Ingram Micro Inc. | Platinum Equity | private equity (including portfolio companies) | investor protection violation | 2009 | SEC | $15,000,000 |
Fiserv Securities, Inc. | Fidelity Investments | financial services | investor protection violation | 2005 | SEC | $15,000,000 |
McKinsey & Company, Inc. | McKinsey | business services | bankruptcy professional violation | 2019 | DOJ_UTP | $15,000,000 |
Conseco, Inc. | CNO Financial | financial services | 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. $15,000,000 |
The Options Clearing Corporation | | | investor protection violation | 2019 | SEC | $15,000,000 |
BGC Financial, LP | BGC Partners | financial services | investor protection violation | 2019 | CFTC | $15,000,000 |
First Bank of Delaware | | | banking violation | 2012 | FDIC | $15,000,000 |
Nissan | Nissan | motor vehicles | accounting fraud or deficiencies | 2019 | SEC | $15,000,000 |
Raymond James & Associates, Inc. et al. | Raymond James Financial | financial services | investor protection violation | 2019 | SEC | $15,000,000 |
Credit Suisse Securities (USA) LLC | UBS | financial services | investor protection violation | 2008 | MULTI-FIN | $15,000,000 |
Deutsche Bank Securities Inc. | Deutsche Bank | 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. $15,000,000 |
Ernst & Young, LLP | Ernst & Young | business services | tax violations | 2003 | IRS | $15,000,000 |
Goldman Sachs | Goldman Sachs | financial services | investor protection violation | 2023 | CFTC | $15,000,000 |
HSBC Securities (USA) Inc. | HSBC | financial services | investor protection violation | 2023 | SEC | $15,000,000 |
MUFG Union Bank, National Association | U.S. Bancorp | financial services | banking violation | 2023 | OCC | $15,000,000 |
American Express National Bank | American Express | financial services | banking violation | 2023 | OCC | $15,000,000 |
Houlihan Lokey Capital, Inc. | | | investor protection violation | 2023 | SEC | $15,000,000 |
Bancredito International Bank and Trust Corporation | | | anti-money-laundering deficiencies | 2023 | FINCEN | $15,000,000 |
JPMorgan Chase Bank, N.A. | JPMorgan Chase | financial services | investor protection violation | 2023 | CFTC | $15,000,000 |
Robert W. Baird & Co. Inc. | | | investor protection violation | 2023 | SEC | $15,000,000 |
Shinhan Bank America | | | anti-money-laundering deficiencies | 2023 | FINCEN | $15,000,000 |
Metropolitan Commercial Bank | | | anti-money-laundering deficiencies | 2023 | NY-DFS | $15,000,000 |
U.S. Bank National Association | U.S. Bancorp | financial services | banking violation | 2023 | OCC | $15,000,000 |
Guggenheim Securities LLC | | | investor protection violation | 2024 | SEC | $15,000,000 |
UBS Financial Services | UBS | financial services | investor protection violation | 2016 | SEC | $15,025,882 |
Migros Bank AG | | | tax violations | 2015 | DOJ_TAX | $15,037,000 |
Merrill Lynch, Pierce, Fenner & Smith, Inc. | Bank of America | financial services | investor protection violation | 2022 | FINRA | $15,200,000 |
Omega Knight 2, LLC | | | investor protection violation | 2019 | CFTC | $15,257,028 |
Piguet Galland & Cie SA | | | tax violations | 2015 | DOJ_TAX | $15,365,000 |
Arcturus Corporation and Aschere Energy LLC | | | investor protection violation | 2017 | SEC | $15,500,000 |
Capital Financial Partners, LLC et al. | | | investor protection violation | 2017 | SEC | $15,700,000 |
Merrill Lynch, Pierce, Fenner & Smith Inc. | Bank of America | financial services | investor protection violation | 2018 | SEC | $15,700,000 |
GetAnswers, Inc. | | | investor protection violation | 2007 | SEC | $15,713,676 |
Medsis International, Inc. | | | investor protection violation | 2024 | SEC | $15,871,200 |
Financial Tree Trust et al. | | | investor protection violation | 2022 | CFTC | $15,900,000 |
