Bittrex, Inc. | | | economic sanction violation | 2022 | OFAC | $24,280,829 |
Crowd Machine, Inc. and Metavine, Inc. | | | investor protection violation | 2024 | SEC | $24,234,548 |
Dreyfus Sons & Co Ltd, Banquiers | | | tax violations | 2015 | DOJ_TAX | $24,161,000 |
AK Equity Group LLC and Xapphire LLC | | | investor protection violation | 2023 | CFTC | $24,080,325 |
BNY Mellon Securities LLC | Bank of New York Mellon | financial services | investor protection violation | 2011 | SEC | $24,045,447 |
Queen Shoals, LLC, Queen Shoals II, LLC, and Select Fund, LLC | | | investor protection violation | 2011 | CFTC | $24,000,000 |
Arab Bank PLC | | | anti-money-laundering deficiencies | 2005 | OCC | $24,000,000 |
Block.one | | | investor protection violation | 2019 | SEC | $24,000,000 |
Bittrex Inc. et al. | | | investor protection violation | 2023 | SEC | $24,000,000 |
Bittrex Inc. | | | investor protection violation | 2023 | SEC | $24,000,000 |
BofA Securities, Inc. | Bank of America | financial services | investor protection violation | 2023 | FINRA | $24,000,000 |
Maerki Baumann & Co. AG | | | tax violations | 2015 | DOJ_TAX | $23,920,000 |
Executive Commodity Corp. | | | investor protection violation | 2008 | CFTC | $23,910,000 |
Liechtensteinische Landesbank AG | | | tax violations | 2013 | USAO | $23,800,000 |
Silver Star FX LLC dba Silver Star Live and Silver Star Live Software LLC | | | investor protection violation | 2021 | CFTC | $23,506,392 |
Citigroup Global Markets, Inc. | Citigroup | financial services | investor protection violation | 2017 | NY-AG | $23,500,000 |
UBS Financial Services, Inc. | UBS | financial services | investor protection violation | 2007 | NY-AG | $23,300,000 |
Summitcrest Capital, Inc. | | | investor protection violation | 2023 | SEC | $23,181,761 |
Phaetra Capital GP LLC, Phaetra Capital Management LP, and Argenta Group LLC | | | investor protection violation | 2018 | CFTC | $23,117,551 |
Commercial Express, LLC and Progressive Financial, Inc. | | | investor protection violation | 2002 | SEC | $23,032,869 |
Complete Developments, LLC and Investment International Inc. | | | investor protection violation | 2013 | CFTC | $23,000,000 |
Time Warner Inc. et al. | | | accounting fraud or deficiencies | 2006 | PA-AG | $23,000,000 |
Fabio Bretas de Freitas and Phy Capital Investments LLC | | | investor protection violation | 2019 | CFTC | $22,986,190 |
Voya Financial Advisors, Inc. | Voya Financial | financial services | investor protection violation | 2020 | SEC | $22,919,155 |
Zilmil, Inc. | | | investor protection violation | 2019 | CFTC | $22,854,289 |
Trader's International Return Network | | | investor protection violation | 2013 | CFTC | $22,800,000 |
eAdGear Inc. | | | accounting fraud or deficiencies | 2016 | SEC | $22,640,000 |
Calvert Investment Distributors, Inc. and Calvert Investment Management, Inc. | | | investor protection violation | 2017 | SEC | $22,614,534 |
Citadel Securities LLC | | | investor protection violation | 2017 | SEC | $22,600,000 |
Dinar Corp., Inc. and My Monex, Inc. | | | investor protection violation | 2020 | CFTC | $22,600,000 |
Century Maxim Fund and AJR Capital | | | investor protection violation | 2007 | CFTC | $22,500,000 |
Morgan Stanley | Morgan Stanley | financial services | toxic securities abuses | 2016 | IL-AG | $22,500,000 |
Goldman Sachs | Goldman Sachs | 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. $22,500,000 |
Nexo Capital, Inc. | | | investor protection violation | 2023 | MULTI-FIN | $22,500,000 |
Nexo Capital Inc. | | | investor protection violation | 2023 | SEC | $22,500,000 |
KuCoin | | | securities issuance or trading violation | 2023 | NY-AG | $22,066,642 |
