Financial Misconduct
Conduct Screen Corporate Misconduct
Predatory financial practices that harm consumers, investors, or beneficiaries — deceptive fee structures, insurance claim denials, investor fraud, market manipulation, and financial products designed to extract value from unsophisticated counterparties. Distinct from corruption (which covers bribery/fraud against governments), predatory_lending (which specifically covers credit products), and anticompetitive (which covers market structure violations).
159 companies currently excluded under this screen
Excluded Companies (159 total)
Showing 159 of 159 companies excluded under this screen.
| Ticker | Company | Reason |
|---|---|---|
| 600000 | Shanghai Pudong Development Bank | Shanghai Pudong Development Bank was fined $2.3 million by the People’s Bank of China in 2018 for anti-money laundering compliance failures, including deficiencies in customer due diligence, suspiciou... |
| ACN | ACCENTURE PLC | Accenture paid $63.675M (DOJ, September 2011) to resolve False Claims Act whistleblower allegations of kickbacks and bid-rigging on federal contracts. More recently, Accenture is responding to a DOJ s... |
| ADANIGREEN | Adani Green Energy Limited | In November 2024, the DOJ unsealed a five-count indictment charging Adani Green Energy chairman Gautam Adani, executive Sagar Adani, and five other senior executives with securities fraud, wire fraud,... |
| ADM | Archer-Daniels-Midland Company | In early 2024, ADM placed its CFO on leave and delayed financial reporting following an SEC voluntary document request regarding intersegment sales. By late 2024, the DOJ escalated to a criminal inves... |
| ADSK | AUTODESK INC | In April 2024, Autodesk disclosed an internal investigation into its free cash flow and non-GAAP operating margin reporting practices, announced via SEC Form 8-K. The company delayed its 10-K filing w... |
| AIG | AMERICAN INTERNATIONAL GROUP INC | In February 2006, AIG agreed to pay in excess of $1.6 billion to resolve claims of improper accounting, bid rigging, and fraudulent practices involving workers' compensation funds. The SEC alleged tha... |
| AJG | ARTHUR J GALLAGHER & CO | On May 6, 2021, Arthur J. Gallagher & Co. agreed to pay $9 million to settle SEC charges for failing to disclose conflicts of interest related to its receipt of third-party payments in connection with... |
| AKAM | AKAMAI TECHNOLOGIES INC | Pomerantz Law Firm is investigating claims on behalf of investors of Akamai Technologies, Inc. concerning whether the company and certain officers and/or directors engaged in securities fraud or other... |
| ALL | ALLSTATE CORP | Allstate agreed to a $25 million class action settlement to resolve allegations that it used price optimization algorithms to inflate auto insurance premiums for approximately 1.29 million California ... |
| ALTS | ALT5 SIGMA CORP | ALT5 Sigma Corporation faces multiple securities fraud investigations following a cascade of governance failures in late 2025. The company's auditor, William Hudgens, resigned effective November 21, 2... |
| AMP | AMERIPRISE FINANCIAL INC | Ameriprise Financial has two distinct SEC enforcement actions reflecting a pattern of placing firm interests above client interests. In February 2018, the SEC charged Ameriprise with overcharging reti... |
| AMRK | A-Mark Precious Metals, Inc. | In September 2022, the CFTC ordered A-Mark Precious Metals and its affiliate Goldline to pay over $1.1 million ($627,802 in disgorgement plus a $450,000 civil monetary penalty) for fraud in connection... |
| ANET | ARISTA NETWORKS INC | In March 2024, the SEC charged Arista Networks co-founder and former chairman Andy Bechtolsheim with insider trading and reached a settlement requiring him to pay a $923,740 civil penalty and accept a... |
| APAM | ARTISAN PARTNERS ASSET MANAGEMENT INC | Artisan Partners Asset Management was included in the SEC's industry-wide enforcement sweep targeting off-channel communications violations. The SEC's Press Release 2024-46 (February 2024) charged mul... |
| APO | APOLLO GLOBAL MANAGEMENT INC CLASS | In August 2016, the SEC charged four Apollo Global Management private equity fund advisers with misleading fund investors about fees, a loan agreement, and failure to supervise a senior partner. The r... |
| AXP | AMERICAN EXPRESS CO | January 2025 DOJ settlement: $138.4M criminal NPA (wire fraud) + $108.7M civil FIRREA penalty for deceptive marketing of Payroll Rewards and Premium Wire products to small businesses 2018–2021; false ... |
| BA | The Boeing Company | Boeing breached its 2021 Deferred Prosecution Agreement (DPA) on 737 MAX fraud. DOJ filed criminal charges May 2024. Boeing agreed to $243.6M criminal penalty, $444.5M in victim compensation, and $455... |
