RS Investment Management L.P. | | | 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. $30,000,000 |
Citibank, N.A. | Citigroup | financial services | banking violation | 2019 | OCC | $30,000,000 |
Mylan N.V. | Viatris | pharmaceuticals | investor protection violation | 2019 | SEC | $30,000,000 |
Citigroup Global Markets Inc. | Citigroup | financial services | investor protection violation | 2013 | MA-SEC | $30,000,000 |
Robinhood Crypto, LLC | | | anti-money-laundering deficiencies | 2022 | NY-DFS | $30,000,000 |
Jefferies Financial Services, Inc. | Jefferies Financial Group | diversified | investor protection violation | 2022 | CFTC | $30,000,000 |
Payward Ventures, Inc. and Payward Trading Ltd. | | | investor protection violation | 2023 | SEC | $30,000,000 |
Wells Fargo & Co. | Wells Fargo | financial services | economic sanction violation | 2023 | OFAC | $30,000,000 |
HSBC Bank PLC | HSBC | financial services | investor protection violation | 2023 | CFTC | $30,000,000 |
Goldman Sachs & Co. LLC | Goldman Sachs | financial services | investor protection violation | 2023 | CFTC | $30,000,000 |
Industrial and Commercial Bank of China Ltd. | Industrial and Commercial Bank of China | financial services | banking violation | 2024 | NY-DFS | $30,000,000 |
EFG Bank European Financial Group SA, Geneva and EFG Bank AG | | | tax violations | 2015 | DOJ_TAX | $29,988,000 |
BitClave PTE Ltd | | | investor protection violation | 2020 | SEC | $29,744,197 |
BAYERISCHE HYPO- UND VEREINSBANK AG | | | tax violations | 2006 | USAO | $29,635,125 |
CTI Group LLC and Cooper Trading | | | investor protection violation | 2014 | CFTC | $29,000,000 |
Mega International Commercial Bank Co., Ltd. | | | anti-money-laundering deficiencies | 2018 | FED | $29,000,000 |
Deutsche Bank Securities Inc. | Deutsche Bank | financial services | 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. $28,750,000 |
Vuuzle Media Corp. et al. | | | investor protection violation | 2023 | SEC | $28,599,662 |
Levecke Corporation | | | tax violations | 2021 | ATTTB | $28,578,944 |
Option One Mortgage Corporation | Ocwen Financial | financial services | toxic securities abuses | 2012 | SEC | $28,200,000 |
Morgan Stanley Mortgage Capital Holdings | Morgan Stanley | financial services | toxic securities abuses | 2011 | NV-AG | $28,200,000 |
Pequot Capital Management, Inc. | | | investor protection violation | 2010 | SEC | $28,000,000 |
Mercury Interactive, LLC | | | accounting fraud or deficiencies | 2007 | SEC | $28,000,000 |
Baton Holdings LLC | Red Ventures | business services | investor protection violation | 2019 | DOJ_CRIMINAL | $28,000,000 |
Bank of New York Mellon | Bank of New York Mellon | financial services | investor protection violation | 2013 | FL-AG | $28,000,000 |
CBS Corp. | Paramount Global | media | investor protection violation | 2022 | NY-AG | $28,000,000 |
Rio Tinto PLC | Rio Tinto | mining and minerals | investor protection violation | 2023 | SEC | $28,000,000 |
Coutts & Co Ltd. | NatWest Group PLC | financial services | tax violations | 2019 | DOJ_TAX | $27,900,000 |
AZ Investment Property Experts, LLC and Sandy Beach Esmeralda Development, LLC | | | investor protection violation | 2019 | AZ-CC | $27,801,783 |
Yellowstone Capital et al. | | | investor protection violation | 2023 | NJ-AG | $27,375,000 |
ClearPath Wealth Management, LLC | | | investor protection violation | 2024 | SEC | $27,130,905 |
Princeton Global Management Ltd. and Princeton Economics International Ltd. | | | investor protection violation | 2009 | CFTC | $27,000,000 |
A.C.L.N. Ltd. and Scandinavian Car Carriers | | | investor protection violation | 2004 | SEC | $27,000,000 |
Banco Bilbao Vizcaya Argentaria, S.A. | Banco Bilbao Vizcaya Argentaria | financial services | banking violation | 2016 | FED | $27,000,000 |
Lumber Liquidators Holdings Inc. | LL Flooring Holdings | housewares and home furnishings | investor protection violation | 2019 | DOJ_CRIMINAL | $27,000,000 |
