Vadian Bank AG | | | tax violations | 2015 | DOJ_TAX | $4,253,000 |
Commercial Bank of New York | | | anti-money-laundering deficiencies | 2001 | NY-DFS | $4,250,000 |
Service Station Vending Equipment, Inc. | | | tax violations | 2021 | NY-AG | $4,250,000 |
ICBC Standard Bank Plc | Industrial and Commercial Bank of China | financial services | investor protection violation | 2015 | SEC | $4,200,000 |
Verto Capital Management | | | investor protection violation | 2017 | SEC | $4,158,517 |
Bank Linth LLB AG | | | tax violations | 2015 | DOJ_TAX | $4,150,000 |
Robert W. Baird & Co. Incorporated | | | investor protection violation | 2019 | SEC | $4,149,167 |
Berkshire Hathaway Inc. | Berkshire Hathaway | diversified | economic sanction violation | 2020 | OFAC | $4,144,651 |
Milan Group Inc. | | | investor protection violation | 2013 | SEC | $4,141,148 |
Global Corporate Strategies LLC | | | investor protection violation | 2019 | SEC | $4,120,000 |
Aegerion Pharmaceuticals | Amryt Pharma | pharmaceuticals | investor protection violation | 2017 | SEC | $4,100,000 |
Investment Placement Group | | | investor protection violation | 2011 | SEC | $4,072,027 |
Ernst & Young LLP | Ernst & Young | business services | accounting fraud or deficiencies | 2014 | SEC | $4,070,000 |
Nasdaq, Inc. | Nasdaq Inc. | financial services | economic sanction violation | 2023 | OFAC | $4,040,923 |
H.D. Vest Investment Services | | | investor protection violation | 2005 | FINRA | $4,015,000 |
KA Investments, Inc. | | | investor protection violation | 2018 | ID-SEC | $4,011,806 |
Concordia Financing Company, Ltd. and ER Financial & Advisory Services, LLC | | | investor protection violation | 2019 | AZ-CC | $4,007,986 |
Trends Investments Inc. | | | investor protection violation | 2023 | SEC | $4,007,027 |
Wells Fargo Bank, National Association | Wells Fargo | financial services | banking violation | 2015 | OCC | $4,000,000 |
Capital One, National Association | Capital One Financial | financial services | banking violation | 2014 | OCC | $4,000,000 |
Gibraltar Private Bank and Trust Company | | | anti-money-laundering deficiencies | 2016 | FINCEN | $4,000,000 |
J.P. Morgan Securities LLC | JPMorgan Chase | financial services | investor protection violation | 2016 | SEC | $4,000,000 |
Morgan Stanley & Co. LLC | Morgan Stanley | financial services | investor protection violation | 2014 | SEC | $4,000,000 |
AVEO Pharmaceuticals Inc. | LG | diversified | investor protection violation | 2016 | SEC | $4,000,000 |
SeaWorld Entertainment Inc. | SeaWorld Entertainment | entertainment | investor protection violation | 2018 | SEC | $4,000,000 |
British Arab Commercial Bank plc | | | economic sanction violation | 2019 | OFAC | $4,000,000 |
Wells Fargo Securities, LLC and Wells Fargo Prime Services, LLC | Wells Fargo | financial services | investor protection violation | 2016 | FINRA | $4,000,000 |
Trustmark National Bank | Trustmark | financial services | banking violation | 2021 | OCC | $4,000,000 |
KPMG S.A.S. | KPMG | business services | accounting fraud or deficiencies | 2022 | PCAOB | $4,000,000 |
Goldman Sachs Asset Management, L.P. | Goldman Sachs | financial services | investor protection violation | 2022 | SEC | $4,000,000 |
Ensign Peak Advisers Inc. | | | investor protection violation | 2023 | SEC | $4,000,000 |
Gentex Corporation | Gentex | automotive parts | investor protection violation | 2023 | SEC | $4,000,000 |
J.P. Morgan Securities LLC | JPMorgan Chase | financial services | investor protection violation | 2023 | SEC | $4,000,000 |
