Click on the company or penalty amount for more information on each case. Click on the current parent name to reach the summary page for that parent company.
| Company | Current Parent | Current Parent Industry | Primary Offense Type  | Year | Agency | Penalty Amount |
|---|---|---|---|---|---|---|
| HFI Manufacturing, Inc. | labor relations violation | 2020 | NLRB | $6,415 | ||
| Amalfi Stone & Masonry Co., Inc. | labor relations violation | 2020 | NLRB | $69,203 | ||
| LM Waste Services, Corp. | labor relations violation | 2020 | NLRB | $113,391 | ||
| Mountain View Health Care and Rehabilitation, LLC | labor relations violation | 2020 | NLRB | $70,814 | ||
| Sunnybrook Gardens Owner, Inc. | labor relations violation | 2020 | NLRB | $45,790 | ||
| AMI Mechanical LLC | labor relations violation | 2020 | NLRB | $6,381 | ||
| Houston Center for Infectious Disease | labor relations violation | 2020 | NLRB | $5,031 | ||
| UNITED DAIRY FARMERS, INC. | labor relations violation | 2020 | NLRB | $13,356 | ||
| Remington Lodging & Hospitality, LLC, d/b/a The Sheraton Anchorage | labor relations violation | 2020 | NLRB | $223,930 | ||
| Remington Lodging & Hospitality, LLC, d/b/a The Sheraton Anchorage | labor relations violation | 2020 | NLRB | $81,442 | ||
| Vanguard Health Systems of Michigan (VHS) | Tenet Healthcare | healthcare services | labor relations violation | 2020 | NLRB | $5,000 |
| Sammi Beauty Global | labor relations violation | 2020 | NLRB | $20,192 | ||
| Piedmont Staff, LLC | labor relations violation | 2020 | NLRB | $10,732 | ||
| Atmosphere Gastropub | labor relations violation | 2020 | NLRB | $8,613 | ||
| North American Security Inc. | labor relations violation | 2020 | NLRB | $97,809 | ||
| D2 Abatement, Inc. and Premier Environmental Solutions LLC, Alter Egos | labor relations violation | 2020 | NLRB | $84,088 | ||
| Amalgamated Transit Union, Local 1772, AFL-CIO-CLC | labor relations violation | 2020 | NLRB | $13,120 | ||
| Lederach Electric, Inc. and Morris Road Partners, LLC | labor relations violation | 2020 | NLRB | $162,522 | ||
| Alaska Communications Systems Holdings, Inc. | labor relations violation | 2020 | NLRB | $102,049 | ||
| The Green Machine Lawn & Landscaping | labor relations violation | 2020 | NLRB | $9,334 | ||
| Lakeshore Rickman JV LLC and LGC Global Inc.:alter egos, joint employers and single employer | labor relations violation | 2020 | NLRB | $113,262 | ||
| International Alliance of Theatrical Stage Employees, Moving Picture Technicians, Artists and Allied | labor relations violation | 2020 | NLRB | $23,400 | ||
| Trinity Health of New England at Home | labor relations violation | 2020 | NLRB | $105,362 | ||
| WOODCREST HEALTH CARE CENTER | labor relations violation | 2020 | NLRB | $79,316 | ||
| Herbal Healer Academy | labor relations violation | 2020 | NLRB | $15,716 | ||
| Lake Effect Group, LLC | labor relations violation | 2020 | NLRB | $8,000 | ||
| CC-1 Limited Partnership d/b/a Coca Cola Puerto Rico Bottlers | labor relations violation | 2020 | NLRB | $130,000 | ||
| Core Care Behavioral Health Management, Inc. d/b/a Kirkbride Center | labor relations violation | 2020 | NLRB | $14,000 | ||
| Sable Electric, LLC | labor relations violation | 2020 | NLRB | $6,523 | ||
| Lutheran Homes of Michigan d/b/a Wellspring Lutheran Services | labor relations violation | 2020 | NLRB | $105,671 | ||
| Leconte Medical Center | labor relations violation | 2020 | NLRB | $14,028 | ||
| Underwood Enterprises, LLC d/b/a Atlas Automotive | labor relations violation | 2020 | NLRB | $9,000 | ||
| Noble House NVWT LLC d/b/a Napa Valley Wine Train | labor relations violation | 2020 | NLRB | $52,000 | ||
