| Putnam Investment Management LLC | Franklin Resources | investor protection violation | 2004 | SEC | $55,000,000 |
| Legg Mason Wood Walker, Inc. | Franklin Resources | investor protection violation | 2004 | SEC | $2,315,467 |
| Legg Mason Inc. | Franklin Resources | Foreign Corrupt Practices Act | 2018 | DOJ_CRIMINAL | $64,200,000 |
| Legg Mason Inc. | Franklin Resources | Foreign Corrupt Practices Act | 2018 | SEC | $34,500,000 |
| Western Asset Management Company | Franklin Resources | benefit plan administrator violation | 2014 | EBSA | $21,000,000 |
| Putnam Investment Management, LLC | Franklin Resources | investor protection violation | 2018 | SEC | $1,000,000 |
| Putnam Investment Management, LLC | Franklin Resources | investor protection violation | 2007 | SEC | $350,000 |
| Legg Mason Wood Walker, Incorporated | Franklin Resources | investor protection violation | 2005 | SEC | $1,000,000 |
| Putnam Investment Management, LLC | Franklin Resources | investor protection violation | 2005 | SEC | $40,000,001 |
| Western Asset Management Co. | Franklin Resources | investor protection violation | 2001 | SEC | $50,000 |
| Legg Mason Fund Adviser, Inc. | Franklin Resources | investor protection violation | 2001 | SEC | $50,000 |
| Legg Mason Wood Walker, Incorporated | Franklin Resources | investor protection violation | 2001 | SEC | $50,000 |
| Franklin/Templeton Distributors, Inc. | Franklin Resources | investor protection violation | 2004 | CA-AG | $18,000,000 |
| Franklin Templeton Distributors, Inc. | Franklin Resources | Family and Medical Leave Act | 2016 | WHD | $23,252 |
| Franklin Advisers and Inc. | Franklin Resources | investor protection violation | 2020 | SEC | $250,000 |
| Franklin Templeton Investments Corp. | Franklin Resources | investor protection violation | 2020 | SEC | $75,000 |
| Putnam Retail Management Limited Partnership | Franklin Resources | investor protection violation | 2007 | FINRA | $175,000 |
| Franklin Resources, Inc. | Franklin Resources | benefit plan administrator violation | 2019 | private lawsuit-federal | $13,850,000 |
| Federal Home Loan Mortgage Corporation (Freddie Mac) | Freddie Mac (Federal Home Loan Mortgage Corporation) | investor protection violation | 2007 | SEC | $50,000,000 |
| The Federal Home Loan Mortgage Corporation | Freddie Mac (Federal Home Loan Mortgage Corporation) | wage and hour violation | 2011 | WHD | $24,153 |
| Freddie Mac | Freddie Mac (Federal Home Loan Mortgage Corporation) | consumer protection violation | 2008 | NY-AG | $12,000,000 |
| Federal Home Loan Mortgage Corp. | Freddie Mac (Federal Home Loan Mortgage Corporation) | environmental violation | 2012 | VA-ENV | $55,802 |
| Freddie Mac | Freddie Mac (Federal Home Loan Mortgage Corporation) | environmental violation | 2023 | RI-AG | $460,000 |
| Freedom Mortgage Corporation | Freedom Mortgage | False Claims Act and related | 2016 | DOJ_CIVIL | $113,000,000 |
| Freedom Mortgage Corporation | Freedom Mortgage | discriminatory practices (non-employment) | 2014 | HUD | $104,000 |
| Freedom Mortgage | Freedom Mortgage | wage and hour violation | 2015 | private lawsuit-federal | $900,000 |
| Freedom Mortgage | Freedom Mortgage | wage and hour violation | 2012 | private lawsuit-federal | $1,600,000 |
| Freedom Mortgage Corporation | Freedom Mortgage | mortgage abuses | 2019 | CFPB | $1,750,000 |
| Freedom Mortgage Corporation | Freedom Mortgage | wage and hour violation | 2019 | private lawsuit-federal | $4,480,000 |
| Freedom Mortgage Corp. | Freedom Mortgage | consumer protection violation | 2009 | CT-BKG | $43,000 |
| Freedom Mortgage Corp. | Freedom Mortgage | mortgage abuses | 2016 | MA-BKG | $2,000,000 |