Exchange Traded Managers Group LLC | | | investor protection violation | 2023 | SEC | $4,000,000 |
Kroll Bond Rating Agency, LLC | | | investor protection violation | 2023 | SEC | $4,000,000 |
PricewaterhouseCoopers | PricewaterhouseCoopers | business services | accounting fraud or deficiencies | 2023 | PCAOB | $4,000,000 |
OEP Capital Advisors, L.P. | | | investor protection violation | 2023 | SEC | $4,000,000 |
The New Wealth, LLC and Main Street Estate Group, Inc. and Jenny DB Properties, LLC | | | investor protection violation | 2018 | MD-SEC | $3,999,715 |
High Point Wealth Management | | | investor protection violation | 2018 | MD-SEC | $3,990,000 |
AllianceBernstein Investment Research and Management, Inc. | Equitable Holdings | financial services | investor protection violation | 2005 | FINRA | $3,984,087 |
Fifth Street Management, LLC | | | investor protection violation | 2018 | SEC | $3,983,660 |
USA Barcelona Realty Advisors, LLC | | | investor protection violation | 2018 | AZ-CC | $3,965,700 |
Jefferies LLC | Jefferies Financial Group | diversified | investor protection violation | 2019 | SEC | $3,918,000 |
Equity Acquisition Company Ltd. | | | investor protection violation | 2023 | SEC | $3,917,436 |
Legacy Hospitality II, LLC | | | investor protection violation | 2023 | SEC | $3,892,012 |
RBC Capital Markets LLC | Royal Bank of Canada | financial services | investor protection violation | 2020 | SEC | $3,889,007 |
First Capital Real Estate Investments, LLC | | | investor protection violation | 2021 | SEC | $3,876,400 |
Banque Heritage S.A. | | | tax violations | 2015 | DOJ_TAX | $3,846,000 |
Family Tree Estate Planning, LLC, | | | investor protection violation | 2023 | AZ-CC | $3,838,040 |
New York Rent-A-Car Corp. | | | tax violations | 2003 | NY-QCDA | $3,800,000 |
Yankee Financial Group, Inc. | | | investor protection violation | 2005 | FINRA | $3,800,000 |
Zuger Kantonalbank | | | tax violations | 2015 | DOJ_TAX | $3,798,000 |
UBS Securities LLC and UBS Financial Services, Inc | UBS | financial services | investor protection violation | 2011 | NJ-AG | $3,790,487 |
Friedman, Billings, Ramsey & Co., Inc. | Arlington Asset Investment Corp. | financial services | insider trading | 2006 | SEC | $3,755,839 |
STATE BANK OF INDIA | | | banking violation | 2001 | FDIC | (*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $3,750,000 |
State Bank of India | | | anti-money-laundering deficiencies | 2001 | FED | $3,750,000 |
State Bank of India | | | anti-money-laundering deficiencies | 2001 | NY-DFS | $3,750,000 |
Barclays Capital Inc. | Barclays | financial services | investor protection violation | 2013 | FINRA | $3,750,000 |
RSM US LLP | | | accounting fraud or deficiencies | 2022 | SEC | $3,750,000 |
EFG International AG | | | economic sanction violation | 2024 | OFAC | $3,740,442 |
WMF Management, LLC et al. | | | investor protection violation | 2018 | AZ-CC | $3,732,894 |
The Financial Group, LLC | | | investor protection violation | 2022 | AZ-CC | $3,706,451 |
Senior Resources Asset Fund, LLC | | | investor protection violation | 2006 | SEC | $3,699,203 |
Secure Resolutions, Inc. | | | investor protection violation | 2010 | AZ-CC | $3,685,653 |
Locke Capital Management Inc. | | | investor protection violation | 2011 | SEC | $3,673,996 |
Real Estate Finance Corp. and WIN Opportunity Fund, LLC | | | investor protection violation | 2019 | AZ-CC | $3,668,565 |
Angel Oak Capital Partners, LLC | | | investor protection violation | 2017 | SEC | $3,666,370 |
Denari Capital, LLC | | | investor protection violation | 2021 | CFTC | $3,663,282 |