| BAC | Bank of America | Bank of America has paid approximately $87.3 billion in fines and settlements since 2000 across 330 enforcement records (Violation Tracker / Good Jobs First), spanning mortgage fraud, securities viola... |
| BBVA | BBVA | BBVA is a major Spanish bank that has faced SEC enforcement for internal controls failures and disclosure violations. The bank has been subject to regulatory actions highlighting weaknesses in its fin... |
| BCS | Barclays | Barclays has paid more than $5 billion in aggregate penalties across three manipulation schemes. In 2012 Barclays became the first bank penalized in the LIBOR scandal, paying $200 million to the CFTC,... |
| BEN | FRANKLIN RESOURCES INC | Western Asset Management Co. (WAMCO, Franklin Resources subsidiary): SEC charged former CIO Ken Leech with $600M+ trade allocation fraud (cherry-picking profitable trades for favored clients). DOJ par... |
| BK | BANK OF NEW YORK MELLON CORP | BNY Mellon agreed to pay $714 million in total to settle allegations by the U.S. Attorney for the Southern District of New York, the New York Attorney General, the SEC, and the U.S. Department of Labo... |
| BKFCF | Bank of Communications | Bank of Communications is one of China's largest state-owned commercial banks. Chinese banking regulators have fined it for operational violations, and the bank has faced scrutiny for compliance failu... |
| BMY | Bristol-Myers Squibb Company | BMS has ~$3 billion in cumulative regulatory penalties across 52 enforcement records (Violation Tracker). Major actions: $150M SEC settlement (2004) for securities fraud — channel-stuffing that inflat... |
| BNPQY | BNP Paribas | BNP Paribas pleaded guilty in 2014 to conspiring to violate the International Emergency Economic Powers Act and was sentenced to pay $8.97 billion, the largest criminal penalty ever imposed on a finan... |
| BNS | BANK OF NOVA SCOTIA | Bank of Nova Scotia paid $127.4 million in 2020 to resolve DOJ and CFTC charges that four precious metals traders systematically spoofed gold, silver, platinum, and palladium futures from 2008 through... |
| BX | BLACKSTONE GROUP INC | SEC imposed a $12M penalty (January 2025) across three Blackstone entities for off-channel communications recordkeeping failures — employees used WhatsApp and personal devices for business communicati... |
| C | Citi | Citigroup has a decades-long record of SEC enforcement actions for internal controls failures, including a 2024 OCC consent order for persistent deficiencies. The SEC has repeatedly sanctioned Citi fo... |
| CACC | Credit Acceptance Corporation | Credit Acceptance Corporation is a subprime auto lender whose business model involves extending high-interest loans to consumers with poor credit, often for used vehicles. The company has faced multip... |
| CBOE | CBOE GLOBAL MARKETS INC | In June 2013, the SEC charged the Chicago Board Options Exchange and an affiliate C2 Options Exchange for systemic breakdowns in their regulatory and compliance functions as a self-regulatory organiza... |
| CG | CARLYLE GROUP INC | The Carlyle Group has faced multiple legal claims alleging financial misconduct that harmed investors. In March 2008, its Guernsey-listed fund, Carlyle Capital Corporation (CCC), collapsed, resulting ... |
| CICHY | China Construction Bank | China Construction Bank is one of the world's largest banks. It has been fined by Chinese regulators for multiple banking violations, and Violation Tracker documents a pattern of regulatory penalties ... |
| CIHHF | China Merchants Bank | China Merchants Bank is a major Chinese commercial bank. It has been fined by regulators for wealth management product disclosure irregularities and marketing misconduct, and has faced U.S. securities... |
| CION | CION investment corporation | CION Investment Corporation is a business development company that has faced investor lawsuits alleging material misrepresentations about its financial condition and investment losses. SEC filings rev... |
| CLSKW | CLEANSPARK INC | CleanSpark is a Bitcoin mining company that has faced SEC scrutiny and securities fraud investigations. The company's energy-intensive cryptocurrency mining operations raise concerns about data handli... |
| CMAKY | China Minsheng Bank | China Minsheng Banking Corp has faced regulatory penalties for selling fraudulent wealth management products to clients, foreign exchange violations fined by SAFE, and criminal probes into executive m... |
| CMWAY | Commonwealth Bank | Commonwealth Bank of Australia faces multiple, substantiated allegations of systemic misconduct in its financial product sales and compliance operations. Between 2011 and 2015, the bank was criminally... |
