Raymond James & Associates, Inc. and Raymond James Financial Services, Inc. | Raymond James Financial | financial services | anti-money-laundering deficiencies | 2016 | FINRA | $17,000,000 |
COR Clearing LLC | | | anti-money-laundering deficiencies | 2013 | FINRA | $1,000,000 |
Penson Financial Services | | | anti-money-laundering deficiencies | 2010 | FINRA | $450,000 |
Pinnacle Capital Markets | | | anti-money-laundering deficiencies | 2010 | FINRA | $300,000 |
Scottrade | Charles Schwab Corp. | financial services | anti-money-laundering deficiencies | 2009 | FINRA | $600,000 |
J.P. Turner & Co. | | | anti-money-laundering deficiencies | 2009 | FINRA | $525,000 |
Park Financial Group, Inc. | | | anti-money-laundering deficiencies | 2009 | FINRA | $400,000 |
Legent Clearing, LLC | | | anti-money-laundering deficiencies | 2009 | FINRA | $350,000 |
E-Trade Securities LLC and E-Trade Clearing LLC | Morgan Stanley | financial services | anti-money-laundering deficiencies | 2009 | FINRA | $1,000,000 |
Artichoke Joe's Casino | | | anti-money-laundering deficiencies | 2021 | CA-AG | $5,300,000 |
GWFS Equities Inc. | | | anti-money-laundering deficiencies | 2021 | SEC | $1,500,000 |
HDR Global Trading Limited et al. | | | anti-money-laundering deficiencies | 2021 | FINCEN | $100,000,000 |
GPOMCT Grupo Empresarial S.A. de C.V. | | | anti-money-laundering deficiencies | 2021 | USAO | $1,100,000 |
Bicycle Hotel & Casino | | | anti-money-laundering deficiencies | 2021 | USAO | $500,000 |
CommunityBank of Texas, N.A. | | | anti-money-laundering deficiencies | 2021 | FINCEN | $7,000,000 |
National Bank of Pakistan | | | anti-money-laundering deficiencies | 2022 | NY-DFS | $35,000,000 |
MoneyGram International Inc. | Madison Dearborn Partners | private equity (including portfolio companies) | anti-money-laundering deficiencies | 2022 | NY-DFS | $8,250,000 |
National Bank of Pakistan | | | anti-money-laundering deficiencies | 2022 | NY-DFS | $35,000,000 |
Wells Fargo Advisors | Wells Fargo | financial services | anti-money-laundering deficiencies | 2022 | SEC | $7,000,000 |
A&S World Trading Incorporated | | | anti-money-laundering deficiencies | 2022 | FINCEN | $275,000 |
USAA Federal Savings Bank | USAA | financial services | anti-money-laundering deficiencies | 2022 | FINCEN | $80,000,000 |
Bittrex, Inc. | | | anti-money-laundering deficiencies | 2022 | FINCEN | $5,000,000 |
Coinbase Inc. | Coinbase Global Inc. | financial services | anti-money-laundering deficiencies | 2023 | NY-DFS | $100,000,000 |
Kingdom Trust Company | | | anti-money-laundering deficiencies | 2023 | FINCEN | $1,500,000 |
Merrill Lynch, Pierce, Fenner & Smith Inc. | Bank of America | financial services | anti-money-laundering deficiencies | 2023 | FINRA | $6,000,000 |
Merrill Lynch, Pierce, Fenner & Smith Incorporated | Bank of America | financial services | anti-money-laundering deficiencies | 2023 | SEC | $6,000,000 |
Bancredito International Bank and Trust Corporation | | | anti-money-laundering deficiencies | 2023 | FINCEN | $15,000,000 |
Amani Investments LLC | | | anti-money-laundering deficiencies | 2023 | USAO | $1,000,000 |
LYFE, S.A. | | | anti-money-laundering deficiencies | 2023 | CFTC | $212,014 |
Shinhan Bank America | | | anti-money-laundering deficiencies | 2023 | FDIC | (*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $5,000,000 |
Shinhan Bank America | | | anti-money-laundering deficiencies | 2023 | FINCEN | $15,000,000 |
Binance Holdings Limited, | Binance Holdings | financial services | anti-money-laundering deficiencies | 2023 | FINCEN | (*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $3,400,000,000 |