Severns Properties, LLC and Severns Capital, LLC | | | investor protection violation | 2008 | AZ-CC | $3,631,115 |
Kornitzer Capital Management, Inc. | | | investor protection violation | 2019 | SEC | $3,626,995 |
Chatfield PCS Ltd. and GO ECO Manufacturing, Inc. | | | investor protection violation | 2022 | SEC | $3,625,263 |
Nato Enterprises, LLC | | | investor protection violation | 2010 | AZ-CC | $3,625,127 |
Flagstar Bank, FSB | New York Community Bancorp | financial services | banking violation | 2021 | OCC | $3,620,000 |
Graubundner Kantonalbank | | | tax violations | 2015 | DOJ_TAX | $3,616,000 |
Linsco/Private Ledger Corp. | | | investor protection violation | 2005 | FINRA | $3,602,398 |
Voya Holdings Inc. | Voya Financial | financial services | investor protection violation | 2018 | SEC | $3,600,000 |
Madigan Enterprises, Inc. et al. | | | investor protection violation | 2018 | CFTC | $3,589,913 |
PlanMember Securities Corporation | | | investor protection violation | 2019 | SEC | $3,550,660 |
5A Holdings, LLC | | | investor protection violation | 2018 | MO-SEC | $3,548,483 |
Oppenheimer & Co. Inc. and Oppenheimer Asset Management Inc. | Oppenheimer Holdings | financial services | investor protection violation | 2019 | SEC | $3,528,377 |
Up Global SEZC | | | investor protection violation | 2023 | SEC | $3,520,000 |
Cole Taylor Bank | Fifth Third Bancorp | financial services | banking violation | 2014 | FED | $3,510,000 |
Murad, LLC | | | economic sanction violation | 2023 | OFAC | $3,508,286 |
Capital One Financial Corporation | Capital One Financial | financial services | accounting fraud or deficiencies | 2013 | SEC | $3,500,000 |
Assurant Inc. | Assurant | financial services | accounting fraud or deficiencies | 2010 | SEC | $3,500,000 |
America Online, Inc. | Apollo Global Management | private equity (including portfolio companies) | accounting fraud or deficiencies | 2000 | SEC | $3,500,000 |
Wells Fargo Advisors, LLC | Wells Fargo | financial services | anti-money-laundering deficiencies | 2017 | SEC | $3,500,000 |
UBS Financial Services, Inc. | UBS | financial services | investor protection violation | 2017 | SEC | $3,500,000 |
First Reserve Management, L.P. | | | investor protection violation | 2016 | SEC | $3,500,000 |
Heartland Advisors, Inc. | | | investor protection violation | 2008 | SEC | $3,500,000 |
Citadel Securities LLC | | | investor protection violation | 2018 | SEC | $3,500,000 |
Morningstar Credit Ratings, LLC | Morningstar Inc. | miscellaneous services | investor protection violation | 2020 | SEC | $3,500,000 |
Berkshire Capital Management Company, Inc. and Eat at Joe's, Ltd. (n/k/a SPYR, Inc.) | | | investor protection violation | 2020 | SEC | $3,500,000 |
Fidelity Co-operative Bank | | | investor protection violation | 2014 | MA-SEC | $3,500,000 |
RBC Capital Markets LLC and RBC Capital Markets Arbitrage S.A. | Royal Bank of Canada | financial services | investor protection violation | 2016 | FINRA | $3,500,000 |
Garrison Point Capital, LLC | | | investor protection violation | 2022 | SEC | $3,500,000 |
Mattel Inc. | Mattel | miscellaneous manufacturing | accounting fraud or deficiencies | 2022 | SEC | $3,500,000 |
Canarsie Capital, LLC | | | investor protection violation | 2015 | SEC | $3,494,938 |
Silver Edge Financial LLC | | | investor protection violation | 2023 | SEC | $3,475,000 |
Benjamin F. Edwards & Co., Inc. | | | investor protection violation | 2019 | SEC | $3,445,264 |
Back to Green Mining, LLC | | | investor protection violation | 2023 | SEC | $3,442,175 |