Goldman Sachs & Co. |
Goldman Sachs |
financial services |
2012 |
SEC |
$22,000,000 |
Risk Capital Trading Group, Inc |
|
|
2006 |
CFTC |
$22,000,000 |
Commodity Investment Group Inc., International Commodity Clearing LLC and National Commodities Corporation Inc. |
|
|
2007 |
CFTC |
$21,819,785 |
Level Global Investors LP |
|
|
2013 |
SEC |
$21,514,274 |
Taberna Capital Management |
|
|
2015 |
SEC |
$21,500,000 |
SmartWear Technologies, Inc. |
|
|
2012 |
CA-DFPI |
$21,420,639 |
BISYS Fund Services, Inc. |
|
|
2006 |
SEC |
$21,400,000 |
Trigon Group, Inc. |
|
|
2012 |
CFTC |
$20,600,000 |
Chemical Trust, U.S. Guarantee Corp., and United Marketing Trust |
|
|
2000 |
SEC |
$20,590,000 |
Synergy Oil, LLC |
|
|
2014 |
CA-DFPI |
$20,400,047 |
ITG Inc. |
|
|
2015 |
SEC |
$20,300,000 |
First Capitol Futures Group |
|
|
2010 |
CFTC |
$20,300,000 |
Renaissance Management, LLC et al. |
|
|
2016 |
CA-DFPI |
$20,275,000 |
Edward D. Jones & Co. LP |
Jones Financial |
financial services |
2015 |
SEC |
$20,000,000 |
Guggenheim Partners Investment Management LLC |
Guggenheim Partners |
financial services |
2015 |
SEC |
$20,000,000 |
New York Stock Exchange, Inc. |
IntercontinentalExchange Group |
financial services |
2005 |
SEC |
$20,000,000 |
Citigroup Global Markets, Inc. |
Citigroup |
financial services |
2005 |
SEC |
$20,000,000 |
Franklin Advisers, Inc. and Franklin Templeton Distributors, Inc. |
Franklin Resources |
financial services |
2004 |
SEC |
$20,000,000 |
Bank of America Corporation |
Bank of America |
financial services |
2014 |
SEC |
$20,000,000 |
Tesla Inc. |
Tesla Inc. |
motor vehicles |
2018 |
SEC |
$20,000,000 |
Clovis Oncology Inc. |
Clovis Oncology |
pharmaceuticals |
2018 |
SEC |
$20,000,000 |
Carlyle Group |
Carlyle Group |
private equity (including portfolio companies) |
2009 |
NY-AG |
$20,000,000 |
OppenheimerFunds Inc. |
Invesco |
financial services |
2009 |
OR-AG |
$20,000,000 |
The Hartford Financial Services Group |
Hartford Financial Services |
financial services |
2006 |
MULTI-AG |
$20,000,000 |
Wells Fargo & Co. |
Wells Fargo |
financial services |
2020 |
MD-AG |
$20,000,000 |
Deloitte & Touche |
Deloitte Touche Tohmatsu |
business services |
2012 |
MI-AG |
$19,900,000 |
Pacific Investment Management Company (PIMCO) |
|
|
2016 |
SEC |
$19,829,807 |
John Hancock Investment Management Services, LLC |
Manulife Financial |
financial services |
2007 |
SEC |
$19,787,879 |
Harrington Advisory Services SL, Richmond Royce Advisory Services SLU, and Stratford Advisory Services |
|
|
2006 |
CFTC |
$19,555,041 |
UBS AG |
UBS |
financial services |
2015 |
SEC |
$19,500,000 |
Williams Advisory Group, LLC |
|
|
2018 |
CFTC |
$19,450,034 |
Western Asset Management Company |
Franklin Resources |
financial services |
2014 |
SEC |
$19,400,000 |
DFRF Enterprises LLC and DFRF Enterprises, LLC |
|
|
2019 |
SEC |
$19,390,352 |