| CNC | CENTENE CORP | Centene Corporation has paid over $1 billion in settlements with at least 20 states since 2021 over allegations that its pharmacy benefit manager subsidiaries overcharged state Medicaid programs for p... |
| CNS | COHEN & STEERS INC | Cohen & Steers was charged in the SEC's industry-wide enforcement sweep targeting off-channel communications recordkeeping violations. The SEC's 2024 enforcement actions (Press Releases 2024-98 and 20... |
| COF | Capital One Financial | Capital One Financial has been subject to multiple enforcement actions for systemic misconduct in its consumer banking practices. In January 2025, the Office of the Comptroller of the Currency (OCC) a... |
| CRARY | Crédit Agricole | Crédit Agricole was fined €7.6 million by the European Central Bank in 2023 for failing to comply with regulations governing the recovery and resolution of failing banks. The ECB found the bank had no... |
| CSSE | CHICKEN SOUP FOR THE SOUL ENTERTAI | Chicken Soup for the Soul Entertainment, parent of Redbox, filed for Chapter 11 bankruptcy in June 2024 with nearly $1 billion in debt, then converted to Chapter 7 liquidation in July 2024. Bankruptcy... |
| CSWC | Capital Southwest Corporation | Capital Southwest Corporation is an internally managed business development company (BDC) that originates and invests in senior secured loans to middle-market companies. The firm’s core business model... |
| CVNA | CARVANA CO | In August 2021, the District Attorneys of Los Angeles, San Diego, Santa Clara, and Ventura counties obtained an $850,000 settlement against Carvana for operating in California without required dealer ... |
| DB | Deutsche Bank | Deutsche Bank has paid billions in fines for LIBOR manipulation, money laundering, and sanctions violations. The SEC, Federal Reserve, and DOJ have all taken enforcement actions against the bank for s... |
| DDC | DDC ENTERPRISE LTD | DDC issued preliminary unaudited results in March 2026 using non-GAAP "Core Consumer Food Business Adjusted EBITDA" specifically to carve out massive volatility from its Bitcoin treasury strategy. Aud... |
| DELL | Dell Technologies Inc. | Dell has persistent record of large-scale financial penalties. SEC: $100M penalty for fraudulent accounting scheme involving undisclosed Intel payments. False Claims Act: nearly $90M in settlements fo... |
| DG | Dollar General Corporation | Dollar General has faced multiple securities fraud allegations related to its accounting practices. In 2005, the company settled with the SEC for accounting fraud, agreeing to a permanent injunction w... |
| DNKEY | Danske Bank | Danske Bank has engaged in a multi-year pattern of financial misconduct spanning market manipulation, investor fraud, and systemic anti-money laundering failures, resulting in over $2 billion in fines... |
| DRX | Drax Group | Drax Group is under investigation by the UK Financial Conduct Authority concerning its biomass sourcing disclosures between January 2022 and March 2024, and the compliance of its 2021, 2022, and 2023 ... |
| DV | DoubleVerify Holdings Inc | DoubleVerify is a digital media measurement and analytics company. In 2025, the company became the subject of a securities fraud investigation alleging material misrepresentations to investors about i... |
| DVA | DAVITA INC | DOJ: DaVita agreed to pay $34.48M (July 2024) to settle False Claims Act allegations of paying kickbacks to induce referrals to DaVita Rx pharmacy subsidiary. Prior $350M settlement (2014) for paying ... |
| ECPG | Encore Capital Group Inc | Encore Capital Group operates one of the world’s largest debt collection and debt purchasing businesses, buying portfolios of defaulted consumer debt for pennies on the dollar and then pursuing collec... |
| EHC | ENCOMPASS HEALTH CORP | The DOJ announced in July 2019 that Encompass Health Corporation, the nation's largest operator of inpatient rehabilitation facilities, agreed to pay $48 million to resolve False Claims Act allegation... |
| ENSG | The Ensign Group, Inc. | Ensign Group and subsidiaries have faced multiple DOJ False Claims Act settlements for Medicare/Medicaid billing fraud at skilled nursing facilities. |
| EQH | Equitable Holdings | Equitable Financial Life Insurance Company agreed to pay a $50 million penalty to settle SEC charges in July 2022. The charges centered on failures to supervise its financial professionals, who recomm... |
| ERIE | ERIE INDEMNITY CO | Erie Indemnity Company faces ongoing litigation alleging it extracted excessive management fees — over $3 billion — from the Erie Insurance Exchange, a mutual insurer whose policyholders are the benef... |
| ETR | Entergy | Entergy Mississippi ordered to pay $300M by Mississippi Public Service Commission (2022) for consumer protection violations — one of the largest utility-sector consumer penalties on record; SEC impose... |
