CIBC Mellon Trust Company | | | fraud | 2005 | $6,030,043 |
Transamerica Financial Advisors, Inc. | Aegon | financial services | investor protection violation | 2019 | $6,023,072 |
Chicago Board Options Exchange | CBOE Holdings | financial services | investor protection violation | 2013 | $6,000,000 |
PricewaterhouseCoopers | PricewaterhouseCoopers | business services | accounting fraud or deficiencies | 2011 | $6,000,000 |
Anheuser-Busch InBev | Anheuser-Busch InBev | beverages | Foreign Corrupt Practices Act | 2016 | $6,000,000 |
Lumber Liquidators Holdings Inc. | LL Flooring Holdings | housewares and home furnishings | investor protection violation | 2019 | $6,000,000 |
Cognizant Technology Solutions Corporation | Cognizant Technology Solutions | information technology | Foreign Corrupt Practices Act | 2019 | $6,000,000 |
HP Inc. | HP Inc. | electrical and electronic equipment | accounting fraud or deficiencies | 2020 | $6,000,000 |
Healthcare Services Group, Inc. | Healthcare Services Group Inc. | business services | accounting fraud or deficiencies | 2021 | $6,000,000 |
Merrill Lynch, Pierce, Fenner & Smith Incorporated | Bank of America | financial services | anti-money-laundering deficiencies | 2023 | $6,000,000 |
DBRS Inc. | | | investor protection violation | 2023 | $6,000,000 |
Goldman Sachs & Co. LLC | Goldman Sachs | financial services | investor protection violation | 2023 | $6,000,000 |
Royal Bank of Canada | Royal Bank of Canada | financial services | accounting fraud or deficiencies | 2023 | $6,000,000 |
Transamerica Asset Management, Inc. | Aegon | financial services | investor protection violation | 2020 | $5,946,782 |
ABB Ltd | ABB Ltd. | utilities and power generation | Foreign Corrupt Practices Act | 2004 | $5,900,000 |
Prudential Securities Incorporated | Wells Fargo | financial services | investor protection violation | 2000 | $5,880,000 |
GlobalSantaFe Corp. | Transocean | oilfield services and supplies | Foreign Corrupt Practices Act | 2010 | $5,858,165 |
Securities America Advisors Inc. | Reverence Capital Partners | private equity (including portfolio companies) | investor protection violation | 2018 | $5,828,448 |
DBRS Inc. | | | investor protection violation | 2015 | $5,814,482 |
Private Advisor Group, LLC | | | investor protection violation | 2022 | $5,800,000 |
Credit Suisse Securities (USA) LLC | UBS | financial services | investor protection violation | 2017 | $5,754,714 |
Onele Trading & Finance Ltd. | | | investor protection violation | 2011 | $5,729,276 |
Capital Source Lending LLC | | | investor protection violation | 2019 | $5,720,451 |
Deephaven Capital Management, LLC | | | insider trading | 2006 | $5,709,958 |
BB&T Securities | Truist Financial | financial services | investor protection violation | 2019 | $5,709,753 |
Armor Holdings Inc. | BAE Systems | aerospace and military contracting | Foreign Corrupt Practices Act | 2011 | $5,700,000 |
Southlake Resources Group, LLC | | | fraud | 2016 | $5,681,411 |
Boon Tech | | | investor protection violation | 2020 | $5,600,334 |
Noble Corporation | Noble Corp. | oilfield services and supplies | Foreign Corrupt Practices Act | 2010 | $5,576,998 |
ABN AMRO Bank, N.V. | ABN AMRO | financial services | investor protection violation | 2013 | $5,547,408 |
AstraZeneca PLC | AstraZeneca | pharmaceuticals | kickbacks and bribery | 2016 | $5,522,000 |
Marvell Technology Group, Ltd. | Marvell Technology | electrical and electronic equipment | accounting fraud or deficiencies | 2019 | $5,500,000 |
Iconix Brand Group Inc. | Iconix Brand Group | apparel | accounting fraud or deficiencies | 2019 | $5,500,000 |
NVIDIA Corporation | Nvidia | electrical and electronic equipment | investor protection violation | 2022 | $5,500,000 |
Stephens Inc. | | | investor protection violation | 2019 | $5,489,119 |
Energy & Environmental Investments, LLC and Energy & Environment, Inc. | | | investor protection violation | 2023 | $5,428,694 |
Smith & Nephew PLC | Smith & Nephew | medical equipment and supplies | Foreign Corrupt Practices Act | 2012 | $5,400,000 |
Tenaris S.A. | Techint | diversified | Foreign Corrupt Practices Act | 2011 | $5,400,000 |
Alumni Ventures Group, LLC | | | investor protection violation | 2022 | $5,400,000 |
Foresee Inc. et al. | | | investor protection violation | 2023 | $5,374,482 |
UBS O'Connor, LLC | UBS | financial services | investor protection violation | 2013 | $5,297,716 |
Orthofix International N.V. | Orthofix Medical | medical equipment and supplies | Foreign Corrupt Practices Act | 2012 | $5,200,000 |
Goldman, Sachs & Co. | Goldman Sachs | financial services | investor protection violation | 2000 | $5,200,000 |
Beespoke Capital, Inc. | | | investor protection violation | 2023 | $5,196,518 |
CMB Export LLC | | | investor protection violation | 2018 | $5,150,000 |
Bridgeway Capital Management | | | investor protection violation | 2004 | $5,116,464 |
Wells Fargo Advisors LLC | Wells Fargo | financial services | investor protection violation | 2018 | $5,108,441 |
Taronis Technologies, Inc. | | | investor protection violation | 2022 | $5,107,900 |
Layne Christensen Company | | | Foreign Corrupt Practices Act | 2014 | $5,100,000 |
Gateway Technologies, Inc. and The Cheyenne Holding Corp. | | | fraud | 2001 | $5,083,378 |