| DynCorp International, LLC | Amentum Government Services Holdings LLC | miscellaneous services | kickbacks and bribery | 2020 | USAO | $1,500,000 |
| Practice Fusion Inc. | Allscripts Healthcare Solutions | information technology | kickbacks and bribery | 2020 | DOJ_CIVIL | $145,000,000 |
| Practice Fusion, Inc. | Allscripts Healthcare Solutions | information technology | kickbacks and bribery | 2020 | MULTI-AG | (*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $118,600,000 |
| ResMed Corp. | ResMed Inc. | medical equipment and supplies | kickbacks and bribery | 2020 | MULTI-AG | (*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $4,470,000 |
| Alutiiq International Solutions LLC | kickbacks and bribery | 2020 | DOJ_CRIMINAL | $1,259,444 | ||
| Novartis Pharmaceuticals Corporation | Novartis | pharmaceuticals | kickbacks and bribery | 2020 | CA-AG | $11,800,000 |
| Novartis Pharmaceuticals Corp. | Novartis | pharmaceuticals | kickbacks and bribery | 2020 | MULTI-AG | $103,000,000 |
| Pacira Pharmaceuticals, Inc. | Pacira BioSciences | pharmaceuticals | kickbacks and bribery | 2020 | MULTI-AG | (*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $3,500,000 |
| Advanced Care Scripts, Inc. | kickbacks and bribery | 2020 | USAO | $3,500,000 | ||
| Commonwealth Edison Company | Exelon | utilities and power generation | kickbacks and bribery | 2020 | USAO | $200,000,000 |
| Jia Yuan USA Co., Inc. | kickbacks and bribery | 2020 | USAO | $1,050,000 | ||
| ADDICTION CARE INTERVENTIONS CHEMICAL DEPENDENCY TREATMENT CENTERS | kickbacks and bribery | 2020 | USAO | $3,000,000 | ||
| Maersk Agency Usa Inc | Maersk | freight and logistics | Jones Act violation | 2020 | CBP | $15,750 |
| Zim Integrated Shipping Services Ltd | Zim Integrated Shipping Services Ltd. | freight and logistics | Jones Act violation | 2020 | CBP | $12,408 |
| Maersk | Maersk | freight and logistics | Jones Act violation | 2020 | CBP | $5,528 |
| Ocean Network Express Pte. Ltd | Ocean Network Express | freight and logistics | Jones Act violation | 2020 | CBP | $5,000 |
| Dinar Corp., Inc. and My Monex, Inc. | investor protection violation | 2020 | CFTC | $22,600,000 | ||
| Catalyst Capital Advisors LLC | investor protection violation | 2020 | CFTC | $10,208,481 | ||
| Mirae Asset Daewoo Co., Ltd. | investor protection violation | 2020 | CFTC | $700,000 | ||
| Propex Derivatives Pty Ltd | investor protection violation | 2020 | DOJ_CRIMINAL | $1,000,000 | ||
| Wells Fargo Clearing Services and Wells Fargo Advisors Financial Network | Wells Fargo | financial services | investor protection violation | 2020 | SEC | $35,000,000 |
| Wells Fargo & Co. | Wells Fargo | financial services | investor protection violation | 2020 | SEC | (*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $500,000,000 |
| Enigma MPC | investor protection violation | 2020 | SEC | $500,000 | ||
| Diageo plc | Diageo | beverages | investor protection violation | 2020 | SEC | $5,000,000 |
| ABN AMRO Clearing Chicago LLC | ABN AMRO | financial services | investor protection violation | 2020 | SEC | $586,000 |
| Sica Wealth Management, LLC | investor protection violation | 2020 | SEC | $378,693 | ||
| Fortress Investment Management, LLC | investor protection violation | 2020 | SEC | $104,097 | ||
| Lone Star Value Management LLC | investor protection violation | 2020 | SEC | $100,000 | ||
| BPU Investment Management, Inc. | investor protection violation | 2020 | SEC | $927,107 | ||
| Cannell Capital, LLC | investor protection violation | 2020 | SEC | $150,000 | ||
| Catalyst Capital Advisors, LLC | investor protection violation | 2020 | SEC | $10,508,481 | ||
| J.P. Morgan Securities LLC | JPMorgan Chase | financial services | investor protection violation | 2020 | SEC | $1,822,438 |
| Gain Capital UK Limited | investor protection violation | 2020 | CFTC | $491,671 | ||
