Merrill Lynch | Bank of America | financial services | investor protection violation | 2015 | $10,900,000 |
Blue Bottle Limited | | | investor protection violation | 2007 | $10,846,785 |
Fiat S.p.A. | Stellantis | motor vehicles | Foreign Corrupt Practices Act | 2008 | $10,809,142 |
Catalyst Capital Advisors, LLC | | | investor protection violation | 2020 | $10,508,481 |
HSBC Bank USA, N.A. | HSBC | financial services | investor protection violation | 2007 | $10,500,000 |
Nutrition Superstores.Com, Inc. and Advanced Wound Care, Inc. | | | investor protection violation | 2003 | $10,500,000 |
Citigroup | Citigroup | financial services | accounting fraud or deficiencies | 2018 | $10,500,000 |
Statoil, ASA | Equinor | oil and gas | investor protection violation | 2006 | $10,500,000 |
Poloniex LLC | | | investor protection violation | 2021 | $10,388,309 |
Willbros Group, Inc. | Primoris Services | construction and engineering | Foreign Corrupt Practices Act | 2008 | $10,300,000 |
AmTrust Financial Services Inc. | Stone Point Capital | private equity (including portfolio companies) | investor protection violation | 2020 | $10,300,000 |
Visium Asset Management LP | | | investor protection violation | 2018 | $10,120,711 |
Amec Foster Wheeler Limited | Wood Group | oilfield services and supplies | Foreign Corrupt Practices Act | 2021 | $10,100,000 |
Kestra Advisory Services, LLC | | | investor protection violation | 2021 | $10,003,172 |
TD Ameritrade Inc. | Charles Schwab Corp. | financial services | investor protection violation | 2011 | $10,000,000 |
International Business Machines Corp. | IBM Corp. | information technology | Foreign Corrupt Practices Act | 2011 | $10,000,000 |
Alliance One International Inc. | Pyxus International | tobacco | Foreign Corrupt Practices Act | 2010 | $10,000,000 |
Merrill Lynch | Bank of America | financial services | investor protection violation | 2016 | $10,000,000 |
Satyam Computer Services Limited | Tech Mahindra | miscellaneous services | accounting fraud or deficiencies | 2011 | $10,000,000 |
Merrill Lynch | Bank of America | financial services | investor protection violation | 2011 | $10,000,000 |
WellCare Health Plans, Inc. | Centene | healthcare services | investor protection violation | 2009 | $10,000,000 |
Marvell Technology Group, Ltd. | Marvell Technology | electrical and electronic equipment | accounting fraud or deficiencies | 2008 | $10,000,000 |
Biovail Corporation | Bausch Health | pharmaceuticals | accounting fraud or deficiencies | 2008 | $10,000,000 |
Tenet Healthcare Corporation | Tenet Healthcare | healthcare services | investor protection violation | 2007 | $10,000,000 |
Nicor, Inc. | Southern Company | utilities and power generation | accounting fraud or deficiencies | 2007 | $10,000,000 |
American-Amicable Life Insurance Company of Texas, Pioneer American Insurance Company, and Pioneer Security Life Insurance Company | | | investor protection violation | 2006 | $10,000,000 |
Morgan Stanley & Co. | Morgan Stanley | financial services | investor protection violation | 2006 | $10,000,000 |
Morgan Stanley & Co. | Morgan Stanley | financial services | data submission deficiencies | 2006 | $10,000,000 |
Dollar General Corporation | Dollar General | retailing | accounting fraud or deficiencies | 2005 | $10,000,000 |
Southwest Securities, Inc. | Hilltop Holdings | financial services | investor protection violation | 2005 | $10,000,000 |
Gemstar-TV Guide International, Inc. | | | accounting fraud or deficiencies | 2004 | $10,000,000 |
i2 Technologies, Inc. | | | accounting fraud or deficiencies | 2004 | $10,000,000 |
