Mizuho Capital Markets LLC | Mizuho Financial | investor protection violation | 2021 | CFTC | $1,500,000 |
Citibank, N.A. | Citigroup | investor protection violation | 2021 | CFTC | $1,000,000 |
JPMorgan Chase Bank, N.A. | JPMorgan Chase | investor protection violation | 2021 | CFTC | $75,000,000 |
Interactive Brokers LLC | Interactive Brokers Group | investor protection violation | 2022 | CFTC | $1,010,828 |
Glencore International A.G. | Glencore | price-fixing or anti-competitive practices | 2022 | CFTC | $1,186,000,000 |
JPMorgan Chase Bank, N.A. | JPMorgan Chase | investor protection violation | 2022 | CFTC | $850,000 |
BNP Paribas | BNP Paribas | investor protection violation | 2022 | CFTC | $6,000,000 |
Bank of America | Bank of America | investor protection violation | 2022 | CFTC | $100,000,000 |
Barclays Bank PLC | Barclays | investor protection violation | 2022 | CFTC | $75,000,000 |
Cantor Fitzgerald | Cantor Fitzgerald | investor protection violation | 2022 | CFTC | $6,000,000 |
Citibank N.A. | Citigroup | investor protection violation | 2022 | CFTC | $75,000,000 |
Credit Suisse | UBS | investor protection violation | 2022 | CFTC | $75,000,000 |
Deutsche Bank | Deutsche Bank | investor protection violation | 2022 | CFTC | $75,000,000 |
Goldman Sachs | Goldman Sachs | investor protection violation | 2022 | CFTC | $75,000,000 |
Morgan Stanley | Morgan Stanley | investor protection violation | 2022 | CFTC | $75,000,000 |
Nomura Securities | Nomura | investor protection violation | 2022 | CFTC | $50,000,000 |
UBS AG | UBS | investor protection violation | 2022 | CFTC | $75,000,000 |
Mizuho Capital Markets LLC | Mizuho Financial | investor protection violation | 2023 | CFTC | $6,847,182 |
Goldman Sachs | Goldman Sachs | investor protection violation | 2023 | CFTC | $15,000,000 |
HSBC Bank USA, N.A. | HSBC | investor protection violation | 2023 | CFTC | $45,000,000 |
HSBC Bank PLC | HSBC | investor protection violation | 2023 | CFTC | $30,000,000 |
Bank of Nova Scotia | Scotiabank | investor protection violation | 2023 | CFTC | $15,000,000 |
Wedbush Securities Inc. | Wedbush Securities | investor protection violation | 2023 | CFTC | $6,000,000 |
BNP Paribas | BNP Paribas | investor protection violation | 2023 | CFTC | $75,000,000 |
Societe Generale | Societe Generale | investor protection violation | 2023 | CFTC | $75,000,000 |
Wells Fargo | Wells Fargo | investor protection violation | 2023 | CFTC | $75,000,000 |
Bank of Montreal | Bank of Montreal | investor protection violation | 2023 | CFTC | $35,000,000 |
Goldman Sachs & Co. | Goldman Sachs | investor protection violation | 2023 | CFTC | $5,500,000 |
Goldman Sachs & Co. LLC | Goldman Sachs | investor protection violation | 2023 | CFTC | $30,000,000 |
JPMorgan Chase Bank, N.A. | JPMorgan Chase | investor protection violation | 2023 | CFTC | $15,000,000 |
Bank of America, N.A. | Bank of America | investor protection violation | 2023 | CFTC | $8,000,000 |
Goldman Sachs & Co. LLC | Goldman Sachs | investor protection violation | 2023 | CFTC | $3,000,000 |
Interactive Brokers Corp. and Interactive Brokers LLC | Interactive Brokers Group | investor protection violation | 2023 | CFTC | $20,000,000 |
StoneX Markets LLC | StoneX Group | investor protection violation | 2023 | CFTC | $650,000 |
Binance Holdings Limited et al. | Binance Holdings | investor protection violation | 2023 | CFTC | (*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $2,700,000,000 |
