor protection violation | 2009 | FINRA | $425,000 |
| UMB Bank N.A. Investment Banking Division | UMB Financial Corp. | investor protection violation | 2015 | SEC | $420,000 |
| HSBC Auto Finance | HSBC | wage and hour violation | 2009 | private lawsuit-federal | $420,000 |
| Berthel Fisher & Company Financial Services, Inc | Berthel Fisher | investor protection violation | 2019 | NH-BSR | $415,407 |
| Hanover Insurance Co. | Hanover Insurance | consumer protection violation | 2009 | MA-AG | $415,000 |
| Morgan Stanley DW Inc. | Morgan Stanley | investor protection violation | 2006 | ID-SEC | $415,000 |
| American International Group et al. | American International Group | insurance violation | 2002 | CA-INS | $411,500 |
| First Union Securities, Inc. | Wells Fargo | investor protection violation | 2000 | SEC | $408,931 |
| MLD Mortgage, Inc. d/b/a The Money Store and Mortgage Loan Direct | MLD Mortgage Inc. dba The Money Store | consumer protection violation | 2016 | WA-FIN | $407,103 |
| DeLage Landen Financial Services | Rabobank | consumer protection violation | 2004 | NY-AG | $405,000 |
| Morgan Stanley Capital Group Inc. | Morgan Stanley | air pollution violation | 2009 | EPA | $405,000 |
| Washington Mutual, Inc. | JPMorgan Chase | wage and hour violation | 2005 | WHD | $404,982 |
| First Niagara Financial Group | KeyCorp | wage and hour violation | 2013 | private lawsuit-federal | $404,000 |
| Federal Insurance Co. et al. | Chubb Limited | insurance violation | 2003 | CA-INS | $403,652 |
| BUCKEYE PARTNERS LP | IFM Investors | pipeline safety violation | 2010 | PHMSA | $402,500 |
| Wachovia Capital Markets, LLC | Wells Fargo | investor protection violation | 2007 | MD-AG | $402,386 |
| Western Union Financial Services, Inc. | Western Union | economic sanction violation | 2019 | OFAC | $401,697 |
| Oppenheimer & Co. Inc. | Oppenheimer Holdings | investor protection violation | 2015 | SEC | $400,000 |
| Wells Fargo Bank, N.A. | Wells Fargo | data submission deficiencies | 2016 | CFTC | $400,000 |
| BMO Harris Bank | Bank of Montreal | employment discrimination | 2013 | EEOC | $400,000 |
| Great American Life | Massachusetts Mutual Life Insurance | insurance violation | 2016 | MULTI-AG | $400,000 |
| JPMorgan Chase and Co. | JPMorgan Chase | price-fixing or anti-competitive practices | 2014 | WV-AG | $400,000 |
| JPMorgan Chase Bank | JPMorgan Chase | mortgage abuses | 2015 | MD-AG | $400,000 |
| CashCall, Inc. and Western Sky Financial L.L.C. | CashCall Inc. | payday lending violation | 2014 | CT-BKG | $400,000 |
| Ameriprise Financial Services, Inc. | Ameriprise Financial | investor protection violation | 2013 | MA-SEC | $400,000 |
| Merrill Lynch | Bank of America | privacy violation | 2014 | NH-BSR | $400,000 |
| Horizon Healthcare Services, Inc. | Horizon Healthcare Services | insurance violation | 2016 | NJ-DBI | $400,000 |
| Morgan Stanley & Co. Inc. | Morgan Stanley | investor protection violation | 2008 | TX-SEC | $400,000 |
| TD Ameritrade Inc. | Charles Schwab Corp. | investor protection violation | 2015 | TX-SEC | $400,000 |
| LendingClub Corporation | LendingClub Corp. | investor protection violation | 2020 | TX-SEC | $400,000 |
| Merrill Lynch, Pierce, Fenner & Smith Inc. | Bank of America | investor protection violation | 2020 | CT-SEC | $400,000 |
| Thrivent Investment Management Inc. | Thrivent Financial | investor protection violation | 2020 | IL-SEC | $400,000 |
| RBC Capital Markets Corporation | Royal Bank of Canada | investor protection violation | 2009 | FINRA | $400,000 |
| Fidelity Investments Institutional Services Company, Inc. and Fidelity Distributors Corporation | Fidelity Investments | investor protection violation | 2007 | FINRA | $400,000 |
| Banc One Securities Corporation | JPMorgan Chase | investor protection violation | 2005 | FINRA | $400,000 |
| Raymond James Financial Services Inc. | Raymond James Financial | investor protection violation | 2004 | FINRA | $400,000 |
| BUCKEYE PIPE LINE COMPANY LP AND WEST SHORE PIPE LINE COMPANY | IFM Investors | oil spill | 2018 | EPA | $400,000 |
| Old Republic Title Co. and Old Republic National Title Insurance Co. | Old Republic International | insurance violation | 2010 | CA-INS | $399,000 |
| Nationwide Mutual Fire Insurance Company | Nationwide | insurance violation | 2019 | VA-INS | $397,667 |
| KeyBanc Capital Markets Inc. | KeyCorp | investor protection violation | 2023 | SEC | $397,135 |
| Metropolitan Property and Casualty Insurance Co. | Zurich Insurance | consumer protection violation | 2012 | MA-AG | $395,000 |
| Citigroup Global Markets | Citigroup | wage and hour violation | 2011 | private lawsuit-federal | $394,220 |
| Berthel Fisher & Company Financial Services, Inc. | Berthel Fisher | investor protection violation | 2021 | SEC | $389,425 |
| A.G. Edwards & Sons, Inc. | Wells Fargo | investor protection violation | 2008 | NJ-AG | $387,000 |
| Cash America West, Inc. and First Cash, Inc. | FirstCash | wage and hour violation | 2022 | WA-SOLS | $383,873 |