Banc of America Securities LLC | Bank of America | financial services | investor protection violation | 2004 | $10,000,000 |
American International Group, Inc. | American International Group | financial services | accounting fraud or deficiencies | 2003 | $10,000,000 |
Xerox Corporation | Xerox | miscellaneous services | accounting fraud or deficiencies | 2002 | $10,000,000 |
NASDAQ Stock Market, LLC and NASDAQ Execution Services, LLC | Nasdaq Inc. | financial services | investor protection violation | 2013 | $10,000,000 |
MetLife, Inc. | MetLife | financial services | investor protection violation | 2019 | $10,000,000 |
UBS Financial Services Inc. | UBS | financial services | investor protection violation | 2020 | $10,000,000 |
App Annie Inc. | | | investor protection violation | 2021 | $10,000,000 |
Ernst & Young LLP | Ernst & Young | business services | accounting fraud or deficiencies | 2021 | $10,000,000 |
Medley Management | | | investor protection violation | 2022 | $10,000,000 |
Cantor Fitzgerald & Co. | Cantor Fitzgerald | financial services | investor protection violation | 2022 | $10,000,000 |
Marcum LLP | | | accounting fraud or deficiencies | 2023 | $10,000,000 |
Moelis & Company LLC | | | investor protection violation | 2023 | $10,000,000 |
Wedbush Securities Inc. | Wedbush Securities | financial services | investor protection violation | 2023 | $10,000,000 |
D. E. Shaw & Co., L.P. | | | investor protection violation | 2023 | $10,000,000 |
William Blair & Company LLC | | | investor protection violation | 2023 | $10,000,000 |
Lyft Inc. | Lyft Inc. | miscellaneous services | investor protection violation | 2023 | $10,000,000 |
Credit Suisse Securities (USA) LLC | UBS | financial services | investor protection violation | 2023 | $10,000,000 |
Cambridge Investment Research Inc. | | | investor protection violation | 2024 | $10,000,000 |
Key Investment Services LLC | | | investor protection violation | 2024 | $10,000,000 |
K.W. Brown & Company, 21st Century Advisors Inc., and K.W. Brown Investments, Inc. | | | accounting fraud or deficiencies | 2008 | $9,983,586 |
Quad/Graphics Inc. | Quad/Graphics | miscellaneous services | Foreign Corrupt Practices Act | 2019 | $9,895,334 |
Banc of America Investment Services, Inc. | Bank of America | financial services | investor protection violation | 2008 | $9,763,634 |
Premier Holding Corp. | | | investor protection violation | 2021 | $9,691,500 |
Merrill Lynch, Pierce, Fenner & Smith Incorporated | Bank of America | financial services | investor protection violation | 2023 | $9,660,000 |
Roadrunner Transportation Systems, Inc | Roadrunner Transportation Systems | freight and logistics | investor protection violation | 2023 | $9,635,911 |
Advance Local Development Corp. | | | investor protection violation | 2002 | $9,509,736 |
FLIR Systems Inc. | Teledyne Technologies | miscellaneous manufacturing | Foreign Corrupt Practices Act | 2015 | $9,500,000 |
Royal Alliance Associates, SagePoint Financial and FSC Securities Corporation | Reverence Capital Partners | private equity (including portfolio companies) | investor protection violation | 2016 | $9,500,000 |
Deutsche Bank Securities | Deutsche Bank | financial services | investor protection violation | 2016 | $9,500,000 |
Fiat Chrysler Automobiles N.V. | Stellantis | motor vehicles | investor protection violation | 2020 | $9,500,000 |
LAN Airlines | LATAM Airlines Group | airlines | Foreign Corrupt Practices Act | 2016 | $9,400,000 |
Milan Capital Group, Inc. and Investment Offices d/b/a AC Financial, Inc. | | | investor protection violation | 2001 | $9,395,066 |
LPL Financial LLC | LPL Financial | financial services | investor protection violation | 2019 | $9,333,516 |
