Merrill Lynch, Pierce and Fenner & Smith Incorporated | Bank of America | financial services | investor protection violation | 2018 | SEC | $8,872,723 |
Murchinson Ltd. | | | investor protection violation | 2021 | SEC | $8,878,183 |
Merrill Lynch, Pierce, Fenner & Smith | Bank of America | financial services | investor protection violation | 2018 | SEC | $8,900,000 |
Vika Ventures LLC | | | investor protection violation | 2023 | SEC | $8,929,120 |
GLG Partners L.P. | | | accounting fraud or deficiencies | 2013 | SEC | $8,954,346 |
Marshall Holdings International, Inc. | | | investor protection violation | 2009 | SEC | $8,974,033 |
Barclays Capital Inc. | Barclays | financial services | toxic securities abuses | 2016 | VA-AG | $9,000,000 |
PA Distributors | | | investor protection violation | 2004 | CA-AG | $9,000,000 |
Deutsche Bank AG | Deutsche Bank | financial services | investor protection violation | 2020 | CFTC | $9,000,000 |
LPL Financial LLC | LPL Financial | financial services | investor protection violation | 2013 | FINRA | $9,000,000 |
S&P Dow Jones Indices LLC | S&P Global | information technology | investor protection violation | 2021 | SEC | $9,000,000 |
Under Armour Inc. | Under Armour | apparel | investor protection violation | 2021 | SEC | $9,000,000 |
Betterment LLC | | | investor protection violation | 2023 | SEC | $9,000,000 |
Pacific Investment Management Company LLC (PIMCO) | | | investor protection violation | 2023 | SEC | $9,000,000 |
SMBC Nikko Securities America, Inc. | Sumitomo Group | diversified | investor protection violation | 2023 | SEC | $9,000,000 |
Nawabi Enterprise and Hyperion Consulting Inc. | | | investor protection violation | 2024 | CFTC | $9,000,000 |
Vertical Capital Asset Management, LLC | | | investor protection violation | 2017 | SEC | $9,034,957 |
Onyx Capital Advisors | | | investor protection violation | 2014 | SEC | $9,100,000 |
Crown Bridge Partners, LLC | | | investor protection violation | 2022 | SEC | $9,200,908 |
The Joseph Project | | | investor protection violation | 2021 | AZ-CC | $9,210,000 |
Bank La Roche & Co AG | | | tax violations | 2015 | DOJ_TAX | $9,296,000 |
Ernst & Young | Ernst & Young | business services | accounting fraud or deficiencies | 2016 | SEC | $9,300,000 |
LPL Financial LLC | LPL Financial | financial services | investor protection violation | 2019 | SEC | $9,333,516 |
Habib Bank AG Zurich | | | tax violations | 2015 | DOJ_TAX | $9,400,000 |
DPWN Holdings (USA), Inc. and DHL Express (USA), Inc. | | | economic sanction violation | 2009 | OFAC | $9,444,744 |
St. Galler Kantonalbank AG | | | tax violations | 2015 | DOJ_TAX | $9,481,000 |
Joint-Stock Commercial Bank (Bank of Moscow) | | | economic sanction violation | 2014 | OFAC | $9,492,525 |
Royal Alliance Associates, SagePoint Financial and FSC Securities Corporation | Reverence Capital Partners | private equity (including portfolio companies) | investor protection violation | 2016 | SEC | $9,500,000 |
Fiat Chrysler Automobiles N.V. | Stellantis | motor vehicles | investor protection violation | 2020 | SEC | $9,500,000 |
EagleBank | | | banking violation | 2022 | FED | $9,500,000 |
Advance Local Development Corp. | | | investor protection violation | 2002 | SEC | $9,509,736 |
M.A.C Investments, Inc. et al. | | | investor protection violation | 2005 | AZ-CC | $9,566,872 |
Chevron Oil Co. | Chevron | oil and gas | tax violations | 2000 | LA-AG | $9,600,000 |
3M Company | 3M Company | miscellaneous manufacturing | economic sanction violation | 2023 | OFAC | $9,618,477 |
Roadrunner Transportation Systems, Inc | Roadrunner Transportation Systems | freight and logistics | investor protection violation | 2023 | SEC | $9,635,911 |