U.S. Bancorp Investments, Inc. | U.S. Bancorp | financial services | investor protection violation | 2020 | SEC | $15,992,441 |
Riggs Bank | PNC Financial Services | financial services | anti-money-laundering deficiencies | 2005 | USAO | $16,000,000 |
Gabelli Funds LLC | Gamco Investors Inc. | financial services | investor protection violation | 2008 | SEC | $16,000,000 |
Hertz Global Holdings, Inc. | Hertz | miscellaneous services | investor protection violation | 2018 | SEC | $16,000,000 |
Nationwide Retirement Solutions | | | investor protection violation | 2010 | AL-AG | $16,000,000 |
BDO Seidman | BDO International | business services | accounting fraud or deficiencies | 2002 | USAO | $16,000,000 |
Waddell & Reed, Inc. | Macquarie | financial services | investor protection violation | 2005 | FINRA | (*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $16,000,000 |
Mondelez Global | Mondelez International | food products | investor protection violation | 2022 | CFTC | $16,000,000 |
ICOBox | | | investor protection violation | 2020 | SEC | $16,059,428 |
DCAST Capital Investments LLCandFive Traders LLC | | | investor protection violation | 2023 | CFTC | $16,087,440 |
Forstmann Little & Co. | | | investor protection violation | 2004 | CT-AG | $16,200,000 |
Murtha Cullina LLP | | | investor protection violation | 2007 | CT-AG | $16,250,000 |
Berkshire Resources, L.L.C. | | | investor protection violation | 2010 | SEC | $16,255,846 |
The Chamber Group, Inc. | | | investor protection violation | 2002 | AZ-CC | $16,342,404 |
CG Technology LP (formerly Cantor Gaming) | | | anti-money-laundering deficiencies | 2016 | USAO | $16,500,000 |
Virtus Investment Advisers, Inc. | | | investor protection violation | 2015 | SEC | $16,500,000 |
Credit Suisse Securities (USA) LLC | UBS | financial services | anti-money-laundering deficiencies | 2016 | FINRA | $16,500,000 |
Northwestern Mutual Investment Services LLC | Northwestern Mutual | financial services | investor protection violation | 2024 | SEC | $16,500,000 |
Bank of America N.A. | Bank of America | financial services | economic sanction violation | 2014 | OFAC | $16,562,700 |
Whispering Winds Properties, L.L.C et al. | | | investor protection violation | 2009 | AZ-CC | $16,633,570 |
Christie's Inc. | | | tax violations | 2020 | NY-MANDA | $16,700,000 |
1st Global Advisors, Inc. | | | investor protection violation | 2021 | SEC | $16,873,153 |
Morgan Stanley & Co. Incorporated | Morgan Stanley | financial services | investor protection violation | 2007 | SEC | $17,000,000 |
Raymond James & Associates, Inc. and Raymond James Financial Services, Inc. | Raymond James Financial | financial services | anti-money-laundering deficiencies | 2016 | FINRA | $17,000,000 |
The Options Clearing Corporation | | | investor protection violation | 2023 | SEC | $17,000,000 |
Deutsche Asset Management, Inc. and Deutsche Investment Management Americas, Inc. | Deutsche Bank | financial services | investor protection violation | 2006 | SEC | $17,200,000 |
Wells Fargo | Wells Fargo | financial services | toxic securities abuses | 2018 | IL-AG | $17,250,000 |
Ameriprise Financial Services, Inc. | Ameriprise Financial | financial services | investor protection violation | 2009 | SEC | $17,300,000 |
Wells Fargo Clearing Services, LLC and Wells Fargo Advisors Financial Network, LLC | Wells Fargo | financial services | investor protection violation | 2019 | SEC | $17,363,847 |
UBS Willow Management LLC and UBS Fund Advisor LLC | UBS | financial services | investor protection violation | 2015 | SEC | $17,500,000 |
Deutsche Bank Securities Inc. | Deutsche Bank | financial services | investor protection violation | 2013 | MA-SEC | $17,500,000 |