Goldman Sachs | Goldman Sachs | financial services | investor protection violation | 2003 | $9,305,382 |
Ernst & Young | Ernst & Young | business services | accounting fraud or deficiencies | 2016 | $9,300,000 |
The Dun & Bradstreet Corporation | Dun & Bradstreet | information technology | Foreign Corrupt Practices Act | 2018 | $9,221,484 |
Crown Bridge Partners, LLC | | | investor protection violation | 2022 | $9,200,908 |
Onyx Capital Advisors | | | investor protection violation | 2014 | $9,100,000 |
United American Ventures, LLC | | | investor protection violation | 2012 | $9,079,372 |
Vertical Capital Asset Management, LLC | | | investor protection violation | 2017 | $9,034,957 |
Novo Nordisk A/S | Novo Holdings A/S | pharmaceuticals | Foreign Corrupt Practices Act | 2009 | $9,030,149 |
Las Vegas Sands Corp. | Las Vegas Sands Corp. | entertainment | Foreign Corrupt Practices Act | 2016 | $9,000,000 |
Diamondback Capital Management LLC | | | investor protection violation | 2012 | $9,000,000 |
S&P Dow Jones Indices LLC | S&P Global | information technology | investor protection violation | 2021 | $9,000,000 |
Under Armour Inc. | Under Armour | apparel | investor protection violation | 2021 | $9,000,000 |
Betterment LLC | | | investor protection violation | 2023 | $9,000,000 |
Pacific Investment Management Company LLC (PIMCO) | | | investor protection violation | 2023 | $9,000,000 |
SMBC Nikko Securities America, Inc. | Sumitomo Group | diversified | investor protection violation | 2023 | $9,000,000 |
Marshall Holdings International, Inc. | | | investor protection violation | 2009 | $8,974,033 |
GLG Partners L.P. | | | accounting fraud or deficiencies | 2013 | $8,954,346 |
Vika Ventures LLC | | | investor protection violation | 2023 | $8,929,120 |
Merrill Lynch, Pierce, Fenner & Smith | Bank of America | financial services | investor protection violation | 2018 | $8,900,000 |
Murchinson Ltd. | | | investor protection violation | 2021 | $8,878,183 |
Artis Capital Management | | | investor protection violation | 2016 | $8,878,015 |
Merrill Lynch, Pierce and Fenner & Smith Incorporated | Bank of America | financial services | investor protection violation | 2018 | $8,872,723 |
Morgan Stanley Investment Management | Morgan Stanley | financial services | investor protection violation | 2015 | $8,800,000 |
Ameriprise Financial Services, Inc. | Ameriprise Financial | financial services | investor protection violation | 2017 | $8,750,000 |
Fenway Partners LLC | | | investor protection violation | 2015 | $8,716,471 |
Golf Emporium Corporation | | | fraud | 2000 | $8,622,014 |
Cetera Advisors, LLC and Cetera Advisor Networks, LLC | | | investor protection violation | 2022 | $8,605,470 |
Ernst & Young LLP | Ernst & Young | business services | accounting fraud or deficiencies | 2009 | $8,500,000 |
First BanCorp | First Bancorp (Puerto Rico) | financial services | accounting fraud or deficiencies | 2007 | $8,500,000 |
Penn West Petroleum Ltd. | | | accounting fraud or deficiencies | 2017 | $8,500,000 |
Evoqua Water Technologies Corp. | Xylem | miscellaneous services | accounting fraud or deficiencies | 2023 | $8,500,000 |
Nuveen Securities LLC | TIAA | financial services | investor protection violation | 2023 | $8,500,000 |
Lincoln Financial Advisors Corporation | Lincoln National | financial services | investor protection violation | 2024 | $8,500,000 |
SG Americas Securities, LLC | Societe Generale | financial services | investor protection violation | 2009 | $8,384,932 |
Bitqyck Inc. | | | investor protection violation | 2019 | $8,375,617 |
Petro-Suisse Ltd. | | | investor protection violation | 2013 | $8,370,000 |