StratoComm Corporation | | | accounting fraud or deficiencies | 2016 | $5,068,709 |
TechnipFMC plc | TechnipFMC | oilfield services and supplies | Foreign Corrupt Practices Act | 2019 | $5,061,906 |
Wells Fargo Advisors LLC | Wells Fargo | financial services | investor protection violation | 2014 | $5,000,000 |
Tyson Foods Inc. | Tyson Foods | food products | Foreign Corrupt Practices Act | 2011 | $5,000,000 |
Key Energy Services Inc. | Key Energy Services | oilfield services and supplies | Foreign Corrupt Practices Act | 2016 | $5,000,000 |
Miller Energy Resources | | | accounting fraud or deficiencies | 2016 | $5,000,000 |
AlphaBridge Capital Management | | | accounting fraud or deficiencies | 2015 | $5,000,000 |
LavaFlow Inc. | Citigroup | financial services | investor protection violation | 2014 | $5,000,000 |
Diamond Foods | Campbell Soup | food products | accounting fraud or deficiencies | 2014 | $5,000,000 |
New York Stock Exchange | IntercontinentalExchange Group | financial services | investor protection violation | 2012 | $5,000,000 |
Quadrangle Group LLC | | | kickbacks and bribery | 2010 | $5,000,000 |
Inviva Inc. | | | investor protection violation | 2004 | $5,000,000 |
SG Cowen Securities Corporation | Toronto-Dominion Bank | financial services | investor protection violation | 2003 | $5,000,000 |
PricewaterhouseCoopers LL | PricewaterhouseCoopers | business services | accounting fraud or deficiencies | 2002 | $5,000,000 |
Merrill Lynch, Pierce, Fenner & Smith Incorporated | Bank of America | financial services | investor protection violation | 2000 | $5,000,000 |
Overseas Shipholding Group | Overseas Shipholding Group | freight and logistics | accounting fraud or deficiencies | 2017 | $5,000,000 |
Vantage Drilling International | | | Foreign Corrupt Practices Act | 2018 | $5,000,000 |
Credit Suisse Securities (USA) LLC | UBS | financial services | investor protection violation | 2018 | $5,000,000 |
LendingClub Asset Management LLC | LendingClub Corp. | financial services | investor protection violation | 2018 | $5,000,000 |
UBS Financial Services Inc. | UBS | financial services | investor protection violation | 2018 | $5,000,000 |
Deer Park Road Management Company LP | | | investor protection violation | 2019 | $5,000,000 |
Comscore, Inc. | ComScore | information services | accounting fraud or deficiencies | 2019 | $5,000,000 |
Diageo plc | Diageo | beverages | investor protection violation | 2020 | $5,000,000 |
Morgan Stanley Smith Barney LLC | Morgan Stanley | financial services | investor protection violation | 2020 | $5,000,000 |
Bloomberg Tradebook LLC | Bloomberg | information technology | investor protection violation | 2020 | $5,000,000 |
Kik Interactive Inc. | | | investor protection violation | 2020 | $5,000,000 |
Morgan Stanley & Co. LLC | Morgan Stanley | financial services | investor protection violation | 2020 | $5,000,000 |
Interface Inc. | | | accounting fraud or deficiencies | 2020 | $5,000,000 |
RiverSource Distributors Inc. | | | investor protection violation | 2022 | $5,000,000 |
RiverSource Distributors, Inc. | | | investor protection violation | 2022 | $5,000,000 |
Bloomberg Finance L.P. | Bloomberg | information technology | investor protection violation | 2023 | $5,000,000 |
Brooge Energy Limited | | | investor protection violation | 2023 | $5,000,000 |
Capital Solutions Distributors, LLC and Capital Solutions Management, LP | | | accounting fraud or deficiencies | 2013 | $4,997,077 |
Lehman Brothers Inc. | | | investor protection violation | 2000 | $4,950,000 |
PlexCorps | | | investor protection violation | 2019 | $4,911,613 |
Wachovia Securities, LLC | Wells Fargo | financial services | investor protection violation | 2004 | $4,844,465 |
Delaware Asset Advisers | | | investor protection violation | 2012 | $4,814,520 |
Venture Capital Holdings LLC | | | investor protection violation | 2006 | $4,808,953 |
Burrill Capital Management | | | accounting fraud or deficiencies | 2016 | $4,785,000 |
ProSky, Inc. | | | investor protection violation | 2021 | $4,700,000 |
Ameritas Advisory Services, LLC | Ameritas Mutual Holding Company | financial services | investor protection violation | 2022 | $4,628,194 |
UBS Financial Services Inc. | UBS | financial services | investor protection violation | 2004 | $4,621,768 |
Deerfield Management Company L.P. | | | investor protection violation | 2017 | $4,600,000 |
Haidar Capital Management, LLC | | | investor protection violation | 2007 | $4,580,000 |
Philips Electronics | Royal Philips | diversified | Foreign Corrupt Practices Act | 2013 | $4,515,178 |
Universal Corporation Inc. | Universal Corporation | tobacco | Foreign Corrupt Practices Act | 2010 | $4,500,000 |
Grant Thornton LLP | Grant Thornton | business services | accounting fraud or deficiencies | 2015 | $4,500,000 |
New York Stock Exchange | IntercontinentalExchange Group | financial services | investor protection violation | 2014 | $4,500,000 |
William Blair & Company, L.L.C. | | | investor protection violation | 2017 | $4,500,000 |
Ameriprise Financial Services Inc. | Ameriprise Financial | financial services | investor protection violation | 2018 | $4,500,000 |
Global Infrastructure Management, LLC | | | investor protection violation | 2021 | $4,500,000 |