Bank of Louisville | Truist Financial | financial services | investor protection violation | 2002 | KY-INS | $27,000,000 |
UBS Financial Services Inc. of Puerto Rico | UBS | financial services | investor protection violation | 2012 | SEC | $26,600,000 |
Merrill Lynch | Bank of America | financial services | investor protection violation | 2010 | MULTI-FIN | $26,563,094 |
Stiefel Laboratories Inc. | | | investor protection violation | 2020 | SEC | $26,510,000 |
Nomura Securities International Inc. | Nomura | financial services | investor protection violation | 2019 | SEC | $26,400,000 |
Merrill Lynch, Pierce, Fenner & Smith Inc. | Bank of America | financial services | investor protection violation | 2020 | NH-BSR | $26,250,000 |
PaineWebber Incorporated | UBS | financial services | investor protection violation | 2000 | SEC | $26,200,000 |
Success Trade, Inc. and Success Trade Securities, Inc. | | | investor protection violation | 2015 | SEC | $26,158,214 |
North Hills Management LLC | | | investor protection violation | 2015 | CFTC | $26,000,000 |
Prestige Ventures Corporation and Federated Management Group, Inc. | | | investor protection violation | 2010 | CFTC | $26,000,000 |
LPL Financial LLC | LPL Financial | financial services | investor protection violation | 2018 | MULTI-FIN | $26,000,000 |
Merrill Lynch Pierce Fenner & Smith Inc. | Bank of America | financial services | investor protection violation | 2012 | IL-SEC | $25,930,000 |
LPL Financial LLC | LPL Financial | financial services | investor protection violation | 2019 | MULTI-AG | $25,848,000 |
CRE Capital Corp. | | | investor protection violation | 2010 | CFTC | $25,700,000 |
Lordstown Motors Corp. | Lordstown Motors | motor vehicles | investor protection violation | 2024 | SEC | $25,500,000 |
Bank of America, National Association | Bank of America | financial services | banking violation | 2014 | OCC | $25,000,000 |
Jefferies LLC | Jefferies Financial Group | diversified | investor protection violation | 2014 | SEC | $25,000,000 |
Diebold, Inc. | Diebold Nixdorf | miscellaneous manufacturing | accounting fraud or deficiencies | 2010 | SEC | $25,000,000 |
Moore Capital Management, LP | | | investor protection violation | 2010 | CFTC | $25,000,000 |
Safevest LLC | | | investor protection violation | 2009 | CFTC | $25,000,000 |
American International Group, Inc. | American International Group | financial services | accounting fraud or deficiencies | 2006 | DOJ_CRIMINAL | $25,000,000 |
Riggs Bank National Association | PNC Financial Services | financial services | anti-money-laundering deficiencies | 2004 | OCC | $25,000,000 |
ICAP plc | CME Group | financial services | investor protection violation | 2009 | SEC | $25,000,000 |
Zurich Financial Services | Zurich Insurance | financial services | accounting fraud or deficiencies | 2008 | SEC | $25,000,000 |
The BISYS Group | Citigroup | financial services | accounting fraud or deficiencies | 2007 | SEC | $25,000,000 |
Motorola Inc. | Motorola Solutions | telecommunications | accounting fraud or deficiencies | 2007 | SEC | $25,000,000 |
Doral Financial Corporation | | | accounting fraud or deficiencies | 2006 | SEC | $25,000,000 |
RS Investment Management L.P. | | | investor protection violation | 2004 | SEC | $25,000,000 |
Lucent Technologies Inc. | Nokia | telecommunications | accounting fraud or deficiencies | 2004 | SEC | $25,000,000 |
J.P. Morgan Securities Inc. | JPMorgan Chase | financial services | investor protection violation | 2003 | SEC | $25,000,000 |
Citigroup Global Markets Inc. | Citigroup | financial services | investor protection violation | 2017 | CFTC | $25,000,000 |
Jefferies LLC | Jefferies Financial Group | diversified | toxic securities abuses | 2014 | USAO | $25,000,000 |
Citibank, N.A. | Citigroup | financial services | banking violation | 2019 | OCC | $25,000,000 |
AOL | Apollo Global Management | private equity (including portfolio companies) | accounting fraud or deficiencies | 2006 | AK-AG | $25,000,000 |