| EVR | Evercore Inc. | The SEC fined Evercore $35 million in September 2023 as part of a sweep targeting "widespread and longstanding" failures to preserve business records. The penalty addressed senior leadership's use of ... |
| FAF | FIRST AMERICAN FINANCIAL CORP | First American Financial Corporation, a leading provider of title insurance and settlement services, has engaged in a pattern of financial misconduct through deceptive business practices and systemic ... |
| FCFS | FirstCash Inc | FirstCash, a national pawnshop chain, was sued by the Consumer Financial Protection Bureau (CFPB) in November 2021 for making pawn loans to active-duty servicemembers and their dependents that violate... |
| FDUS | Fidus Investment Corporation | Fidus Investment Corporation is a business development company that provides debt and equity financing primarily to lower middle-market companies. The company's business model involves extending secur... |
| FHI | FEDERATED HERMES INC | Federated Hermes was charged in the SEC's industry-wide enforcement sweep targeting off-channel communications recordkeeping violations. ViolationTracker documents $100 million in total penalties for ... |
| FIS | FIDELITY NATIONAL INFORMATION SERVICES INC | On September 28, 2023, the SEC charged Fidelity National Information Services Inc. (FIS) with accounting fraud, alleging the company improperly recognized revenue from a 2015 acquisition, resulting in... |
| FLNA | Filana Therapeutics Inc | Cassava Sciences (now Filana Therapeutics) CEO Remi Barbier and CSO Lindsay Burns charged by SEC (2024) with securities fraud for making false and misleading statements about clinical trial results fo... |
| G | GENPACT LTD | On December 20, 2025, India's Enforcement Directorate announced RBI issued compounding order against Genpact India for FEMA (Foreign Exchange Management Act) violation. Investigation initiated in 2018... |
| GEN | Genesis Healthcare, Inc. | Genesis Healthcare submitted false claims to Medicare, TRICARE, and Medicaid across six acquired subsidiaries over a decade (2003–2013), billing federal healthcare programs for rehabilitation therapy ... |
| GEV | GE Vernova | Market Forces filed a detailed SEC whistleblower complaint alleging GE Vernova violated the Securities Exchange Act by misleading investors with inconsistent assumptions in Scope 3 emissions reporting... |
| GPN | GLOBAL PAYMENTS INC | On September 30, 2021, the SEC charged Global Payments Inc. with violating the Foreign Corrupt Practices Act (FCPA) by making improper payments to foreign officials in China and Kazakhstan, resulting ... |
| GPRE | GREEN PLAINS INC | The Federal Energy Regulatory Commission fined Green Plains $947,000 for cross-market manipulation in natural gas trading. FERC found that the company engaged in uneconomic physical bidweek trading de... |
| GS | Goldman Sachs | Goldman Sachs paid a record $2.9 billion in 2020 to resolve the largest FCPA enforcement action in history after senior employees used intermediaries to bribe Malaysian and Abu Dhabi officials to secu... |
| HAS | HASBRO INC | A shareholder lawsuit alleges Hasbro executives made misleading statements to investors about Magic: The Gathering revenue growth between 2021 and 2023, causing the company to overpay approximately $5... |
| HCA | HCA HEALTHCARE INC | HCA Healthcare (formerly Columbia/HCA) paid $1.7 billion to resolve the largest healthcare fraud investigation in U.S. history. The Department of Justice announced the final settlement in June 2003, c... |
| HIG | HARTFORD INSURANCE GROUP INC | Hartford Financial Services Group has a documented pattern of financial misconduct across its investment and insurance operations. In 2006, Hartford paid $55 million to settle SEC charges for directed... |
| HMC | Honda Motor Company, Ltd. | In January 2025, the CFPB ordered American Honda Finance Corporation to pay $10.3 million in consumer redress and a $2.5 million civil penalty for Fair Credit Reporting Act violations. Honda Finance f... |
| HOOD | ROBINHOOD MARKETS INC | On December 17, 2020, the SEC charged Robinhood Financial LLC with misleading customers about revenue sources and failing to satisfy its duty to seek the best reasonably available terms for customer o... |
| HSBC | HSBC | HSBC paid $1.9 billion to settle DOJ charges for facilitating money laundering by drug cartels and processing transactions in violation of U.S. sanctions. The bank admitted to anti-money laundering an... |
| HUM | Humana Inc | Humana has a pattern of False Claims Act settlements reflecting systemic issues in its Medicare billing practices. In August 2024, Humana agreed to pay $90 million to the federal government — the larg... |