Oregon Tool, Inc. | Platinum Equity | private equity (including portfolio companies) | anti-money-laundering deficiencies | 2023 | USAO | $1,700,000 |
Metropolitan Commercial Bank | | | anti-money-laundering deficiencies | 2023 | NY-DFS | $15,000,000 |
Shinhan Bank America | | | anti-money-laundering deficiencies | 2023 | NY-DFS | $10,000,000 |
ArthroCare Corporation | Smith & Nephew | medical equipment and supplies | accounting fraud or deficiencies | 2014 | DOJ_CRIMINAL | $30,000,000 |
CSK Auto Corporation | O'Reilly Automotive | retailing | accounting fraud or deficiencies | 2011 | DOJ_CRIMINAL | $20,900,000 |
General Reinsurance Corporation | Berkshire Hathaway | diversified | accounting fraud or deficiencies | 2010 | DOJ_CRIMINAL | $24,500,000 |
Fifth Third Bancorp | Fifth Third Bancorp | financial services | accounting fraud or deficiencies | 2013 | SEC | $6,500,000 |
JPMorgan & Co. | JPMorgan Chase | financial services | accounting fraud or deficiencies | 2013 | SEC | $200,000,000 |
Capital One Financial Corporation | Capital One Financial | financial services | accounting fraud or deficiencies | 2013 | SEC | $3,500,000 |
Deutsche Bank Securities | Deutsche Bank | financial services | accounting fraud or deficiencies | 2014 | CFTC | $3,000,000 |
JPMorgan Chase Bank | JPMorgan Chase | financial services | accounting fraud or deficiencies | 2012 | CFTC | $20,000,000 |
JNL Oilfield Instruments, LLC | | | accounting fraud or deficiencies | 2016 | SEC | $160,000 |
Phoenix Companies | | | accounting fraud or deficiencies | 2016 | SEC | $600,000 |
StratoComm Corporation | | | accounting fraud or deficiencies | 2016 | SEC | $5,068,709 |
Icon Capital | | | accounting fraud or deficiencies | 2016 | SEC | $750,000 |
IEC Electronics Corp. | | | accounting fraud or deficiencies | 2016 | SEC | $200,000 |
Swisher Hygiene | Ecolab | chemicals | accounting fraud or deficiencies | 2016 | SEC | $2,000,000 |
Cabela's | Bass Pro | retailing | accounting fraud or deficiencies | 2016 | SEC | $1,000,000 |
Logitech International | Logitech International | electrical and electronic equipment | accounting fraud or deficiencies | 2016 | SEC | $7,500,000 |
INTL FCStone | StoneX Group | financial services | accounting fraud or deficiencies | 2016 | SEC | $150,000 |
Burrill Capital Management | | | accounting fraud or deficiencies | 2016 | SEC | $4,785,000 |
ModusLink Global Solutions Inc. | Steel Connect Inc. | freight and logistics | accounting fraud or deficiencies | 2016 | SEC | $1,600,000 |
Magnum Hunter Resources Corporation | Blue Ridge Mountain Resources | oil and gas | accounting fraud or deficiencies | 2016 | SEC | $250,000 |
KeyBanc Capital Markets Inc. | KeyCorp | financial services | accounting fraud or deficiencies | 2016 | SEC | $175,000 |
Marrone Bio Innovations | | | accounting fraud or deficiencies | 2016 | SEC | $1,750,000 |
Monsanto Company | Bayer | chemicals | accounting fraud or deficiencies | 2016 | SEC | $80,000,000 |
eAdGear Inc. | | | accounting fraud or deficiencies | 2016 | SEC | $22,640,000 |
Ocwen Financial Corp. | Ocwen Financial | financial services | accounting fraud or deficiencies | 2016 | SEC | $2,000,000 |
Miller Energy Resources | | | accounting fraud or deficiencies | 2016 | SEC | $5,000,000 |
Grant Thornton LLP | Grant Thornton | business services | accounting fraud or deficiencies | 2015 | SEC | $4,500,000 |
St. Joe Company | St. Joe Company | real estate | accounting fraud or deficiencies | 2015 | SEC | $2,750,000 |
Summit Trust Company | | | accounting fraud or deficiencies | 2015 | SEC | $18,900,000 |
Home Loan Servicing Solutions Ltd. | | | accounting fraud or deficiencies | 2015 | SEC | $1,500,000 |
