Roadrunner Transportation Systems, Inc | Roadrunner Transportation Systems | freight and logistics | investor protection violation | 2023 | SEC | $9,635,911 |
3M Company | 3M Company | miscellaneous manufacturing | economic sanction violation | 2023 | OFAC | $9,618,477 |
Chevron Oil Co. | Chevron | oil and gas | tax violations | 2000 | LA-AG | $9,600,000 |
M.A.C Investments, Inc. et al. | | | investor protection violation | 2005 | AZ-CC | $9,566,872 |
Advance Local Development Corp. | | | investor protection violation | 2002 | SEC | $9,509,736 |
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 |
Joint-Stock Commercial Bank (Bank of Moscow) | | | economic sanction violation | 2014 | OFAC | $9,492,525 |
St. Galler Kantonalbank AG | | | tax violations | 2015 | DOJ_TAX | $9,481,000 |
DPWN Holdings (USA), Inc. and DHL Express (USA), Inc. | | | economic sanction violation | 2009 | OFAC | $9,444,744 |
Habib Bank AG Zurich | | | tax violations | 2015 | DOJ_TAX | $9,400,000 |
LPL Financial LLC | LPL Financial | financial services | investor protection violation | 2019 | SEC | $9,333,516 |
Ernst & Young | Ernst & Young | business services | accounting fraud or deficiencies | 2016 | SEC | $9,300,000 |
Bank La Roche & Co AG | | | tax violations | 2015 | DOJ_TAX | $9,296,000 |
The Joseph Project | | | investor protection violation | 2021 | AZ-CC | $9,210,000 |
Crown Bridge Partners, LLC | | | investor protection violation | 2022 | SEC | $9,200,908 |
Onyx Capital Advisors | | | investor protection violation | 2014 | SEC | $9,100,000 |
Vertical Capital Asset Management, LLC | | | investor protection violation | 2017 | SEC | $9,034,957 |
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 |
Marshall Holdings International, Inc. | | | investor protection violation | 2009 | SEC | $8,974,033 |
GLG Partners L.P. | | | accounting fraud or deficiencies | 2013 | SEC | $8,954,346 |
Vika Ventures LLC | | | investor protection violation | 2023 | SEC | $8,929,120 |
Merrill Lynch, Pierce, Fenner & Smith | Bank of America | financial services | investor protection violation | 2018 | SEC | $8,900,000 |
Murchinson Ltd. | | | investor protection violation | 2021 | SEC | $8,878,183 |
Merrill Lynch, Pierce and Fenner & Smith Incorporated | Bank of America | financial services | investor protection violation | 2018 | SEC | $8,872,723 |
Bluprint LLC | | | investor protection violation | 2023 | CFTC | $8,863,753 |
Citizens Bank | Citizens Financial Group | financial services | banking violation | 2015 | FDIC | $8,800,000 |
Morgan Stanley Investment Management | Morgan Stanley | financial services | investor protection violation | 2015 | SEC | $8,800,000 |
Brixon Group Ltd. | | | investor protection violation | 2005 | AZ-CC | $8,786,445 |
Ameriprise Financial Services, Inc. | Ameriprise Financial | financial services | investor protection violation | 2017 | SEC | $8,750,000 |
Fenway Partners LLC | | | investor protection violation | 2015 | SEC | $8,716,471 |
Costa Reit Partners LLC et al. | | | investor protection violation | 2020 | MD-SEC | $8,700,000 |
Cetera Advisors, LLC and Cetera Advisor Networks, LLC | | | investor protection violation | 2022 | SEC | $8,605,470 |
Maverick International, Inc. | | | investor protection violation | 2018 | CFTC | $8,605,274 |
Citigroup | Citigroup | financial services | banking violation | 2018 | FED | $8,600,000 |
Union de Banques Arabes et Francaises | | | economic sanction violation | 2021 | OFAC | $8,572,500 |
Bank of Tokyo-Mitsubishi UFJ, Ltd. | Mitsubishi UFJ Financial Group | financial services | economic sanction violation | 2012 | OFAC | $8,571,634 |
Charles Schwab & Co., Inc. et al. | Charles Schwab Corp. | financial services | investor protection violation | 2011 | IL-SEC | $8,567,364 |
Easy Street Financial Group, Inc. | | | investor protection violation | 2006 | AZ-CC | $8,535,467 |
Ernst & Young LLP | Ernst & Young | business services | accounting fraud or deficiencies | 2009 | SEC | $8,500,000 |
First BanCorp | First Bancorp (Puerto Rico) | financial services | accounting fraud or deficiencies | 2007 | SEC | $8,500,000 |
Penn West Petroleum Ltd. | | | accounting fraud or deficiencies | 2017 | SEC | $8,500,000 |
Israel Discount Bank of New York | Israel Discount Bank | financial services | anti-money-laundering deficiencies | 2005 | NY-MANDA | $8,500,000 |
Morgan Stanley & Co. | Morgan Stanley | financial services | investor protection violation | 2009 | MULTI-FIN | $8,500,000 |
Evoqua Water Technologies Corp. | Xylem | miscellaneous services | accounting fraud or deficiencies | 2023 | SEC | $8,500,000 |
Nuveen Securities LLC | TIAA | financial services | investor protection violation | 2023 | SEC | $8,500,000 |
Lincoln Financial Advisors Corporation | Lincoln National | financial services | investor protection violation | 2024 | SEC | $8,500,000 |