| ICE | INTERCONTINENTAL EXCHANGE INC | In May 2024, the SEC charged Intercontinental Exchange and nine wholly-owned subsidiaries — including the New York Stock Exchange, NYSE American, NYSE Arca, NYSE Chicago, NYSE National, ICE Clear Cred... |
| IDCBY | ICBC | Industrial and Commercial Bank of China (ICBC) is the world's largest bank by assets. ICBC has faced regulatory actions across multiple jurisdictions for anti-money laundering failures and compliance ... |
| IITSF | Intesa Sanpaolo | Intesa Sanpaolo, Italy's largest bank, was fined EUR 18 million in 2026 for illicit processing of customer data. The bank has also faced NY DFS consent orders and securities fraud litigation in U.S. c... |
| IMG | CIMG INC | In March 2026 10-Q filing, CIMG management concluded internal control over financial reporting was not effective. Reported net loss of $19.5M driven largely by $17.5M fair value loss on Bitcoin treasu... |
| IVZ | INVESCO LTD | In October 2004, Invesco Funds Group and AIM Advisors agreed to a $450 million settlement with the SEC and the New York Attorney General to resolve charges that they permitted illegal market timing of... |
| JHG | JANUS HENDERSON GROUP PLC | Janus Henderson has faced regulatory action from both the SEC and the UK Financial Conduct Authority. In 2022, the SEC charged Janus Henderson Investors US LLC for violating federal securities laws in... |
| JPM | JPMorgan Chase | JPMorgan Chase has accumulated more than $40 billion in fines and settlements since 2000, according to ViolationTracker, across 284 enforcement records spanning securities fraud, market manipulation, ... |
| JW.A | John Wiley and Sons Inc Class A | In 2023-2024, Wiley underwent massive restructuring following significant revenue losses and a $100M+ non-cash goodwill impairment. The company is subject to an active investigation by the Rosen Law F... |
| KEY | KeyCorp | KeyCorp’s banking unit, KeyBank, agreed to pay $7.77 million in January 2026 to resolve federal False Claims Act allegations. The settlement resolved claims that the bank submitted false Small Busines... |
| KKR | KKR AND CO INC | KKR & Co. Inc. has been sued by the U.S. Department of Justice for serial violations of the Hart-Scott-Rodino (HSR) Act, a federal antitrust law. The January 2025 civil complaint alleges KKR failed to... |
| KNX | Knight-Swift Holdings | Knight-Swift Transportation Holdings has faced significant legal action over its management of employee retirement funds. A federal class action lawsuit, *Hagins et al. v. Knight-Swift Transportation ... |
| LAZ | Lazard Ltd | Lazard Asset Management is a defendant in an ongoing civil lawsuit alleging misconduct in its management of the IPOX 100 Index. The plaintiff, IPOX Schuster LLC, alleges Lazard engaged in acts that da... |
| LIVE | LIVE VENTURES INC | Live Ventures Incorporated is the subject of a U.S. Securities and Exchange Commission complaint filed on August 3, 2021, alleging violations of federal securities laws. The SEC complaint targets the ... |
| LW | Lamb Weston Holdings, Inc. | Lamb Weston Holdings is the subject of consolidated securities fraud litigation, In re Lamb Weston Holdings, Inc. Securities Litigation, covering the class period July 25, 2023, through April 3, 2024.... |
| MCO | MOODYS CORP | In January 2017, Moody's Corporation agreed to pay nearly $864 million to settle with the DOJ, 21 states, and the District of Columbia over its ratings of risky mortgage-backed securities and collater... |
| MET | METLIFE INC | In June 2020, MetLife reached $84M settlement to resolve securities fraud class action. Shareholders alleged the company failed to disclose it had not been properly using the Social Security Administr... |
| MFG | Mizuho | Mizuho Financial Group has been sanctioned by the SEC, including a $1.25 million fine for data security failures. The bank has faced multiple U.S. regulatory enforcement actions for compliance and dis... |
| MFIC | MidCap Financial Investment Corporation | MidCap Financial Investment Corporation is a specialty finance company that provides secured loans to middle-market companies, often in life sciences and healthcare. The company's business model invol... |
| MMC | MARSH & MCLENNAN COMPANIES INC | Marsh & McLennan Companies settled a high-profile London High Court lawsuit in May 2025 brought by U.S. private debt firm White Oak, which sought $143 million in damages alleging that Marsh made fraud... |
| MORN | MORNINGSTAR INC | Morningstar and its subsidiaries have been subject to multiple SEC enforcement actions. In 2020, the SEC fined Morningstar Credit Ratings $3.5 million after finding that analysts engaged in prohibited... |
| MS | Morgan Stanley | Morgan Stanley paid $249M (SEC + DOJ, January 2024) to resolve a multi-year block trading fraud scheme. From 2018–2021, the equity syndicate desk leaked confidential information about impending block ... |