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 |
ACE Cash Express, Inc. | ACE Cash Express | consumer protection violation | 2002 | CO-AG | $1,300,000 |
CashCall, Inc., WS Funding, LLC, and Delbert Services Corporation | CashCall Inc. | consumer protection violation | 2016 | CO-AG | $7,384,005 |
Countrywide Financial Corp. | Bank of America | mortgage abuses | 2009 | CO-AG | $6,000,000 |
Western Sky Financial, LLC et al. | CashCall Inc. | consumer protection violation | 2014 | CO-AG | $565,000 |
Santander Consumer USA, Inc. | Banco Santander | consumer protection violation | 2021 | CO-AG | $3,065,000 |
United States Fire Insurance Co. | Fairfax Financial Holdings | consumer protection violation | 2021 | CO-AG | $50,000 |
Prosper Marketplace, Inc. | Prosper Marketplace | consumer protection violation | 2024 | CO-AG | $10,000 |
Stewart Title Guaranty Co. | Stewart Information Services | insurance violation | 2000 | CO-INS | $25,000 |
Commonwealth Land Title Insurance Co. | Fidelity National Financial | insurance violation | 2000 | CO-INS | $20,750 |
Fidelity National Title Insurance Co. | Fidelity National Financial | insurance violation | 2001 | CO-INS | $17,250 |
Federal Insurance Co. | Chubb Limited | insurance violation | 2005 | CO-INS | $16,000 |
Commerce and Industry Insurance Co. | American International Group | insurance violation | 2005 | CO-INS | $6,000 |
Allstate Insurance Co. | Allstate | insurance violation | 2005 | CO-INS | $10,500 |
Old Republic Insurance Co. | Old Republic International | insurance violation | 2006 | CO-INS | $6,000 |
Unitrin Auto and Home Insurance Co. | Kemper | insurance violation | 2006 | CO-INS | $7,500 |
American Family Mutual Insurance Co. | American Family Insurance | insurance violation | 2006 | CO-INS | $6,000 |
Farmers Insurance Exchange and Truck Insurance Exchange and Mid-Century Insurance Co. | Farmers Insurance Exchange | insurance violation | 2006 | CO-INS | $49,500 |
New England Life Insurance Co. | Brighthouse Financial | insurance violation | 2006 | CO-INS | $32,000 |
Allianz Life Insurance Company of North America | Allianz | insurance violation | 2006 | CO-INS | $34,800 |
Jackson National Life Insurance Co. | Jackson Financial | insurance violation | 2007 | CO-INS | $10,000 |
Auto-Owners Insurance Co. | Auto-Owners Insurance | insurance violation | 2007 | CO-INS | $5,000 |
American Family Mutual Insurance Co. | American Family Insurance | insurance violation | 2007 | CO-INS | $5,500 |
Nationwide Insurance Company of America | Nationwide | insurance violation | 2007 | CO-INS | $81,500 |
ING USA Annuity and Life Insurance Co. | Voya Financial | insurance violation | 2007 | CO-INS | $5,000 |
Stewart Title Guaranty Co. | Stewart Information Services | insurance violation | 2007 | CO-INS | $50,000 |
Nationwide Mutual Fire Insurance Co. | Nationwide | insurance violation | 2007 | CO-INS | $6,000 |
Nationwide Mutual Insurance Co. | Nationwide | insurance violation | 2007 | CO-INS | $8,500 |
Nationwide Property and Casualty Insurance Co. | Nationwide | insurance violation | 2007 | CO-INS | $6,000 |
National Western Life Insurance Co. | National Western Life | insurance violation | 2009 | CO-INS | $11,500 |
Time Insurance Co. | Haven Holdings | insurance violation | 2009 | CO-INS | $103,500 |
Permanent General Assurance Corp. | American Family Insurance | insurance violation | 2009 | CO-INS | $31,900 |