SG Americas Securities, LLC | Societe Generale | financial services | investor protection violation | 2009 | SEC | $8,384,932 |
Bitqyck Inc. | | | investor protection violation | 2019 | SEC | $8,375,617 |
Petro-Suisse Ltd. | | | investor protection violation | 2013 | SEC | $8,370,000 |
Martin Currie | | | investor protection violation | 2012 | SEC | $8,300,000 |
Enron Corp. | | | tax violations | 2005 | TX-AG | $8,300,000 |
Serafino Holdings, L.L.C. | | | investor protection violation | 2011 | NJ-AG | $8,250,000 |
MoneyGram International Inc. | Madison Dearborn Partners | private equity (including portfolio companies) | anti-money-laundering deficiencies | 2022 | NY-DFS | $8,250,000 |
KPMG | KPMG | business services | accounting fraud or deficiencies | 2014 | SEC | $8,200,000 |
Vericorp, Inc. | | | investor protection violation | 2012 | CA-DFPI | $8,200,000 |
Beam Suntory Inc. | Suntory | beverages | investor protection violation | 2018 | SEC | $8,181,838 |
UBS Financial Services Inc. | UBS | financial services | investor protection violation | 2021 | SEC | $8,112,174 |
Wedbush Securities Inc. | Wedbush Securities | financial services | investor protection violation | 2019 | SEC | $8,100,000 |
MedLink International Inc. | | | accounting fraud or deficiencies | 2013 | SEC | $8,084,515 |
Latour Trading LLC | | | investor protection violation | 2015 | SEC | $8,053,439 |
Merrill Lynch, Pierce, Fenner & Smith Incorporated | Bank of America | financial services | investor protection violation | 2019 | SEC | $8,014,000 |
Desert Palace, Inc. d/b/a Caesars Palace | Caesars Entertainment Inc. | entertainment | anti-money-laundering deficiencies | 2015 | FINCEN | $8,000,000 |
Nationwide Life Insurance Company | Nationwide | financial services | investor protection violation | 2015 | SEC | $8,000,000 |
Credit Agricole S.A. | Credit Agricole | financial services | banking violation | 2004 | FED | $8,000,000 |
Terex Corporation | Terex | heavy equipment | accounting fraud or deficiencies | 2009 | SEC | $8,000,000 |
Morgan Stanley Smith Barney | Morgan Stanley | financial services | investor protection violation | 2017 | SEC | $8,000,000 |
Artichoke Joe's Casino | | | anti-money-laundering deficiencies | 2018 | FINCEN | $8,000,000 |
deVere USA, Inc. | | | investor protection violation | 2018 | SEC | $8,000,000 |
Constant Contact, Inc. and Endurance International Group Holdings, Inc. | | | investor protection violation | 2018 | SEC | $8,000,000 |
Deloitte Touche Tohmatsu Auditores Independentes | Deloitte | business services | accounting fraud or deficiencies | 2016 | PCAOB | $8,000,000 |
Applied Digital Technologies, Inc. | | | investor protection violation | 2012 | CA-DFPI | $8,000,000 |
Western Union Financial Services, Inc. | Western Union | financial services | anti-money-laundering deficiencies | 2002 | NY-DFS | $8,000,000 |
ICE Data Pricing & Reference Data LLC | | | investor protection violation | 2020 | SEC | $8,000,000 |
Fixed Income Clearing Corporation | | | investor protection violation | 2021 | SEC | $8,000,000 |
Rollins Inc. | Rollins Inc. | miscellaneous services | accounting fraud or deficiencies | 2022 | SEC | $8,000,000 |
VMware, Inc. | Broadcom | electrical and electronic equipment | investor protection violation | 2022 | SEC | $8,000,000 |
DXC Technology Company | DXC Technology | information technology | accounting fraud or deficiencies | 2023 | SEC | $8,000,000 |
Fifth Third Securities Inc. | Fifth Third Bancorp | financial services | investor protection violation | 2023 | SEC | $8,000,000 |
U.S. Bancorp Investments Inc. | U.S. Bancorp | financial services | investor protection violation | 2024 | SEC | $8,000,000 |
Expro Group Holdings N.V. | | | investor protection violation | 2023 | SEC | $7,998,721 |
Creative Financial Funding, L.L.C. et al. | | | investor protection violation | 2002 | AZ-CC | $7,947,777 |
PricewaterhouseCoopers LLP | PricewaterhouseCoopers | business services | investor protection violation | 2019 | SEC | $7,944,055 |
Southridge Capital Management LLC and Southridge Advisors LLC | | | investor protection violation | 2018 | SEC | $7,864,064 |
Societe Internationale de Telecommunications Aeronautiques SCR | | | economic sanction violation | 2020 | OFAC | $7,829,640 |
Bordier & Cie Switzerland | | | tax violations | 2015 | DOJ_TAX | $7,827,000 |
Deutsche Bank Securities Inc. | Deutsche Bank | financial services | investor protection violation | 2010 | NC-SEC | $7,800,000 |
Zoltek Companies, Inc. | Toray Industries | chemicals | economic sanction violation | 2018 | OFAC | $7,772,102 |
ACI Inc. | | | investor protection violation | 2004 | SEC | $7,756,750 |
Wheat First Securities Inc. | | | investor protection violation | 2000 | FINRA | $7,730,000 |
Baumann & Cie, Banquiers | | | tax violations | 2015 | DOJ_TAX | $7,700,000 |
PayPal Inc. | PayPal Holdings | financial services | economic sanction violation | 2015 | OFAC | $7,658,300 |