Societe Generale Private Banking (Suisse) SA | Societe Generale | financial services | tax violations | 2015 | DOJ_TAX | $17,807,000 |
CanAm Capital Corp. et al. | | | investor protection violation | 2012 | CA-DFPI | $17,860,000 |
BioChemics Inc. | | | investor protection violation | 2015 | SEC | $17,897,887 |
Citibank, N.A. | Citigroup | financial services | banking violation | 2020 | OCC | $17,998,510 |
AgFeed Industries | | | accounting fraud or deficiencies | 2014 | SEC | $18,000,000 |
Allianz Dresdner Asset Management of America LP | Allianz | financial services | investor protection violation | 2004 | NJ-AG | $18,000,000 |
Franklin/Templeton Distributors, Inc. | Franklin Resources | financial services | investor protection violation | 2004 | CA-AG | $18,000,000 |
Markstone Capital Group LLC | | | investor protection violation | 2010 | NY-AG | $18,000,000 |
Waddell & Reed, Inc. | Macquarie | financial services | investor protection violation | 2005 | MULTI-FIN | $18,000,000 |
BMW AG | BMW | motor vehicles | accounting fraud or deficiencies | 2020 | SEC | $18,000,000 |
RBS Financial Products, Inc. | NatWest Group PLC | financial services | toxic securities abuses | 2020 | MD-AG | $18,000,000 |
MIO Partners Inc. | | | investor protection violation | 2021 | SEC | $18,000,000 |
Baxter International Inc. | Baxter International | medical equipment and supplies | accounting fraud or deficiencies | 2022 | SEC | $18,000,000 |
Digital World Acquisition Corp. | | | investor protection violation | 2023 | SEC | $18,000,000 |
AssetMark Inc. | | | investor protection violation | 2023 | SEC | $18,000,000 |
J.P. Morgan Securities LLC | JPMorgan Chase | financial services | investor protection violation | 2024 | SEC | $18,000,000 |
Pruco Securities, LLC | Prudential Financial | financial services | investor protection violation | 2020 | SEC | $18,252,341 |
ICP Asset Management | | | investor protection violation | 2012 | SEC | $18,275,033 |
Citigroup Global Markets | Citigroup | financial services | investor protection violation | 2017 | SEC | $18,300,000 |
Wilmington Trust | M&T Bank | financial services | accounting fraud or deficiencies | 2014 | SEC | $18,500,000 |
Deutsche Bank | Deutsche Bank | financial services | investor protection violation | 2016 | SEC | $18,500,000 |
Presbyterian Healthcare | | | tax violations | 2017 | NM-AG | $18,500,000 |
iFinex Inc. et al. | | | investor protection violation | 2021 | NY-AG | $18,500,000 |
Green Screen Partners, LLC et al. | | | investor protection violation | 2002 | CA-DFPI | $18,592,430 |
KBL (Switzerland) Ltd. | | | tax violations | 2015 | DOJ_TAX | $18,792,000 |
Chatham Asset Management LLC | Chatham Asset Management | financial services | investor protection violation | 2023 | SEC | $18,800,000 |
Summit Trust Company | | | accounting fraud or deficiencies | 2015 | SEC | $18,900,000 |
Citigroup, Inc. | Citigroup | financial services | accounting fraud or deficiencies | 2003 | SEC | $19,000,000 |
Qwest | Lumen Technologies | telecommunications | accounting fraud or deficiencies | 2007 | AK-AG | $19,000,000 |
Standard and Poor's Financial Services LLC | S&P Global | information technology | investor protection violation | 2015 | MULTI-AG | $19,000,000 |
Deutsche Investment Management Americas, Inc. et al. | Deutsche Bank | financial services | investor protection violation | 2006 | SEC | $19,329,729 |
DFRF Enterprises LLC and DFRF Enterprises, LLC | | | investor protection violation | 2019 | SEC | $19,390,352 |
Western Asset Management Company | Franklin Resources | financial services | investor protection violation | 2014 | SEC | $19,400,000 |
Williams Advisory Group, LLC | | | investor protection violation | 2018 | CFTC | $19,450,034 |
UBS AG | UBS | financial services | investor protection violation | 2015 | SEC | $19,500,000 |