U.S. Bancorp Piper Jaffray Inc. | Piper Sandler | financial services | 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. $1,650,000 |
U.S. Bancorp Investments Inc. | U.S. Bancorp | financial services | investor protection violation | 2024 | SEC | $8,000,000 |
U.S. Bancorp Investments, Inc. | U.S. Bancorp | financial services | investor protection violation | 2020 | SEC | $15,992,441 |
U.S. Bancorp | U.S. Bancorp | financial services | anti-money-laundering deficiencies | 2018 | USAO | $453,000,000 |
U.S. Airways Group, Inc. | American Airlines | airlines | economic sanction violation | 2004 | OFAC | $30,100 |
tZERO ATS, LLC | | | investor protection violation | 2022 | SEC | $800,000 |
Tyson Foods, Inc. | Tyson Foods | food products | accounting fraud or deficiencies | 2005 | SEC | $1,500,000 |
Tyson Foods, Inc. | Tyson Foods | food products | investor protection violation | 2021 | CFTC | $1,500,000 |
Tyrol Group, LLC, Native American Tyrol Energy, LLC | | | investor protection violation | 2017 | CT-SEC | $100,000 |
Tycoon Trading, LLC et al. | | | investor protection violation | 2023 | AK-DBS | $40,684,525 |
Tycoon Trading, LLC | | | investor protection violation | 2022 | AK-DBS | $14,439,086 |
Tyco Valves & Controls Middle East, Inc. | Emerson Electric | industrial equipment | economic sanction violation | 2007 | OFAC | $450,905 |
Tyco International Ltd. | Johnson Controls | automotive parts | accounting fraud or deficiencies | 2006 | SEC | $50,000,000 |
Tyco International Ltd. | Johnson Controls | automotive parts | accounting fraud or deficiencies | 2008 | NJ-AG | $73,250,000 |
Tyco International Ltd. | Johnson Controls | automotive parts | investor protection violation | 2002 | NH-BSR | $5,100,000 |
Tyche Asset Management LLC et al. | | | investor protection violation | 2023 | CFTC | $21,308,692 |
Two Triangle Consulting Group, LLC d/b/a Goldman Small Cap Research | | | investor protection violation | 2021 | SEC | $83,582 |
Two Point Capital Management, Inc. | | | investor protection violation | 2022 | SEC | $75,000 |
Twin Rocks Asset Management, Inc. | | | investor protection violation | 2013 | IN-SEC | $5,000 |
TVDeeBee, Inc. | | | investor protection violation | 2015 | WA-FIN | $12,500 |
TV Products, LLC fka US Loans Negotiation, LLC | | | investor protection violation | 2013 | AZ-CC | $185,734 |
Turner, Jones and Company PLLC | | | accounting fraud or deficiencies | 2015 | PCAOB | $10,000 |
Turco Golf, Inc. | | | tax violations | 2013 | CT-AG | $6,175 |
Turbo Technicians LLC | | | tax violations | 2015 | CT-AG | $8,415 |
Turan Petroleum, Inc. and NRG Resources, Inc. | | | investor protection violation | 2013 | CA-DFPI | $10,000 |
Tupperware Brands Corporation | Tupperware Brands | housewares and home furnishings | investor protection violation | 2022 | SEC | $900,000 |
Tung Tai Group | | | economic sanction violation | 2013 | OFAC | $43,875 |
Tucson Estate Financial Advisors, Inc. | | | investor protection violation | 2000 | AZ-CC | $114,080 |
Tucker Financial Services Inc. | | | investor protection violation | 2015 | VT-FIN | $644,886 |
TT Capital Management | | | investor protection violation | 2023 | PA-BKG | $30,000 |
TSB Bank | | | banking violation | 2016 | FDIC | $40,000 |
TSB Bank | | | banking violation | 2016 | FDIC | $7,100 |
Tryp Technologies Inc. | | | investor protection violation | 2021 | WA-SEC | $34,000 |
Truxton Trust Company | | | banking violation | 2015 | FED | $11,285 |
TruTankless, Inc. | | | investor protection violation | 2021 | SEC | $25,000 |
Trustmont Financial Group Inc. | | | investor protection violation | 2013 | PA-BKG | $100,000 |
Trustmark National Bank | Trustmark | financial services | banking violation | 2012 | OCC | $6,250 |
Trustmark National Bank | Trustmark | financial services | banking violation | 2021 | OCC | $4,000,000 |
Trustees of Tufts College | | | tax violations | 2015 | CT-AG | $15,750 |
Trustcore Financial Services, LLC | | | investor protection violation | 2019 | SEC | $422,261 |
Trust Advisory Group, Ltd. | | | investor protection violation | 2022 | SEC | $214,460 |
Trust & Investment Advisors, Inc. | | | investor protection violation | 2015 | SEC | $50,000 |
Trump Taj Mahal Casino Resort | Hard Rock International | restaurants and foodservice | anti-money-laundering deficiencies | 2015 | FINCEN | $10,000,000 |
Trump Payroll Corp. | Trump Organization | real estate | tax violations | 2023 | NY-MANDA | $800,000 |
Trump Corp. | Trump Organization | real estate | tax violations | 2023 | NY-MANDA | $810,000 |
True North Productions, LLC | | | investor protection violation | 2012 | OR-FIN | $400,000 |
True North Business Ventures LLC | | | investor protection violation | 2013 | AZ-CC | $376,091 |
