Global Infrastructure Management, LLC | | | investor protection violation | 2021 | $4,500,000 |
Premier Marketing and Investments, Inc. | | | investor protection violation | 2003 | $4,497,451 |
Emsanet Internet Services, Inc. and Peter Restivo Inc. d/b/a U.S. Funding | | | investor protection violation | 2002 | $4,460,634 |
Deutsche Bank Securities Inc. | Deutsche Bank | financial services | investor protection violation | 2018 | $4,450,000 |
Ironridge Global Partners, LLC and Ironridge Global IV, Ltd. | | | investor protection violation | 2017 | $4,400,000 |
AutoChina International Limited | | | accounting fraud or deficiencies | 2014 | $4,350,000 |
CDH & Affiliates, Inc. | | | investor protection violation | 2004 | $4,317,616 |
China Shenghai Investment Management Limited | | | investor protection violation | 2014 | $4,300,000 |
GFI Securities LLC | BGC Partners | financial services | investor protection violation | 2019 | $4,300,000 |
Credit Suisse Securities (USA) LLC | UBS | financial services | data submission deficiencies | 2015 | $4,250,000 |
OZ Management LP | Sculptor Capital Management | financial services | data submission deficiencies | 2015 | $4,250,000 |
Ingersoll-Rand Company Ltd. | Ingersoll Rand | industrial equipment | Foreign Corrupt Practices Act | 2007 | $4,220,987 |
ICBC Standard Bank Plc | Industrial and Commercial Bank of China | financial services | investor protection violation | 2015 | $4,200,000 |
Jefferies & Co., Inc. | Jefferies Financial Group | diversified | kickbacks and bribery | 2006 | $4,200,000 |
Verto Capital Management | | | investor protection violation | 2017 | $4,158,517 |
Robert W. Baird & Co. Incorporated | | | investor protection violation | 2019 | $4,149,167 |
Fremont Investment Advisors | | | investor protection violation | 2004 | $4,146,000 |
Milan Group Inc. | | | investor protection violation | 2013 | $4,141,148 |
Telefonica Brasil S.A. | | | Foreign Corrupt Practices Act | 2019 | $4,124,000 |
Global Corporate Strategies LLC | | | investor protection violation | 2019 | $4,120,000 |
Aegerion Pharmaceuticals | Amryt Pharma | pharmaceuticals | investor protection violation | 2017 | $4,100,000 |
Parker Drilling Company | Parker Drilling | oil and gas | Foreign Corrupt Practices Act | 2013 | $4,090,818 |
Investment Placement Group | | | investor protection violation | 2011 | $4,072,027 |
Ernst & Young LLP | Ernst & Young | business services | accounting fraud or deficiencies | 2014 | $4,070,000 |
Westport Fuels Systems, Inc. | | | Foreign Corrupt Practices Act | 2019 | $4,046,000 |
Trends Investments Inc. | | | investor protection violation | 2023 | $4,007,027 |
J.P. Morgan Securities LLC | JPMorgan Chase | financial services | investor protection violation | 2016 | $4,000,000 |
Morgan Stanley & Co. LLC | Morgan Stanley | financial services | investor protection violation | 2014 | $4,000,000 |
AVEO Pharmaceuticals Inc. | LG | diversified | investor protection violation | 2016 | $4,000,000 |
Hazan Capital Management LLC | | | investor protection violation | 2009 | $4,000,000 |
SeaWorld Entertainment Inc. | SeaWorld Entertainment | entertainment | investor protection violation | 2018 | $4,000,000 |
Goldman Sachs Asset Management, L.P. | Goldman Sachs | financial services | investor protection violation | 2022 | $4,000,000 |
Ensign Peak Advisers Inc. | | | investor protection violation | 2023 | $4,000,000 |
Gentex Corporation | Gentex | automotive parts | investor protection violation | 2023 | $4,000,000 |
Flutter Entertainment plc | Flutter Entertainment PLC | entertainment | Foreign Corrupt Practices Act | 2023 | $4,000,000 |
J.P. Morgan Securities LLC | JPMorgan Chase | financial services | investor protection violation | 2023 | $4,000,000 |
Exchange Traded Managers Group LLC | | | investor protection violation | 2023 | $4,000,000 |
Kroll Bond Rating Agency, LLC | | | investor protection violation | 2023 | $4,000,000 |
OEP Capital Advisors, L.P. | | | investor protection violation | 2023 | $4,000,000 |
Fifth Street Management, LLC | | | investor protection violation | 2018 | $3,983,660 |
BMO Capital Markets Corporation | Bank of Montreal | financial services | investor protection violation | 2019 | $3,946,000 |
Camden Consulting, Inc. and SKS Consulting, Inc. | | | investor protection violation | 2007 | $3,925,000 |
Jefferies LLC | Jefferies Financial Group | diversified | investor protection violation | 2019 | $3,918,000 |
Equity Acquisition Company Ltd. | | | investor protection violation | 2023 | $3,917,436 |
Legacy Hospitality II, LLC | | | investor protection violation | 2023 | $3,892,012 |
RBC Capital Markets LLC | Royal Bank of Canada | financial services | investor protection violation | 2020 | $3,889,007 |
First Capital Real Estate Investments, LLC | | | investor protection violation | 2021 | $3,876,400 |
A.G. Edwards & Sons, Inc. | Wells Fargo | financial services | investor protection violation | 2007 | $3,860,000 |
Polycom, Inc. | Plantronics | miscellaneous manufacturing | Foreign Corrupt Practices Act | 2018 | $3,800,000 |
Friedman, Billings, Ramsey & Co., Inc. | Arlington Asset Investment Corp. | financial services | insider trading | 2006 | $3,755,839 |