| Freedom Mortgage Corporation dba Jefferson Home Mortgage and Loan | Freedom Mortgage | consumer protection violation | 2010 | PA-BKG | $10,000 |
| FREEDOM MORTGAGE CORPORATION | Freedom Mortgage | consumer protection violation | 2016 | VA-FIN | $17,000 |
| Freedom Mortgage Corp. | Freedom Mortgage | consumer protection violation | 2009 | WA-FIN | $52,791 |
| Freedom Mortgage Corp. | Freedom Mortgage | consumer protection violation | 2020 | MA-BKG | $25,000 |
| Freedom Mortgage Corporation | Freedom Mortgage | consumer protection violation | 2020 | CA-DFPI | $75,000 |
| Freedom Mortgage Corp. | Freedom Mortgage | consumer protection violation | 2023 | NJ-AG | $502,000 |
| Freedom Mortgage Corporation | Freedom Mortgage | kickbacks and bribery | 2023 | CFPB | $1,750,000 |
| Freedom Mortgage | Freedom Mortgage | wage and hour violation | 2021 | MI-LEO | $8,000 |
| Swineford National Bank | Fulton Financial | banking violation | 2013 | OCC | $33,880 |
| THE COLUMBIA BANK | Fulton Financial | banking violation | 2002 | FDIC | $7,000 |
| Fulton Financial Corporation | Fulton Financial | investor protection violation | 2020 | SEC | $1,500,000 |
| Gabelli Funds, LLC | Gamco Investors Inc. | investor protection violation | 2009 | SEC | $450,000 |
| Gabelli Funds LLC | Gamco Investors Inc. | investor protection violation | 2008 | SEC | $16,000,000 |
| Genworth Life Insurance Co. | Genworth Financial | insurance violation | 2014 | MULTI-AG | $1,900,000 |
| Genworth Life and Annuity Insurance Co. | Genworth Financial | insurance violation | 2010 | FL-OFR | $18,000 |
| Genworth Life and Annuity Insurance Co. | Genworth Financial | insurance violation | 2014 | FL-OFR | $10,500 |
| Genworth Life Insurance Co. | Genworth Financial | insurance violation | 2016 | MD-INS | $37,800 |
| Genworth Mortgage Insurance Corp. | Genworth Financial | insurance violation | 2015 | MN-FIN | $90,000 |
| Genworth Life Insurance Co. | Genworth Financial | insurance violation | 2016 | MN-FIN | $7,500 |
| Genworth Life and Annuity Insurance Co. | Genworth Financial | insurance violation | 2011 | MT-FIN | $5,000 |
| Genworth Life Insurance Company | Genworth Financial | insurance violation | 2019 | NJ-DBI | $10,000 |
| Genworth Life Insurance Company | Genworth Financial | insurance violation | 2019 | SD-INS | $5,000 |
| Genworth Life and Annuity Insurance Company | Genworth Financial | insurance violation | 2011 | UT-INS | $6,000 |
| GENWORTH LIFE AND ANNUITY INSURANCE CO | Genworth Financial | insurance violation | 2006 | VA-INS | $12,000 |
| GENWORTH LIFE AND ANNUITY INS | Genworth Financial | insurance violation | 2014 | VA-INS | $13,000 |
| Genworth Life Insurance Co. | Genworth Financial | insurance violation | 2012 | WI-INS | $65,000 |
| Genworth Life and Annuity Insurance | Genworth Financial | consumer protection violation | 2022 | private lawsuit-federal | $24,997,961 |
| German American Bancorp | German American Bancorp | banking violation | 2013 | FDIC | $70,000 |
| German American Bancorp | German American Bancorp | banking violation | 2012 | FDIC | $15,000 |
| Glacier Bank | Glacier Bancorp | banking violation | 2020 | FDIC | $16,750 |
| Xstrata Copper | Glencore | railroad safety violation | 2011 | FRA | $7,500 |
| Xstrata Copper | Glencore | railroad safety violation | 2012 | FRA | $12,000 |
| Chemoil Corporation | Glencore | environmental violation | 2016 | EPA | $27,000,000 |
| Chemoil Corporation | Glencore | wage and hour violation | 2013 | WHD | $16,594 |
| Glencore | Glencore | environmental violation | 2006 | CA-ARB | $10,000 |
| Corpus Christi Alumina LLC | Glencore | environmental violation | 2021 | TX-ENV | $32,400 |