Merrill Lynch, Pierce, Fenner & Smith Incorporated | Bank of America | financial services | investor protection violation | 2023 | SEC | $9,660,000 |
Premier Holding Corp. | | | investor protection violation | 2021 | SEC | $9,691,500 |
Banque Internationale a Luxembourg (Suisse) SA | | | tax violations | 2015 | DOJ_TAX | $9,710,000 |
Banc of America Investment Services, Inc. | Bank of America | financial services | investor protection violation | 2008 | SEC | $9,763,634 |
International Monetary Metals, Inc. | | | investor protection violation | 2016 | CFTC | $9,800,000 |
RBC Capital Markets Corporation | Royal Bank of Canada | 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. $9,800,000 |
Monterey Del Pacifico Partners LLLP | | | investor protection violation | 2020 | MD-SEC | $9,880,000 |
K.W. Brown & Company, 21st Century Advisors Inc., and K.W. Brown Investments, Inc. | | | accounting fraud or deficiencies | 2008 | SEC | $9,983,586 |
RBS Citizens, National Association | Citizens Financial Group | financial services | banking violation | 2015 | OCC | $10,000,000 |
Trump Taj Mahal Casino Resort | Hard Rock International | restaurants and foodservice | anti-money-laundering deficiencies | 2015 | FINCEN | $10,000,000 |
Merrill Lynch | Bank of America | financial services | investor protection violation | 2016 | SEC | $10,000,000 |
Satyam Computer Services Limited | Tech Mahindra | miscellaneous services | accounting fraud or deficiencies | 2011 | SEC | $10,000,000 |
Merrill Lynch | Bank of America | financial services | investor protection violation | 2011 | SEC | $10,000,000 |
BankAtlantic | Truist Financial | financial services | anti-money-laundering deficiencies | 2006 | DOJ_CRIMINAL | $10,000,000 |
Bank of China | Bank of China | financial services | banking violation | 2002 | OCC | $10,000,000 |
Marvell Technology Group, Ltd. | Marvell Technology | electrical and electronic equipment | accounting fraud or deficiencies | 2008 | SEC | $10,000,000 |
Biovail Corporation | Bausch Health | pharmaceuticals | accounting fraud or deficiencies | 2008 | SEC | $10,000,000 |
Nicor, Inc. | Southern Company | utilities and power generation | accounting fraud or deficiencies | 2007 | SEC | $10,000,000 |
American-Amicable Life Insurance Company of Texas, Pioneer American Insurance Company, and Pioneer Security Life Insurance Company | | | investor protection violation | 2006 | SEC | $10,000,000 |
Dollar General Corporation | Dollar General | retailing | accounting fraud or deficiencies | 2005 | SEC | $10,000,000 |
Gemstar-TV Guide International, Inc. | | | accounting fraud or deficiencies | 2004 | SEC | $10,000,000 |
i2 Technologies, Inc. | | | accounting fraud or deficiencies | 2004 | SEC | $10,000,000 |
American International Group, Inc. | American International Group | financial services | accounting fraud or deficiencies | 2003 | SEC | $10,000,000 |
Xerox Corporation | Xerox | miscellaneous services | accounting fraud or deficiencies | 2002 | SEC | $10,000,000 |
NASDAQ Stock Market, LLC and NASDAQ Execution Services, LLC | Nasdaq Inc. | financial services | investor protection violation | 2013 | SEC | $10,000,000 |
Canary Capital Partners LLC | | | investor protection violation | 2006 | NJ-AG | $10,000,000 |
Ernst & Young LLP | Ernst & Young | business services | accounting fraud or deficiencies | 2015 | NY-AG | $10,000,000 |
RBS Securities Inc. | NatWest Group PLC | financial services | toxic securities abuses | 2016 | VA-AG | $10,000,000 |
GFI Securities, LLC | BGC Partners | financial services | investor protection violation | 2019 | CFTC | $10,000,000 |
Cipriani Fifth Avenue, LLC et al. | | | tax violations | 2007 | NY-MANDA | $10,000,000 |