Grant Thornton India LLP and Grant Thornton Audit Pty Limited | Grant Thornton | business services | accounting fraud or deficiencies | 2015 | SEC | $365,085 |
Trinity Capital Corporation | | | accounting fraud or deficiencies | 2015 | SEC | $1,500,000 |
Idle Media Inc. | | | accounting fraud or deficiencies | 2015 | SEC | $50,000 |
Stein Mart Inc. | | | accounting fraud or deficiencies | 2015 | SEC | $800,000 |
BDO USA | BDO International | business services | accounting fraud or deficiencies | 2015 | SEC | $2,100,000 |
Bankrate Inc. | Red Ventures | business services | accounting fraud or deficiencies | 2015 | SEC | $15,000,000 |
MusclePharm Corporation | | | accounting fraud or deficiencies | 2015 | SEC | $700,000 |
Summit Asset Strategies | | | accounting fraud or deficiencies | 2015 | SEC | $1,143,933 |
Vero Capital Management LLC | | | accounting fraud or deficiencies | 2015 | SEC | $3,068,706 |
Deloitte & Touche LLP | Deloitte | business services | accounting fraud or deficiencies | 2015 | SEC | $1,113,916 |
AlphaBridge Capital Management | | | accounting fraud or deficiencies | 2015 | SEC | $5,000,000 |
Computer Sciences Corporation | DXC Technology | information technology | accounting fraud or deficiencies | 2015 | SEC | $190,000,000 |
First Bancorp | First Bancorp (North Carolina) | financial services | accounting fraud or deficiencies | 2015 | SEC | $275,000 |
Polycom Inc. | Plantronics | miscellaneous manufacturing | accounting fraud or deficiencies | 2015 | SEC | $750,000 |
GLR Advisers LLC | | | accounting fraud or deficiencies | 2015 | SEC | $2,772,475 |
Broadwind Energy | Broadwind Inc. | utilities and power generation | accounting fraud or deficiencies | 2015 | SEC | $1,000,000 |
Baker Tilly Hong Kong Limited | | | accounting fraud or deficiencies | 2014 | SEC | $84,101 |
Canadian Solar Inc. | | | accounting fraud or deficiencies | 2014 | SEC | $500,000 |
Lerner & Sipkins CPAs LLC | | | accounting fraud or deficiencies | 2014 | SEC | $55,000 |
OUM & Co. | | | accounting fraud or deficiencies | 2014 | SEC | $10,000 |
Boros & Farrington Accountancy Corporation | | | accounting fraud or deficiencies | 2014 | SEC | $30,000 |
BKD LLP | | | accounting fraud or deficiencies | 2014 | SEC | $15,000 |
Hampton Roads Bankshares | Atlantic Union Bankshares | financial services | accounting fraud or deficiencies | 2014 | SEC | $200,000 |
Great Lakes Dredge & Dock Corporation | Great Lakes Dredge & Dock Corporation | miscellaneous services | accounting fraud or deficiencies | 2014 | SEC | $150,000 |
Berman & Co. P.A. | | | accounting fraud or deficiencies | 2014 | SEC | $15,000 |
JDA Software Group Inc. | New Mountain Capital | private equity (including portfolio companies) | accounting fraud or deficiencies | 2014 | SEC | $750,000 |
Saba Software | | | accounting fraud or deficiencies | 2014 | SEC | $1,750,000 |
AgFeed Industries | | | accounting fraud or deficiencies | 2014 | SEC | $18,000,000 |
Wilmington Trust | M&T Bank | financial services | accounting fraud or deficiencies | 2014 | SEC | $18,500,000 |
Ernst & Young LLP | Ernst & Young | business services | accounting fraud or deficiencies | 2014 | SEC | $4,070,000 |
OM Investment Management | | | accounting fraud or deficiencies | 2014 | SEC | $1,729,800 |
AutoChina International Limited | | | accounting fraud or deficiencies | 2014 | SEC | $4,350,000 |
CVS Caremark Corp. | CVS Health | retailing | accounting fraud or deficiencies | 2014 | SEC | $20,000,000 |
Redfin Network Inc. | | | accounting fraud or deficiencies | 2014 | SEC | $19,480 |
Lions Gate Entertainment Corp. | Lions Gate Entertainment | entertainment | accounting fraud or deficiencies | 2014 | SEC | $7,500,000 |
Belmont Partners LLC | | | accounting fraud or deficiencies | 2014 | SEC | $224,500 |