| Glencore International A.G. and Glencore Ltd. | Glencore | Foreign Corrupt Practices Act | 2022 | DOJ_CRIMINAL | (*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $1,185,000,000 |
| Glencore International A.G. | Glencore | price-fixing or anti-competitive practices | 2022 | CFTC | $1,186,000,000 |
| Glencore Ltd. | Glencore | price-fixing or anti-competitive practices | 2022 | private lawsuit-federal | $9,850,000 |
| Glencore Ltd. | Glencore | environmental violation | 2013 | EPA | $98,954 |
| CHEMOIL CORPORATION | Glencore | environmental violation | 2016 | EPA | (*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $27,000,000 |
| Central Payment Co., LLC | Global Payments Inc. | wage and hour violation | 2014 | WHD | $29,634 |
| Central Payment Co., LLC | Global Payments Inc. | wage and hour violation | 2014 | WHD | $13,560 |
| Total System Services Inc | Global Payments Inc. | wage and hour violation | 2014 | WHD | $32,095 |
| Heartland Payment Systems, LLC | Global Payments Inc. | investor protection violation | 2018 | SEC | $2,160,000 |
| Heartland Payment Systems, LLC dba HPS Heartland Payroll Solutions, Inc. | Global Payments Inc. | consumer protection violation | 2019 | CT-BKG | $12,450 |
| Central Payment Co. | Global Payments Inc. | consumer protection violation | 2022 | private lawsuit-federal | $84,000,000 |
| Torchmark Corporation | Globe Life Inc. | Medicare Parts C and D Enforcement Action | 2014 | CMS | $40,000 |
| Torchmark Corporation | Globe Life Inc. | Medicare Parts C and D Enforcement Action | 2013 | CMS | $150,000 |
| United American Insurance Company | Globe Life Inc. | wage and hour violation | 2012 | WHD | $19,791 |
| United American Insurance Co. | Globe Life Inc. | consumer protection violation | 2003 | CT-AG | $45,000 |
| United American Insurance Co. | Globe Life Inc. | insurance violation | 2012 | CO-INS | $86,500 |
| Globe Life and Accident Insurance Co. | Globe Life Inc. | insurance violation | 2014 | CO-INS | $12,100 |
| Globe Life and Accident Insurance Co. | Globe Life Inc. | insurance violation | 2001 | FL-OFR | $6,000 |
| Liberty National Life Insurance Co. | Globe Life Inc. | insurance violation | 2011 | FL-OFR | $60,000 |
| Globe Life and Accident Insurance Co. | Globe Life Inc. | insurance violation | 2008 | ID-INS | $26,000 |
| Globe Life & Accident Insurance Co. | Globe Life Inc. | insurance violation | 2012 | KS-INS | $17,250 |
| United American Insurance Co. | Globe Life Inc. | insurance violation | 2013 | MD-INS | $5,200 |
| Globe Life and Accident Insurance Co. | Globe Life Inc. | insurance violation | 2017 | ME-INS | $250,000 |
| American Income Life Insurance Co. | Globe Life Inc. | insurance violation | 2002 | MS-INS | $50,000 |
| American Income Life Insurance Co. | Globe Life Inc. | insurance violation | 2019 | MT-FIN | $15,000 |
| Globe Life Insurance Company of New York | Globe Life Inc. | insurance violation | 2017 | NY-DFS | $538,375 |
| Globe Life Insurance Company of New York | Globe Life Inc. | insurance violation | 2019 | NY-DFS | $7,769,000 |
| Globe Life And Accident Insurance Compan | Globe Life Inc. | insurance violation | 2002 | OR-FIN | $5,000 |
| Globe Life and Accident Insurance Company | Globe Life Inc. | insurance violation | 2013 | UT-INS | $10,000 |
| UNITED AMERICAN INSURANCE CO. | Globe Life Inc. | insurance violation | 2002 | VA-INS | $10,000 |
| UNITED AMERICAN INSURANCE CO. | Globe Life Inc. | insurance violation | 2003 | VA-INS | $15,000 |
| UNITED AMERICAN INSURANCE CO. | Globe Life Inc. | insurance violation | 2005 | VA-INS | $5,000 |
| UNITED AMERICAN INSURANCE CO. | Globe Life Inc. | insurance violation | 2007 | VA-INS | $15,000 |
| Globe Life and Accident Insurance Company | Globe Life Inc. | insurance violation | 2019 | VA-INS | $15,000 |