| MTB | M&T BANK CORP | M&T Bank Corp agreed to pay $64 million to settle allegations it violated the False Claims Act by knowingly originating and underwriting mortgages that did not meet Federal Housing Administration requ... |
| NABZY | NAB | National Australia Bank has been subject to multiple regulatory enforcement actions for financial misconduct affecting consumers. In August 2021, the Federal Court of Australia ordered NAB to pay an $... |
| NIU | Niu Technologies | In May 2022, the SEC added Niu Technologies to the pre-delisting watchlist under the Holding Foreign Companies Accountable Act (HFCAA) due to failure to allow PCAOB to inspect or investigate audit wor... |
| NOW | SERVICENOW INC | ServiceNow agreed to a $925,000 settlement in May 2024 to resolve a lawsuit alleging the company breached its fiduciary duties by retaining underperforming American Century target-date funds in its 40... |
| NRDBY | Nordea | Nordea Bank was sanctioned by the European Central Bank on March 10, 2026, for breaching reporting requirements and the regulatory limit on large exposures. The ECB imposed a penalty of €2.26 million ... |
| NTAP | NETAPP INC | NetApp agreed to pay $128 million plus interest in April 2009 to resolve allegations of defrauding the General Services Administration — the largest GSA contract fraud settlement at that time. As a co... |
| NTRS | NORTHERN TRUST CORP | On March 11, 2020, Northern Trust Corporation agreed to pay $60 million to settle SEC charges for misleading disclosures and inadequate internal accounting controls related to its transition managemen... |
| NWG | NatWest | NatWest Group (formerly Royal Bank of Scotland) has faced significant regulatory penalties including for money laundering failures. Its predecessor RBS required a massive government bailout and has be... |
| OBDC | Blue Owl Capital Corporation | Blue Owl Capital Corporation is a business development company managed by Blue Owl Capital Inc. that invests in private credit. Multiple securities class action lawsuits filed in late 2025 and early 2... |
| PERI | Perion Network | Perion Network is a digital advertising technology company. In 2024, investors filed a class action lawsuit alleging the company concealed a significant decline in its search advertising business, mis... |
| PFG | Principal Financial Group | Principal Financial Group faces multiple documented allegations of breaching its fiduciary duties to retirement plan participants and retail clients. In June 2024, a client of its broker-dealer subsid... |
| PIPR | Piper Sandler Cos | In August 2024, the SEC and CFTC collectively fined Piper Sandler $16 million for pervasive recordkeeping failures related to off-channel communications. The SEC assessed a $14 million civil penalty a... |
| PNC | PNC Financial Services | In December 2013, the Consumer Financial Protection Bureau (CFPB) and the Department of Justice filed a joint complaint against National City Bank — now part of PNC Bank — in the U.S. District Court f... |
| PRAA | PRA Group Inc | PRA Group Inc. is a debt collection company that purchases and collects on defaulted consumer debts. Its core business model involves acquiring charged-off debts from original creditors for a fraction... |
| PRG | Prog Holdings | Prog Holdings operates through its Progressive Leasing subsidiary, which provides lease-to-own financing agreements primarily for retail consumers. The company's core business model involves extending... |
| PRI | Primerica | Primerica operates a multi-level marketing (MLM) structure for selling term life insurance and financial products, a business model the company describes as "affiliate marketing." Independent agents e... |
| PRU | PRUDENTIAL FINANCIAL INC | On September 21, 2021, the SEC charged Prudential Financial Inc. with failing to adequately disclose conflicts of interest related to its mutual fund recommendations, resulting in a $18 million settle... |
| PSTVY | Postal Savings Bank of China | Postal Savings Bank of China has been subject to multiple regulatory penalties for financial misconduct that harms consumers. In July 2021, the bank was fined 4.49 million yuan for illegally charging ... |
| PTC | PTC INC | The SEC found that PTC Inc. failed to maintain accurate books and records and adequate internal accounting controls, allowing two China-based subsidiaries to funnel approximately $1.5 million in impro... |
| QFIN | QFIN HOLDINGS INC | Qifu Technology operates an online consumer finance platform connecting borrowers with funding partners. The company and its senior executives have been subject to securities fraud allegations. Accord... |