RSM US LLP | | | accounting fraud or deficiencies | 2022 | $3,750,000 |
American Express Financial Advisors Inc. | Ameriprise Financial | financial services | investor protection violation | 2004 | $3,706,693 |
SAP SE | SAP | information technology | Foreign Corrupt Practices Act | 2016 | $3,700,000 |
Senior Resources Asset Fund, LLC | | | investor protection violation | 2006 | $3,699,203 |
Locke Capital Management Inc. | | | investor protection violation | 2011 | $3,673,996 |
Angel Oak Capital Partners, LLC | | | investor protection violation | 2017 | $3,666,370 |
Kornitzer Capital Management, Inc. | | | investor protection violation | 2019 | $3,626,995 |
Chatfield PCS Ltd. and GO ECO Manufacturing, Inc. | | | investor protection violation | 2022 | $3,625,263 |
RA Capital Management | | | investor protection violation | 2014 | $3,624,359 |
Voya Holdings Inc. | Voya Financial | financial services | investor protection violation | 2018 | $3,600,000 |
Morgan Stanley Smith Barney | Morgan Stanley | financial services | investor protection violation | 2018 | $3,600,000 |
PlanMember Securities Corporation | | | investor protection violation | 2019 | $3,550,660 |
Textron Inc. | Textron | aerospace and military contracting | Foreign Corrupt Practices Act | 2007 | $3,535,040 |
Oppenheimer & Co. Inc. and Oppenheimer Asset Management Inc. | Oppenheimer Holdings | financial services | investor protection violation | 2019 | $3,528,377 |
Up Global SEZC | | | investor protection violation | 2023 | $3,520,000 |
Capital One Financial Corporation | Capital One Financial | financial services | accounting fraud or deficiencies | 2013 | $3,500,000 |
Assurant Inc. | Assurant | financial services | accounting fraud or deficiencies | 2010 | $3,500,000 |
America Online, Inc. | Apollo Global Management | private equity (including portfolio companies) | accounting fraud or deficiencies | 2000 | $3,500,000 |
Wells Fargo Advisors, LLC | Wells Fargo | financial services | anti-money-laundering deficiencies | 2017 | $3,500,000 |
UBS Financial Services, Inc. | UBS | financial services | investor protection violation | 2017 | $3,500,000 |
First Reserve Management, L.P. | | | investor protection violation | 2016 | $3,500,000 |
Heartland Advisors, Inc. | | | investor protection violation | 2008 | $3,500,000 |
Citadel Securities LLC | | | investor protection violation | 2018 | $3,500,000 |
Morningstar Credit Ratings, LLC | Morningstar Inc. | miscellaneous services | investor protection violation | 2020 | $3,500,000 |
Berkshire Capital Management Company, Inc. and Eat at Joe's, Ltd. (n/k/a SPYR, Inc.) | | | investor protection violation | 2020 | $3,500,000 |
Garrison Point Capital, LLC | | | investor protection violation | 2022 | $3,500,000 |
Mattel Inc. | Mattel | miscellaneous manufacturing | accounting fraud or deficiencies | 2022 | $3,500,000 |
Canarsie Capital, LLC | | | investor protection violation | 2015 | $3,494,938 |
Silver Edge Financial LLC | | | investor protection violation | 2023 | $3,475,000 |
Benjamin F. Edwards & Co., Inc. | | | investor protection violation | 2019 | $3,445,264 |
Back to Green Mining, LLC | | | investor protection violation | 2023 | $3,442,175 |
Platinum Equity Advisors, LLC | Platinum Equity | private equity (including portfolio companies) | investor protection violation | 2017 | $3,402,132 |
PBSJ Corporation | | | Foreign Corrupt Practices Act | 2015 | $3,400,000 |
Ameritas Investment Corp. | Ameritas Mutual Holding Company | financial services | investor protection violation | 2019 | $3,389,174 |
Global Fixed Income, LLC, et al. | | | investor protection violation | 2015 | $3,385,989 |
The Lighthouse Events, LLC | | | investor protection violation | 2020 | $3,381,686 |
Anson Advisors Inc | | | investor protection violation | 2023 | $3,330,394 |
Metropolis Holdings, LLC | | | fraud | 2004 | $3,320,000 |
Morgan Stanley Investment Management | Morgan Stanley | financial services | investor protection violation | 2011 | $3,300,000 |
General American Life Insurance Company | MetLife | financial services | investor protection violation | 2007 | $3,300,000 |
BDL Manager LLC | | | investor protection violation | 2014 | $3,297,740 |
William R. Hough & Co. | | | investor protection violation | 2000 | $3,264,000 |
Level Global Investors, L.P. | | | investor protection violation | 2011 | $3,244,171 |
Everest Capital LLC | | | investor protection violation | 2020 | $3,208,226 |
GLG Partners, L.P. | | | investor protection violation | 2007 | $3,203,639 |
Cantor Fitzgerald & Co. | Cantor Fitzgerald | financial services | investor protection violation | 2020 | $3,200,000 |
CFO-5 LLC | | | investor protection violation | 2010 | $3,197,222 |
International Equity Advisors, LLC | | | investor protection violation | 2005 | $3,190,000 |
JGP Global Gestao de Recursos | | | investor protection violation | 2013 | $3,180,424 |
International Capital Group, LLC | | | investor protection violation | 2015 | $3,170,054 |
Voya Financial Advisors, Inc. | Voya Financial | financial services | investor protection violation | 2017 | $3,095,953 |