Citigroup Inc. | Citigroup | financial services | banking violation | 2012 | FED | $22,000,000 |
Goldman Sachs & Co. | Goldman Sachs | financial services | investor protection violation | 2012 | SEC | $22,000,000 |
Risk Capital Trading Group, Inc | | | investor protection violation | 2006 | CFTC | $22,000,000 |
KPMG LLP | KPMG | business services | accounting fraud or deficiencies | 2005 | SEC | $22,000,000 |
Rahn + Bodmer Co. | | | tax violations | 2021 | USAO | $22,000,000 |
Commodity Investment Group Inc., International Commodity Clearing LLC and National Commodities Corporation Inc. | | | investor protection violation | 2007 | CFTC | $21,819,785 |
Union Bank of California, N.A. | U.S. Bancorp | financial services | anti-money-laundering deficiencies | 2007 | DOJ_CRIMINAL | $21,600,000 |
Banco Popular de Puerto Rico | Popular Inc. | financial services | anti-money-laundering deficiencies | 2003 | DOJ_CRIMINAL | $21,600,000 |
Level Global Investors LP | | | investor protection violation | 2013 | SEC | $21,514,274 |
Taberna Capital Management | | | investor protection violation | 2015 | SEC | $21,500,000 |
SmartWear Technologies, Inc. | | | investor protection violation | 2012 | CA-DFPI | $21,420,639 |
BISYS Fund Services, Inc. | | | investor protection violation | 2006 | SEC | $21,400,000 |
Tyche Asset Management LLC et al. | | | investor protection violation | 2023 | CFTC | $21,308,692 |
SunTrust Mortgage Inc. | Truist Financial | financial services | banking violation | 2012 | DOJ_RIGHTS | $21,000,000 |
D.H. Blair & Co. | | | accounting fraud or deficiencies | 2002 | NY-MANDA | $21,000,000 |
Genesis Global Capital, LLC | | | investor protection violation | 2024 | SEC | $21,000,000 |
CSK Auto Corporation | O'Reilly Automotive | retailing | accounting fraud or deficiencies | 2011 | DOJ_CRIMINAL | $20,900,000 |
Trigon Group, Inc. | | | investor protection violation | 2012 | CFTC | $20,600,000 |
Chemical Trust, U.S. Guarantee Corp., and United Marketing Trust | | | investor protection violation | 2000 | SEC | $20,590,000 |
Citigroup | Citigroup | financial services | toxic securities abuses | 2011 | NCUA | $20,500,000 |
Prime Group Holdings LLC | | | investor protection violation | 2023 | SEC | $20,500,000 |
Synergy Oil, LLC | | | investor protection violation | 2014 | CA-DFPI | $20,400,047 |
National Bank of Pakistan | | | anti-money-laundering deficiencies | 2022 | FED | $20,400,000 |
UniCredit Bank Austria AG | UniCredit | financial services | economic sanction violation | 2019 | OFAC | (*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $20,326,340 |
ITG Inc. | | | investor protection violation | 2015 | SEC | $20,300,000 |
First Capitol Futures Group | | | investor protection violation | 2010 | CFTC | $20,300,000 |
Renaissance Management, LLC et al. | | | investor protection violation | 2016 | CA-DFPI | $20,275,000 |
Oppenheimer & Co., Inc. | Oppenheimer Holdings | financial services | anti-money-laundering deficiencies | 2015 | FINCEN | $20,000,000 |
Edward D. Jones & Co. LP | Jones Financial | financial services | investor protection violation | 2015 | SEC | $20,000,000 |
JPMorgan Chase Bank | JPMorgan Chase | financial services | accounting fraud or deficiencies | 2012 | CFTC | $20,000,000 |
Guggenheim Partners Investment Management LLC | Guggenheim Partners | financial services | investor protection violation | 2015 | SEC | $20,000,000 |
CVS Caremark Corp. | CVS Health | retailing | accounting fraud or deficiencies | 2014 | SEC | $20,000,000 |
Scientific-Atlanta, Inc. | Cisco Systems | electrical and electronic equipment | accounting fraud or deficiencies | 2006 | SEC | $20,000,000 |
New York Stock Exchange, Inc. | IntercontinentalExchange Group | financial services | investor protection violation | 2005 | SEC | $20,000,000 |
