| Updated – September 16, 2025 |
Fines
| Total recorded | 3,395,413,000 |
| Institution | Fine ($) |
|---|---|
| Acacia Financial Group Inc. | 52,000 |
| Alpaca Securities LLC | 400,000 |
| A.M. Best Rating Services, Inc. | 1,000,000 |
| Ameriprise Financial Services LLC | 50,000,000 |
| Apex Clearing Corporation | 6,000,000 |
| Apollo Capital Management LP | 8,500,000 |
| Banco Santander, S.A. | 500,000 (with Santander US Capital Markets LLC) |
| Bank of America | 100,000,000 |
| Bank of America Securities |
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