MetLife, Inc. | MetLife | financial services | investor protection violation | 2019 | SEC | $10,000,000 |
Deloitte Financial Advisory Services | Deloitte | business services | anti-money-laundering deficiencies | 2013 | NY-DFS | $10,000,000 |
Ameritrade, Inc. | Charles Schwab Corp. | financial services | investor protection violation | 2004 | FINRA | $10,000,000 |
App Annie Inc. | | | investor protection violation | 2021 | SEC | $10,000,000 |
Ernst & Young LLP | Ernst & Young | business services | accounting fraud or deficiencies | 2021 | SEC | $10,000,000 |
Medley Management | | | investor protection violation | 2022 | SEC | $10,000,000 |
Cantor Fitzgerald & Co. | Cantor Fitzgerald | financial services | investor protection violation | 2022 | SEC | $10,000,000 |
Marcum LLP | | | accounting fraud or deficiencies | 2023 | SEC | $10,000,000 |
Moelis & Company LLC | | | investor protection violation | 2023 | SEC | $10,000,000 |
Wedbush Securities Inc. | Wedbush Securities | financial services | investor protection violation | 2023 | SEC | $10,000,000 |
D. E. Shaw & Co., L.P. | | | investor protection violation | 2023 | SEC | $10,000,000 |
William Blair & Company LLC | | | investor protection violation | 2023 | SEC | $10,000,000 |
Lyft Inc. | Lyft Inc. | miscellaneous services | investor protection violation | 2023 | SEC | $10,000,000 |
Shinhan Bank America | | | anti-money-laundering deficiencies | 2023 | NY-DFS | $10,000,000 |
Credit Suisse Securities (USA) LLC | UBS | financial services | investor protection violation | 2023 | SEC | $10,000,000 |
Cambridge Investment Research Inc. | | | investor protection violation | 2024 | SEC | $10,000,000 |
Key Investment Services LLC | | | investor protection violation | 2024 | SEC | $10,000,000 |
Kestra Advisory Services, LLC | | | investor protection violation | 2021 | SEC | $10,003,172 |
Barron Thomas Scottsdale, L.L.C. et al. | | | investor protection violation | 2010 | AZ-CC | $10,051,294 |
1st Financial Bank USA | 1st Financial Bank USA | financial services | banking violation | 2010 | FDIC | $10,140,000 |
GPB Capital Holdings, LLC et al. | | | investor protection violation | 2021 | SC-INS | $10,200,000 |
Robinhood Financial LLC | Robinhood Markets | financial services | investor protection violation | 2023 | MULTI-FIN | $10,200,000 |
Mirelis Holding S.A. | | | tax violations | 2018 | DOJ_TAX | $10,245,000 |
Schroder & Co. Bank AG | | | tax violations | 2015 | DOJ_TAX | $10,354,000 |
Poloniex LLC | | | investor protection violation | 2021 | SEC | $10,388,309 |
BBVA Suiza S.A. | Banco Bilbao Vizcaya Argentaria | financial services | tax violations | 2015 | DOJ_TAX | $10,390,000 |
Agra Technologies, Inc. | | | investor protection violation | 2007 | AZ-CC | $10,417,532 |
HSBC Bank USA, N.A. | HSBC | financial services | investor protection violation | 2007 | SEC | $10,500,000 |
Fokker Services B.V. | | | economic sanction violation | 2014 | USAO | $10,500,000 |
Statoil, ASA | Equinor | oil and gas | investor protection violation | 2006 | SEC | $10,500,000 |
Catalyst Capital Advisors, LLC | | | investor protection violation | 2020 | SEC | $10,508,481 |
Bankers Life and Casualty Company and BLC Financial Services, Inc. | CNO Financial | financial services | investor protection violation | 2012 | MULTI-FIN | $10,641,000 |
LLB Verwaltung | | | tax violations | 2019 | DOJ_TAX | $10,680,554 |
Porsal Equities Ltd. | | | tax violations | 2018 | NY-AG | $10,750,000 |
UBS Financial Services, Inc. | UBS | financial services | investor protection violation | 2011 | FINRA | $10,750,000 |
Barclays Bank PLC | Barclays | financial services | insider trading | 2007 | SEC | $10,943,561 |