J.P. Morgan Securities LLC | JPMorgan Chase | financial services | investor protection violation | 2010 | FL-AG | $25,000,000 |
MBIA, Inc. | MBIA | financial services | investor protection violation | 2007 | NY-AG | $25,000,000 |
Time Warner | | | accounting fraud or deficiencies | 2006 | AK-AG | $25,000,000 |
Wachovia Capital Markets LLC | Wells Fargo | financial services | investor protection violation | 2006 | MULTI-AG | $25,000,000 |
National Oilwell Varco | NOV Inc. | oilfield services and supplies | economic sanction violation | 2016 | USAO | $25,000,000 |
Citigroup, Inc. | Citigroup | financial services | accounting fraud or deficiencies | 2003 | NY-MANDA | $25,000,000 |
J.P. Morgan Chase & Co. | JPMorgan Chase | financial services | accounting fraud or deficiencies | 2003 | NY-MANDA | $25,000,000 |
PricewaterhouseCoopers | PricewaterhouseCoopers | business services | accounting fraud or deficiencies | 2014 | NY-DFS | $25,000,000 |
Bear, Stearns & Co. Inc. | JPMorgan Chase | financial services | 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. $25,000,000 |
Goldman Sachs & Co. | Goldman Sachs | financial services | 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. $25,000,000 |
J.P. Morgan Securities Inc. | JPMorgan Chase | financial services | 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. $25,000,000 |
JPMorgan Chase & Co. | JPMorgan Chase | financial services | 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. $25,000,000 |
Lehman Brothers Inc. | | | 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. $25,000,000 |
Morgan Stanley & Co. | Morgan Stanley | financial services | 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. $25,000,000 |
UBS Warburg and UBS PaineWebber | UBS | financial services | 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. $25,000,000 |
MetLife Securities, Inc. | MetLife | financial services | investor protection violation | 2016 | FINRA | $25,000,000 |
UBS Financial Services Inc. | UBS | financial services | investor protection violation | 2022 | SEC | $25,000,000 |
Grand River Enterprises Six Nations, Ltd. | | | tax violations | 2022 | NY-AG | $25,000,000 |
Native Wholesale Supply Company, Inc. | | | tax violations | 2022 | NY-AG | $25,000,000 |
BMO Capital Markets Corp | Bank of Montreal | financial services | investor protection violation | 2023 | SEC | $25,000,000 |
Mizuho Securities USA LLC | Mizuho Financial | financial services | investor protection violation | 2023 | SEC | $25,000,000 |
DWS Investment Management Americas Inc. | Deutsche Bank | financial services | investor protection violation | 2023 | SEC | $25,000,000 |
Charter Communications Inc. | Charter Communications | telecommunications | accounting fraud or deficiencies | 2023 | SEC | $25,000,000 |
KPMG Accountants N.V. | KPMG | business services | accounting fraud or deficiencies | 2024 | PCAOB | $25,000,000 |
Merrill Lynch Commodities, Inc. | Bank of America | financial services | investor protection violation | 2019 | CFTC | (*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $24,900,000 |
UBS Financial Services Inc. | UBS | financial services | investor protection violation | 2006 | NJ-AG | $24,750,000 |
Wachovia Capital Markets LLC | Wells Fargo | financial services | investor protection violation | 2007 | MULTI-FIN | $24,650,000 |
General Reinsurance Corporation | Berkshire Hathaway | diversified | accounting fraud or deficiencies | 2010 | DOJ_CRIMINAL | $24,500,000 |
Stifel, Nicolaus & Co., Inc. | Stifel Financial | financial services | investor protection violation | 2016 | SEC | $24,500,000 |
Tyco International Ltd., Tyco Electronics Ltd., and Covidien Ltd. | Johnson Controls | automotive parts | investor protection violation | 2009 | MI-AG | $24,500,000 |
ITG | | | investor protection violation | 2017 | SEC | $24,400,000 |
Bittrex, Inc. | | | economic sanction violation | 2022 | OFAC | $24,280,829 |