Esurance Insurance Co. | Allstate | insurance violation | 2010 | CO-INS | $154,500 |
Wedbush Securities Inc. | Wedbush Securities | insurance violation | 2011 | CO-INS | $14,300 |
Mid-Century Insurance Co. | Zurich Insurance | insurance violation | 2011 | CO-INS | $255,500 |
Farmers Insurance Exchange | Farmers Insurance Exchange | insurance violation | 2011 | CO-INS | $81,400 |
Mid-Century Insurance Co. | Zurich Insurance | insurance violation | 2011 | CO-INS | $66,000 |
Bristol West Insurance Co. | Zurich Insurance | insurance violation | 2011 | CO-INS | $161,500 |
Farmers Insurance Exchange | Farmers Insurance Exchange | insurance violation | 2012 | CO-INS | $218,000 |
United American Insurance Co. | Globe Life Inc. | insurance violation | 2012 | CO-INS | $86,500 |
Transamerica Life Insurance Co. | Aegon | insurance violation | 2012 | CO-INS | $6,270 |
John Alden Life Insurance Co. | Assurant | insurance violation | 2012 | CO-INS | $86,500 |
Stewart Title Guaranty Co. | Stewart Information Services | insurance violation | 2012 | CO-INS | $70,400 |
North River Insurance Co. | Fairfax Financial Holdings | insurance violation | 2012 | CO-INS | $62,700 |
United States Fire Insurance Co. | Fairfax Financial Holdings | insurance violation | 2012 | CO-INS | $111,500 |
First American Title Insurance Co. | First American Financial | insurance violation | 2013 | CO-INS | $177,500 |
Fidelity National Title Insurance Co. | Fidelity National Financial | insurance violation | 2014 | CO-INS | $48,400 |
Globe Life and Accident Insurance Co. | Globe Life Inc. | insurance violation | 2014 | CO-INS | $12,100 |
National Western Life Insurance Co. | National Western Life | insurance violation | 2014 | CO-INS | $11,500 |
Safeco Insurance Company of America | Liberty Mutual Insurance | insurance violation | 2015 | CO-INS | $140,500 |
Chicago Title Insurance Co. | Fidelity National Financial | insurance violation | 2015 | CO-INS | $66,000 |
Auto Owners Insurance Co. | Auto-Owners Insurance | insurance violation | 2017 | CO-INS | $25,875 |
National Western Life Insurance Co. | National Western Life | insurance violation | 2019 | CO-INS | $34,500 |
Companion Life Insurance Co. | BlueCross BlueShield of South Carolina | insurance violation | 2019 | CO-INS | $147,775 |
Permanent General Assurance Corp. | American Family Insurance | insurance violation | 2019 | CO-INS | $56,494 |
Permanent General Assurance Corporation of Ohio | American Family Insurance | insurance violation | 2019 | CO-INS | $50,974 |
JPMorgan Chase Bank, National Association | JPMorgan Chase | wage and hour violation | 2022 | CO-LAE | $5,838 |
Janney Montgomery Scott LLC | Penn Mutual | investor protection violation | 2005 | CO-SEC | $259,227 |
OppenheimerFunds Distributor, Inc. | Invesco | investor protection violation | 2007 | CO-SEC | $494,500 |
AllianceBernstein L.P. | Equitable Holdings | investor protection violation | 2013 | CO-SEC | $20,232 |
Solium Financial Services LLC | Morgan Stanley | investor protection violation | 2020 | CO-SEC | $69,338 |
American Express Centurion Bank | American Express | tax violations | 2012 | CT-AG | $14,970 |
Bank of America | Bank of America | privacy violation | 2009 | CT-AG | $350,000 |
Brown & Brown Insurance of Arizona, Inc. | Brown & Brown | tax violations | 2014 | CT-AG | $37,650 |
Citibank N.A. | Citigroup | privacy violation | 2013 | CT-AG | $55,000 |