Citigroup Global Markets, Inc. | Citigroup | financial services | investor protection violation | 2005 | SEC | $20,000,000 |
Franklin Advisers, Inc. and Franklin Templeton Distributors, Inc. | Franklin Resources | financial services | investor protection violation | 2004 | SEC | $20,000,000 |
Bank of America Corporation | Bank of America | financial services | investor protection violation | 2014 | SEC | $20,000,000 |
Tesla Inc. | Tesla Inc. | motor vehicles | investor protection violation | 2018 | SEC | $20,000,000 |
Clovis Oncology Inc. | Clovis Oncology | pharmaceuticals | investor protection violation | 2018 | SEC | $20,000,000 |
Carlyle Group | Carlyle Group | private equity (including portfolio companies) | investor protection violation | 2009 | NY-AG | $20,000,000 |
Citigroup | Citigroup | financial services | toxic securities abuses | 2008 | MA-AG | $20,000,000 |
OppenheimerFunds Inc. | Invesco | financial services | investor protection violation | 2009 | OR-AG | $20,000,000 |
Royal Bank of Scotland | NatWest Group PLC | financial services | toxic securities abuses | 2018 | IL-AG | $20,000,000 |
The Hartford Financial Services Group | Hartford Financial Services | financial services | investor protection violation | 2006 | MULTI-AG | $20,000,000 |
Herbalife Nutrition Ltd. | Herbalife | food products | accounting fraud or deficiencies | 2019 | SEC | $20,000,000 |
UniCredit Bank Austria AG | UniCredit | financial services | economic sanction violation | 2019 | NY-MANDA | $20,000,000 |
ABN AMRO | ABN AMRO | financial services | economic sanction violation | 2005 | NY-DFS | $20,000,000 |
Wells Fargo & Co. | Wells Fargo | financial services | investor protection violation | 2020 | MD-AG | $20,000,000 |
Andeavor LLC | Marathon Petroleum | oil and gas | accounting fraud or deficiencies | 2020 | SEC | $20,000,000 |
Deloitte Touche Tohmatsu Certified Public Accountants LLP (Deloitte-China) | Deloitte | business services | accounting fraud or deficiencies | 2022 | SEC | $20,000,000 |
Interactive Brokers Corp. and Interactive Brokers LLC | Interactive Brokers Group | financial services | investor protection violation | 2023 | CFTC | $20,000,000 |
Deloitte & Touche | Deloitte | business services | investor protection violation | 2012 | MI-AG | $19,900,000 |
Pacific Investment Management Company (PIMCO) | | | investor protection violation | 2016 | SEC | $19,829,807 |
John Hancock Investment Management Services, LLC | Manulife Financial | financial services | investor protection violation | 2007 | SEC | $19,787,879 |
American Financial Investments, LLC | | | investor protection violation | 2022 | AZ-CC | $19,724,875 |
Harrington Advisory Services SL, Richmond Royce Advisory Services SLU, and Stratford Advisory Services | | | investor protection violation | 2006 | CFTC | $19,555,041 |
UBS AG | UBS | financial services | investor protection violation | 2015 | SEC | $19,500,000 |
Countrywide Securities Corporation and Merrill Lynch, Pierce, Fenner & Smith, Inc. | Bank of America | financial services | toxic securities abuses | 2016 | VA-AG | $19,500,000 |
Williams Advisory Group, LLC | | | investor protection violation | 2018 | CFTC | $19,450,034 |
Western Asset Management Company | Franklin Resources | financial services | investor protection violation | 2014 | SEC | $19,400,000 |
DFRF Enterprises LLC and DFRF Enterprises, LLC | | | investor protection violation | 2019 | SEC | $19,390,352 |
Deutsche Investment Management Americas, Inc. et al. | Deutsche Bank | financial services | investor protection violation | 2006 | SEC | $19,329,729 |
CRW Management LP | | | investor protection violation | 2011 | CFTC | $19,000,000 |
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 |