| FuturesFX | investor protection violation | 2020 | CFTC | $1,750,000 | ||
| Amada Capital Management LLC | investor protection violation | 2020 | CFTC | $596,700 | ||
| Argo Group International Holdings, Ltd. | investor protection violation | 2020 | SEC | $900,000 | ||
| TSP Capital Management Group, LLC | investor protection violation | 2020 | SEC | $60,000 | ||
| U.S. Bancorp Investments, Inc. | U.S. Bancorp | financial services | investor protection violation | 2020 | SEC | $15,992,441 |
| Oxbow Advisors, LLC | investor protection violation | 2020 | SEC | $321,958 | ||
| BitClave PTE Ltd | investor protection violation | 2020 | SEC | $29,744,197 | ||
| Ares Management LLC | Ares Management | private equity (including portfolio companies) | investor protection violation | 2020 | SEC | $1,000,000 |
| Morningstar Credit Ratings, LLC | Morningstar Inc. | miscellaneous services | investor protection violation | 2020 | SEC | $3,500,000 |
| 1Globe Capital, LLC | investor protection violation | 2020 | SEC | $200,000 | ||
| Morgan Stanley Smith Barney LLC | Morgan Stanley | financial services | investor protection violation | 2020 | SEC | $5,000,000 |
| Bloomberg Tradebook LLC | Bloomberg | information technology | investor protection violation | 2020 | SEC | $5,000,000 |
| American Bondholders Foundation, LLC | investor protection violation | 2020 | SEC | $65,000 | ||
| Everest Capital LLC | investor protection violation | 2020 | SEC | $3,208,226 | ||
| Monsoon Capital, LLC | investor protection violation | 2020 | SEC | $100,000 | ||
| Semper Capital Management, L.P. | investor protection violation | 2020 | SEC | $503,228 | ||
| RBC Capital Markets LLC | Royal Bank of Canada | financial services | investor protection violation | 2020 | SEC | $3,889,007 |
| Biltmore International Corporation | investor protection violation | 2020 | SEC | $125,000 | ||
| Monomoy Capital Management, L.P. | Monomoy Capital Partners | private equity (including portfolio companies) | investor protection violation | 2020 | SEC | $1,926,579 |
| Eagle Strategies LLC | investor protection violation | 2020 | SEC | $101,090 | ||
| Merrill Lynch, Pierce and Fenner & Smith, Incorporated | Bank of America | financial services | investor protection violation | 2020 | SEC | $325,376 |
| Old Ironsides Energy, LLC | investor protection violation | 2020 | SEC | $1,000,000 | ||
| Cozad Asset Management, Inc. | investor protection violation | 2020 | SEC | $416,870 | ||
| Boenning & Scattergood, Inc. | investor protection violation | 2020 | SEC | $205,567 | ||
| Schulman Lobel Zand Katzen Williams & Blackman and LLP | investor protection violation | 2020 | SEC | $98,510 | ||
| Cantor Fitzgerald & Co. | Cantor Fitzgerald | financial services | investor protection violation | 2020 | SEC | $3,200,000 |
| HSBC Securities (USA) Inc. | HSBC | financial services | investor protection violation | 2020 | SEC | $725,000 |
| Naya Ventures, LLC | investor protection violation | 2020 | SEC | $40,000 | ||
| BMA Securities, LLC | investor protection violation | 2020 | SEC | $333,537 | ||
| Stiefel Laboratories Inc. | investor protection violation | 2020 | SEC | $26,510,000 | ||
| Navellier & Associates, Inc. | investor protection violation | 2020 | SEC | $37,478,190 | ||
| Berkshire Capital Management Company, Inc. and Eat at Joe's, Ltd. (n/k/a SPYR, Inc.) | investor protection violation | 2020 | SEC | $3,500,000 | ||
| International Investment Group, LLC | investor protection violation | 2020 | SEC | $35,000,000 | ||
| The Lighthouse Events, LLC | investor protection violation | 2020 | SEC | $3,381,686 | ||
| Rock and Roll Cycles, LLC and Cycle For Life, Inc. | investor protection violation | 2020 | SEC | $236,314 |