Deutsche Investment Management Americas, Inc. et al. |
Deutsche Bank |
financial services |
2006 |
SEC |
$19,329,729 |
CRW Management LP |
|
|
2011 |
CFTC |
$19,000,000 |
Standard and Poor's Financial Services LLC |
S&P Global |
information technology |
2015 |
MULTI-AG |
$19,000,000 |
WinterHawk West Indies, Ltd., Funders Marketing Company, Inc., FMCI Trust, Fortune Investments, Ltd., and TREDS Financial Trust |
|
|
2001 |
SEC |
$18,864,116 |
Green Screen Partners, LLC et al. |
|
|
2002 |
CA-DFPI |
$18,592,430 |
Deutsche Bank |
Deutsche Bank |
financial services |
2016 |
SEC |
$18,500,000 |
Telegram Group Inc. |
|
|
2020 |
SEC |
$18,500,000 |
Cromwell Financial Services, Inc. |
|
|
2007 |
CFTC |
$18,400,000 |
Citigroup Global Markets |
Citigroup |
financial services |
2017 |
SEC |
$18,300,000 |
ICP Asset Management |
|
|
2012 |
SEC |
$18,275,033 |
U.S. Bank National Association |
U.S. Bancorp |
financial services |
2015 |
CFTC |
$18,000,000 |
American Bullion Exchange |
|
|
2014 |
CFTC |
$18,000,000 |
Allianz Dresdner Asset Management of America LP |
Allianz |
financial services |
2004 |
NJ-AG |
$18,000,000 |
Franklin/Templeton Distributors, Inc. |
Franklin Resources |
financial services |
2004 |
CA-AG |
$18,000,000 |
Markstone Capital Group LLC |
|
|
2010 |
NY-AG |
$18,000,000 |
Waddell & Reed, Inc. |
Waddell & Reed Financial Inc. |
financial services |
2005 |
MULTI-FIN |
$18,000,000 |
BioChemics Inc. |
|
|
2015 |
SEC |
$17,897,887 |
CanAm Capital Corp. et al. |
|
|
2012 |
CA-DFPI |
$17,860,000 |
UBS Willow Management LLC and UBS Fund Advisor LLC |
UBS |
financial services |
2015 |
SEC |
$17,500,000 |
Deutsche Bank Securities Inc. |
Deutsche Bank |
financial services |
2013 |
MA-SEC |
$17,500,000 |
DG Wealth Management |
|
|
2016 |
CFTC |
$17,499,623 |
Wells Fargo Clearing Services, LLC and Wells Fargo Advisors Financial Network, LLC |
Wells Fargo |
financial services |
2019 |
SEC |
$17,363,847 |
Ameriprise Financial Services, Inc. |
Ameriprise Financial |
financial services |
2009 |
SEC |
$17,300,000 |
Deutsche Asset Management, Inc. and Deutsche Investment Management Americas, Inc. |
Deutsche Bank |
financial services |
2006 |
SEC |
$17,200,000 |
Capital Blu Management, LLC |
|
|
2011 |
CFTC |
$17,000,000 |
Morgan Stanley & Co. Incorporated |
Morgan Stanley |
financial services |
2007 |
SEC |
$17,000,000 |
Zurich Capital Markets Inc. |
Zurich Insurance |
financial services |
2007 |
SEC |
$16,800,000 |
Whispering Winds Properties, L.L.C et al. |
|
|
2009 |
AZ-SEC |
$16,633,570 |
Virtus Investment Advisers, Inc. |
|
|
2015 |
SEC |
$16,500,000 |
Liberty Financial Trading Corp., Inc. and Liberty Real Assets Investment Corporation |
|
|
2007 |
CFTC |
$16,403,000 |
The Chamber Group, Inc. |
|
|
2002 |
AZ-SEC |
$16,342,404 |
Bear Wagner Specialists LLC |
|
|
2004 |
SEC |
$16,259,446 |
Berkshire Resources, L.L.C. |
|
|
2010 |
SEC |
$16,255,846 |
Murtha Cullina LLP |
|
|