True Link Financial Advisors, LLC | | | investor protection violation | 2022 | SEC | $200,000 |
True Horizon Wealth Advisors, LLC | | | investor protection violation | 2024 | PA-BKG | $15,000 |
True Capital Management, LLC | | | investor protection violation | 2023 | SEC | $821,793 |
Truckville Inc. dba EZ Finance Auto Sales | | | investor protection violation | 2000 | AZ-CC | $5,000 |
Truckers B2B, LLC | | | tax violations | 2015 | CT-AG | $12,300 |
TruBridge of Ohio, Inc. | | | tax violations | 2016 | CT-AG | $9,870 |
Trowbridge Capital Partners LLC | | | investor protection violation | 2023 | SEC | $60,000 |
Tropical Trade | | | investor protection violation | 2018 | MO-SEC | $137,109 |
Tropical Smoothie Franchise Development Corp. | | | investor protection violation | 2011 | MD-SEC | $10,000 |
TROPICAL SMOOTHIE ET AL. | | | investor protection violation | 2008 | VA-SEC | $26,000 |
Tropical Racing, Inc. | | | investor protection violation | 2019 | CO-SEC | $6,049 |
Trolice Consulting Services, LLC | | | investor protection violation | 2016 | NJ-BOS | $2,500,000 |
Triune, LLC dba Baja Fresh | | | investor protection violation | 2012 | MD-SEC | $50,000 |
TRIUNE, LLC | | | investor protection violation | 2012 | VA-SEC | $30,000 |
TRIUMPH SAVINGS BANK, SSB | | | banking violation | 2011 | FDIC | $9,825 |
Triton EP, LLC | | | investor protection violation | 2006 | AL-SEC | $10,000 |
TriStar Bank | | | banking violation | 2012 | FDIC | $10,000 |
Trinity Temporaries & Business Services | | | investor protection violation | 2014 | MD-SEC | $175,000 |
Trinity Investment Club Ltd. | | | investor protection violation | 2001 | FL-OFR | $5,000 |
Trinity Industries de Mexico, S.A. de C.V. | | | economic sanction violation | 2004 | OFAC | $55,000 |
Trinity Capital Management, LLC | | | investor protection violation | 2014 | MO-SEC | $10,000 |
Trinity Capital Corporation | | | accounting fraud or deficiencies | 2015 | SEC | $1,500,000 |
Trinity Auto Body, Inc. | | | tax violations | 2016 | NY-NCDA | $188,199 |
Trinity Asset Partners, LLC | | | investor protection violation | 2021 | SC-INS | $11,200 |
Trine Labeling Systems Inc. | | | economic sanction violation | 2005 | OFAC | $16,498 |
Trinad Management, LLC | | | investor protection violation | 2014 | SEC | $95,000 |
Trickling Springs Creamery, LLC | | | investor protection violation | 2020 | PA-BKG | $4,375,000 |
TRICENTURY BANK | | | banking violation | 2008 | FDIC | $5,000 |
Triangle Wholesale | | | economic sanction violation | 2003 | OFAC | $11,000 |
Triad Advisors, Inc. | | | investor protection violation | 2002 | FL-OFR | $5,000 |
Tri-Star Advisors, Inc. | | | investor protection violation | 2015 | SEC | $150,000 |
Tri-County Finance Co., Inc. | | | investor protection violation | 2010 | IN-SEC | $165,140 |
Tri-County Bank | | | banking violation | 2015 | FED | $5,000 |
Tri-Core Mexico Land Development, LLC | | | investor protection violation | 2013 | AZ-CC | $1,075,000 |
Tri-Core Companies, LLC et al. | | | investor protection violation | 2017 | AZ-CC | $4,822,311 |
Tri-City Baptist Church, Inc. | | | investor protection violation | 2004 | MO-SEC | $15,000 |
TRH Financial LLC | | | investor protection violation | 2017 | SEC | $35,000 |
TreyTrades LLC | | | investor protection violation | 2022 | AZ-CC | $89,425 |
Trends Investments Inc. | | | investor protection violation | 2023 | SEC | $4,007,027 |
Tremco Inc. of CT | | | tax violations | 2015 | CT-AG | $11,070 |
TreeFree Biomass Solutions, Inc. | | | investor protection violation | 2016 | WA-FIN | $20,000 |
Treasury Vault, LLC | | | investor protection violation | 2019 | CFTC | $75,000 |
Treasure Heart Financial Counseling | | | investor protection violation | 2011 | OR-FIN | $5,000 |
Treasure Enterprise, LLC | | | investor protection violation | 2017 | MI-SEC | $40,000 |
Traverse Bay Investments Company, Ltd. | | | investor protection violation | 2012 | IN-SEC | $32,000 |
Traverse Bay Investments Company, Ltd. | | | investor protection violation | 2015 | MI-SEC | $10,000 |
Travelocity.Com LLP | Expedia Group | miscellaneous services | tax violations | 2015 | HI-AG | $13,275,000 |
Travelocity.com | Expedia Group | miscellaneous services | economic sanction violation | 2007 | OFAC | $182,750 |
Travel Dynamics, Inc. | | | economic sanction violation | 2004 | OFAC | $5,535 |
Trapeze Software Group, Inc. | | | tax violations | 2012 | CT-AG | $16,118 |
Transworld Transmitting Corp. | | | anti-money-laundering deficiencies | 2004 | NY-DFS | $15,000 |
Transportation Alliance Bank, Inc. d/b/a TAB Bank | | | banking violation | 2023 | FDIC | $315,000 |
TRANSPORTATION ALLIANCE BANK, INC. | | | banking violation | 2010 | FDIC | $97,500 |
Transpo Electronics, Inc. | | | economic sanction violation | 2003 | OFAC | $15,500 |