| RAIFY | RBI | Raiffeisen Bank International is the largest Western bank still operating in Russia as of 2026. Its Russia-domiciled asset manager holds investments in sanctioned Russian state entities including Gazp... |
| RF | Regions Financial Corporation | Regions Bank has been subject to multiple enforcement actions for systemic financial misconduct harming consumers and investors. In September 2022, the Consumer Financial Protection Bureau (CFPB) orde... |
| RMR | The RMR Group Inc. | Failure to protect fund investors — RMR Group extracts high management fees from its managed REITs via related-party transactions with no arm's-length check, constituting a structural fiduciary breach... |
| RY | ROYAL BANK OF CANADA | Royal Bank of Canada settled SEC charges in 2023 for violating internal accounting controls and books-and-records provisions after the commission found RBC misstated internally developed software cost... |
| SAN | Santander | Santander has been subject to multiple, significant regulatory penalties for failures in its internal financial controls and consumer protection obligations. In December 2022, the UK Financial Conduct... |
| SBEV | Splash Beverage Group, Inc. | corporate_governance_failures: Multiple sources indicate that Splash Beverage Group (SBEV) has failed to comply with NYSE American listing standards, including failing to timely file their Form 10-K a... |
| SBRCY | Sberbank | Sberbank is Russia's largest state-controlled bank, sanctioned by the U.S. Treasury and EU following Russia's invasion of Ukraine. The bank has been subject to DOJ enforcement actions and is central t... |
| SCGLY | Société Générale | Société Générale has been subject to multiple, significant enforcement actions for financial misconduct across its global operations. In 2018, the bank reached a global settlement with U.S. and French... |
| SCHW | SCHWAB CHARLES CORP | On June 13, 2023, Charles Schwab agreed to pay $187 million to settle SEC charges related to misleading customers about the costs and benefits of its robo-adviser product, Schwab Intelligent Portfolio... |
| SCOR | COMSCORE INC | Comscore, Inc. and its former CEO Serge Matta engaged in a fraudulent scheme to overstate the company’s revenue by approximately $50 million. The Securities and Exchange Commission charged the company... |
| SEIC | SEI INVESTMENTS CO | SEI Investments has faced multiple regulatory actions across jurisdictions. The SEC ordered SEI Investments Distribution Company to pay a $375,000 civil penalty for recordkeeping and net capital viola... |
| SMCI | SUPER MICRO COMPUTER INC | Super Micro Computer faces overlapping financial misconduct scandals. In August 2024, short-seller Hindenburg Research alleged accounting irregularities, undisclosed related-party transactions, and sa... |
| SMFG | SMBC Group | Sumitomo Mitsui Financial Group (SMBC) is one of Japan's largest banking groups. SMBC has faced regulatory enforcement actions for compliance failures and is a major financier of fossil fuel expansion... |
| SOND | Sonder Holdings | Sonder Holdings operates a hospitality platform for short-term apartment rentals. The company faces a securities class action alleging material misstatements about its financial condition and business... |
| SPGI | S&P GLOBAL INC | In February 2015, the DOJ and 19 states secured a $1.375 billion settlement with Standard & Poor's Financial Services LLC (now S&P Global) to resolve allegations that S&P defrauded investors in reside... |
| STAN | Standard Chartered | Standard Chartered is a multinational bank that has paid over $1.7 billion in fines for sanctions violations (Iran, Myanmar, Sudan) and anti-money laundering failures across multiple enforcement actio... |
| STT | STATE STREET CORP | On May 17, 2017, State Street Corporation agreed to pay over $64 million to settle SEC charges for misleading mutual fund and other custody clients by applying hidden markups to foreign currency excha... |
| SUTNY | SuMi TRUST | Sumitomo Mitsui Trust Holdings' banking subsidiary was the site of a systematic insider trading scheme by a former general manager of its Stock Transfer Agency Business Department. The official exploi... |
| SYF | Synchrony Financial | Synchrony Financial settled securities fraud litigation for $750 million in 2023, which was the largest securities fraud settlement achieved at that time. The case, *In re: Synchrony Financial Securit... |
| TCBI | Texas Capital Bancshares Inc | Texas Capital Bancshares is the subject of multiple, ongoing shareholder fraud investigations. Pomerantz LLP announced investigations into the company on behalf of investors in November 2021, March 20... |
| TCRT | ALAUNOS THERAPEUTICS INC | Alaunos Therapeutics, a clinical-stage biotech formerly known as Ziopharm Oncology, settled with The University of Texas MD Anderson Cancer Center in December 2025 for $285,055 over unpaid invoices un... |