2007 |
CT-AG |
$16,250,000 |
M25 Investments, Inc. and M37 Investments, LLC |
|
|
2010 |
CFTC |
$16,200,000 |
Forstmann Little & Co. |
|
|
2004 |
CT-AG |
$16,200,000 |
ICOBox |
|
|
2020 |
SEC |
$16,059,428 |
Latour Trading LLC |
|
|
2014 |
SEC |
$16,000,000 |
Gabelli Funds LLC |
Gamco Investors Inc. |
financial services |
2008 |
SEC |
$16,000,000 |
Hertz Global Holdings, Inc. |
Hertz |
miscellaneous services |
2018 |
SEC |
$16,000,000 |
Nationwide Retirement Solutions |
|
|
2010 |
AL-AG |
$16,000,000 |
U.S. Bancorp Investments, Inc. |
U.S. Bancorp |
financial services |
2020 |
SEC |
$15,992,441 |
Altamont Global Partners LLC |
|
|
2014 |
CFTC |
$15,800,000 |
Brookshire Raw Materials Management, LLC |
|
|
2011 |
CFTC |
$15,800,000 |
The Tulving Company, Inc. |
|
|
2019 |
CFTC |
$15,761,432 |
The Trade Tech Institute, Inc. and Technology Trading International, Inc. |
|
|
2012 |
CFTC |
$15,759,357 |
GetAnswers, Inc. |
|
|
2007 |
SEC |
$15,713,676 |
Capital Financial Partners, LLC et al. |
|
|
2017 |
SEC |
$15,700,000 |
Merrill Lynch, Pierce, Fenner & Smith Inc. |
Bank of America |
financial services |
2018 |
SEC |
$15,700,000 |
New York Options Exchange, Tahoe Futures, International Energy Exchange, Vitol Capital Management,New York Petroleum Option Exchange, HPR Commodities, American Futures and Options Exchange, Metro Financials, and American Futures and Options Trading C |
|
|
2007 |
CFTC |
$15,524,957 |
Arcturus Corporation and Aschere Energy LLC |
|
|
2017 |
SEC |
$15,500,000 |
Omega Knight 2, LLC |
|
|
2019 |
CFTC |
$15,257,028 |
UBS Financial Services |
UBS |
financial services |
2016 |
SEC |
$15,025,882 |
Goldman Sachs & Co. |
Goldman Sachs |
financial services |
2016 |
SEC |
$15,000,000 |
UBS Financial Services Inc. of Puerto Rico |
UBS |
financial services |
2015 |
SEC |
$15,000,000 |
Citigroup Global Markets |
Citigroup |
financial services |
2015 |
SEC |
$15,000,000 |
Barclays Capital Inc. |
Barclays |
financial services |
2014 |
SEC |
$15,000,000 |
Macquarie Capital (USA) Inc. |
Macquarie |
financial services |
2015 |
SEC |
$15,000,000 |
TD Bank |
Toronto-Dominion Bank |
financial services |
2013 |
SEC |
$15,000,000 |
Ameriprise Financial, Inc. |
Ameriprise Financial |
financial services |
2005 |
SEC |
$15,000,000 |
Conseco, Inc. |
CNO Financial |
financial services |
2004 |
SEC |
$15,000,000 |
Allergan Inc. |
AbbVie |
pharmaceuticals |
2017 |
SEC |
$15,000,000 |
UBS AG |
UBS |
financial services |
2018 |
CFTC |
$15,000,000 |
Moody's Investors Service, Inc. |
Moody's |
information technology |
2018 |
SEC |
$15,000,000 |
Ingram Micro Inc. |
HNA Group |
diversified |
2009 |
SEC |
$15,000,000 |
Fiserv Securities, Inc. |
Fidelity Investments |
financial services |
2005 |
SEC |
$15,000,000 |
Conseco, Inc. |
CNO Financial |
financial services |
2004 |
NY-AG |
(*) $15,000,000 |
The Options Clearing Corporation |
|
|
2019 |
SEC |
$15,000,000 |