| Highmark BCBSD Inc. | Highmark Inc. | insurance violation | 2016 | DE-INS | $383,000 |
| Morgan Stanley Smith Barney LLC | Morgan Stanley | investor protection violation | 2019 | MA-SEC | $382,500 |
| USAA Federal Savings Bank | USAA | banking violation | 2020 | OCC | $382,500 |
| Prudential Securities, Inc. | Wells Fargo | investor protection violation | 2003 | SEC | $382,000 |
| Towers Perrin | Willis Towers Watson | wage and hour violation | 2004 | WHD | $376,093 |
| BB&T Securities, LLC | Truist Financial | investor protection violation | 2019 | SEC | $376,059 |
| Prudential Equity Group, LLC f/k/a Prudential Securities Inc. | Prudential Financial | investor protection violation | 2004 | SEC | $375,000 |
| TD Bank | Toronto-Dominion Bank | wage and hour violation | 2010 | private lawsuit-federal | $375,000 |
| Ameriprise Financial Services, Inc. | Ameriprise Financial | investor protection violation | 2018 | NJ-AG | $375,000 |
| QBE Insurance | QBE Insurance | consumer protection violation | 2016 | MA-AG | $375,000 |
| CCO Investment Services Corp. | Citizens Financial Group | investor protection violation | 2007 | NH-BSR | $375,000 |
| HSBC Securities (USA) Inc. | HSBC | investor protection violation | 2010 | FINRA | $375,000 |
| Metropolitan Life Insurance Co. | MetLife | investor protection violation | 2004 | FINRA | $375,000 |
| Synagro Northeast, LLC | Goldman Sachs | air pollution violation | 2021 | EPA | $373,660 |
| Allied Home Mortgage Capital Corporation | Americus Mortgage | consumer protection violation | 2003 | HUD | $370,000 |
| UBS Financial Services, Inc. | UBS | investor protection violation | 2007 | FINRA | $370,000 |
| AIU Insurance Company | American International Group | insurance violation | 2002 | MA-INS | $365,615 |
| Fidelity National Title Co. | Fidelity National Financial | insurance violation | 2009 | CA-INS | $365,000 |
| Investment Centers of America, Inc. | LPL Financial | investor protection violation | 2005 | FINRA | $363,500 |
| American General Life Insurance Company | American International Group | insurance violation | 2020 | MA-AG | $363,000 |
| Homesite Insurance Company | American Family Insurance | insurance violation | 2013 | CA-INS | $360,522 |
| Simmons First National Bank | Simmons First National Corp. | employment discrimination | 2010 | OFCCP | $360,187 |
| Hilltop Securities Inc. | Hilltop Holdings | investor protection violation | 2016 | SEC | $360,000 |
| The Hartford et al. | Hartford Financial Services | insurance violation | 2022 | ID-INS | $360,000 |
| Tokio Marine America Insurance Company | Tokio Marine | insurance violation | 2023 | NY-DFS | $360,000 |
| Bear Stearns Companies Inc. | JPMorgan Chase | wage and hour violation | 2003 | WHD | $358,974 |
| Wheelabrator Claremont Company, L.P. | Macquarie | energy market violation | 2018 | FERC | $357,231 |
| BUCKEYE PARTNERS | IFM Investors | environmental violation | 2009 | IL-ENV | $354,540 |
| NYLIFE Securities LLC | New York Life Insurance | investor protection violation | 2007 | FINRA | $354,000 |
| ACE Cash Express, Inc. | ACE Cash Express | consumer protection violation | 2015 | MD-FIN | $353,286 |
| SunTrust Bank, Inc. | Truist Financial | wage and hour violation | 2006 | WHD | $350,875 |
| Merrill Lynch | Bank of America | investor protection violation | 2011 | CFTC | $350,000 |
| Australia and New Zealand Banking Group Ltd. | Australia and New Zealand Banking Group | investor protection violation | 2012 | CFTC | $350,000 |
| Charles Schwab & Co., Inc. | Charles Schwab Corp. | investor protection violation | 2004 | SEC | $350,000 |
| Morgan Stanley | Morgan Stanley | data submission deficiencies | 2017 | CFTC | $350,000 |
| Putnam Investment Management, LLC | Franklin Resources | investor protection violation | 2007 | SEC | $350,000 |
| Metropolitan Life | MetLife | benefit plan administrator violation | 2012 | private lawsuit-federal | $350,000 |
| Aflac Inc. | Aflac | insurance violation | 2017 | MULTI-AG | $350,000 |
| Bank of America | Bank of America | privacy violation | 2009 | CT-AG | $350,000 |
| Prudential Insurance Co. | Prudential Financial | kickbacks and bribery | 2008 | CA-MULTI | $350,000 |
| Gerber Life Insurance Co. | Western & Southern Financial Group | insurance violation | 2000 | WA-INS | $350,000 |
| American Family Life Insurance Company of Columbus | Aflac | insurance violation | 2017 | MULTI-FIN | $350,000 |
| Protective Life Insurance Company et al. | Dai-ichi Life | insurance violation | 2019 | MULTI-FIN | $350,000 |
| Seterus Inc. | Mr. Cooper Group | mortgage abuses | 2019 | MULTI-FIN | $350,000 |
| CIBC World Markets Corp. | Canadian Imperial Bank of Commerce | investor protection violation | 2008 | FINRA | $350,000 |
| Citigroup Global Markets, Inc. | Citigroup | investor protection violation | 2006 | FINRA | $350,000 |
| Sanford C. Bernstein & Co. | Equitable Holdings | investor protection violation | 2006 | FINRA | $350,000 |