| TKO | TKO GROUP HOLDINGS INC | SEC fined former WWE chairman Vince McMahon $400K (2025) for circumventing internal controls by failing to disclose settlement agreements, causing material misstatements in WWE's 2018 and 2021 financi... |
| TMDX | TRANSMEDICS GROUP INC | In March 2025, a securities class action lawsuit (Jewik v. TransMedics Group, Inc., Case No. 25-cv-10385, D. Mass.) was filed alleging that TransMedics used kickbacks, fraudulent overbilling, and coer... |
| TROW | PRICE T ROWE GROUP INC | On July 19, 2021, the SEC charged T. Rowe Price Associates, Inc. with failing to disclose a conflict of interest related to its mutual fund advisory business and agreed to pay $194 million to settle t... |
| UBS | UBS | UBS has a history of regulatory failures including tax evasion schemes, LIBOR manipulation, and the inherited compliance liabilities from its Credit Suisse acquisition, where auditors issued an advers... |
| UHS | UNIVERSAL HEALTH SERVICES INC | Universal Health Services Inc. and affiliates agreed to pay $117 million to resolve False Claims Act allegations for billing for medically unnecessary inpatient behavioral health services and failing ... |
| UNCRY | UniCredit | UniCredit pleaded guilty to illegally processing transactions in violation of Iranian sanctions and paid penalties to the DOJ, Treasury, and NY DFS. The bank's compliance failures enabled sanctioned-c... |
| UNH | UNITEDHEALTH GROUP INC | UnitedHealth Group has accumulated $2.7 billion in total penalties across 449 violation records since 2000, according to ViolationTracker. The company faces an overlapping set of federal and state enf... |
| UPBD | Upbound Group | Upbound Group, through its Acima Holdings subsidiary, is the subject of a Consumer Financial Protection Bureau lawsuit alleging the use of deceptive "dark patterns" to trick consumers. The CFPB compla... |
| UPS | UNITED PARCEL SERVICE INC | In November 2024, the SEC imposed a $45 million penalty on United Parcel Service for deliberate GAAP violations related to the valuation of its UPS Freight division. Internal UPS analysis valued UPS F... |
| VALE | Vale S.A. | In March 2023, the SEC announced that Vale S.A. agreed to pay $55.9 million to settle charges related to systematically misleading disclosures about dam safety prior to the January 2019 collapse of th... |
| VCTR | VICTORY CAPITAL HOLDINGS INC | Victory Capital Holdings was identified in the SEC's and FINRA's industry-wide enforcement sweep targeting off-channel communications recordkeeping violations. The SEC's 2024 enforcement action (Press... |
| VTR | VENTAS INC | In March 2001, Vencor Inc. and Ventas Inc. agreed to pay $104.5 million to the United States to resolve False Claims Act allegations that Vencor knowingly submitted false claims to Medicare, Medicaid,... |
| WFC | Wells Fargo | Wells Fargo has paid billions in fines for systemic misconduct including the 2016 fake accounts scandal (3.5M unauthorized accounts), mortgage lending abuses, and repeated consumer protection violatio... |
| WFG | West Fraser Timber Co.Ltd | West Fraser Timber Co. Ltd. was named in a 2017 Federal Register notice by the Consumer Financial Protection Bureau (CFPB). The notice, published on April 28, 2017, lists West Fraser Timber Co. Ltd. a... |
| WISH | CONTEXTLOGIC INC CLASS A | ContextLogic Inc. operates Wish, an e-commerce platform that connects primarily discount retailers with consumers. The platform has been documented for facilitating transactions that systematically mi... |
| WRLD | World Acceptance Corporation | World Acceptance Corporation is a consumer finance company specializing in small, short-term installment loans. In August 2020, the company agreed to pay $21.7 million to settle charges with the Secur... |
| WSM | Williams-Sonoma, Inc. | Williams-Sonoma, Inc. has been the subject of multiple federal enforcement actions and criminal prosecutions related to internal fraud and consumer protection violations. In April 2023, a former execu... |
| XYZ | BLOCK INC | In January 2025, the CFPB ordered Block, Inc. (formerly Square) to refund Cash App consumers $120 million and pay a $55 million penalty for failing to protect users from fraud and for systematic failu... |
| ZUARI | Zuari Agro Chemicals Ltd | Zuari Agro Chemicals Ltd and four senior officials settled adjudication proceedings with India's Securities and Exchange Board (SEBI) in 2025 for a total of approximately Rs 2.91 crore (~$350K) over a... |
The Naughty List
A digest of changes to our exclusion list — new additions, removals, and the evidence behind them. We review the list continuously as new evidence surfaces.
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