Waddell & Reed, Inc. | Macquarie | investor protection violation | 2006 | NY-AG | (*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $75,000,000 |
Wells Fargo | Wells Fargo | consumer protection violation | 2004 | NY-AG | $2,900,000 |
Wells Fargo & Company | Wells Fargo | investor protection violation | 2018 | NY-AG | $65,000,000 |
Wells Fargo Financial Bank | Wells Fargo | consumer protection violation | 2003 | NY-AG | $33,500 |
Western Sky Financial, LLC | CashCall Inc. | consumer protection violation | 2014 | NY-AG | $1,500,000 |
Willis Group Holdings Ltd. | Willis Towers Watson | price-fixing or anti-competitive practices | 2005 | NY-AG | $50,000,000 |
Zurich American Insurance Company et al. | Zurich Insurance | False Claims Act and related | 2010 | NY-AG | $37,500,000 |
BGC Financial LP | BGC Partners | price-fixing or anti-competitive practices | 2019 | NY-AG | $7,500,000 |
GFI Securities LLC | BGC Partners | price-fixing or anti-competitive practices | 2019 | NY-AG | $5,000,000 |
Morgan Stanley DW Inc. | Morgan Stanley | investor protection violation | 2006 | NY-AG | $1,040,964 |
Old Republic National Title Insurance Company | Old Republic International | wage and hour violation | 2021 | NY-AG | $1,000,000 |
TIAA-CREF Individual & Institutional Services, LLC | TIAA | benefit plan administrator violation | 2021 | NY-AG | (*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $97,000,000 |
Stewart Title Guaranty Corporation | Stewart Information Services | price-fixing or anti-competitive practices | 2022 | NY-AG | $2,500,000 |
First American Financial Corporation | First American Financial | price-fixing or anti-competitive practices | 2023 | NY-AG | $4,500,000 |
Ameritas Investment Co. | Ameritas Mutual Holding Company | investor protection violation | 2022 | NV-SEC | $15,000 |
Western Sky Financial, LLC et al. | CashCall Inc. | consumer protection violation | 2013 | NV-BKG | $50,000 |
DB Structured Products, Inc. | Deutsche Bank | toxic securities abuses | 2013 | NV-AG | $11,500,000 |
Insurance Company of the State of Pennsylvania | American International Group | False Claims Act and related | 2016 | NV-AG | $300,000 |
Morgan Stanley Mortgage Capital Holdings | Morgan Stanley | toxic securities abuses | 2011 | NV-AG | $28,200,000 |
RBS Financial Products | NatWest Group PLC | toxic securities abuses | 2012 | NV-AG | $42,000,000 |
Oppenheimer & Co. | Oppenheimer Holdings | investor protection violation | 2015 | NM-SEC | $215,000 |
Solium Financial Services LLC | Morgan Stanley | investor protection violation | 2020 | NM-SEC | $6,500 |
El Paso Electric Company | JPMorgan Chase | utility administrative violation | 2010 | NM-PRC | $5,000 |
Durango Midstream, LLC | Morgan Stanley | environmental violation | 2023 | NM-ENV | $34,320 |
Mastercard Inc. | MasterCard | consumer protection violation | 2018 | NM-AG | $1,125,000 |
OppenheimerFunds | Invesco | investor protection violation | 2010 | NM-AG | $67,300,000 |
St. Paul Travelers Companies Inc. | Travelers | investor protection violation | 2005 | NM-AG | $67,500,000 |
Visa Inc. | Visa | consumer protection violation | 2018 | NM-AG | $2,270,000 |
Barclays Capital Inc. | Barclays | toxic securities abuses | 2021 | NM-AG | $4,642,857 |
Citigroup Global Markets Inc. | Citigroup | toxic securities abuses | 2021 | NM-AG | $4,642,857 |
Goldman Sachs & Co. LLC | Goldman Sachs | toxic securities abuses | 2021 | NM-AG | $4,642,857 |
J.P. Morgan Securities LLC | JPMorgan Chase | toxic securities abuses | 2021 | NM-AG | $4,642,857 |
Merrill Lynch, Pierce, Fenner & Smith Incorporated | Bank of America | toxic securities abuses | 2021 | NM-AG | $4,642,857 |
NatWest Markets Securities Inc. | NatWest Group PLC | toxic securities abuses | 2021 | NM-AG | $4,642,857 |
Washington Mutual Mortgage Securities Corp. | JPMorgan Chase | toxic securities abuses | 2021 | NM-AG | $4,642,857 |
TIAA-CREF | TIAA | labor relations violation | 2016 | NLRB | $304,216 |
Grandbridge Real Estate Capital, LLC | Truist Financial | labor relations violation | 2015 | NLRB | $70,000 |
Seterus, Inc. | Mr. Cooper Group | labor relations violation | 2013 | NLRB | $72,162 |
Bank of America, National Association | Bank of America | labor relations violation | 2013 | NLRB | $18,634 |
IFCO SYSTEMS | Triton Investments Advisers | labor relations violation | 2013 | NLRB | $91,866 |
El Paso Electric Company | JPMorgan Chase | labor relations violation | 2012 | NLRB | $79,692 |
UBS Inc. | UBS | labor relations violation | 2010 | NLRB | $26,351 |
National City Corporation | PNC Financial Services | labor relations violation | 2009 | NLRB | $24,083 |
El Paso Electric Company | JPMorgan Chase | labor relations violation | 2009 | NLRB | $11,500 |
National City Corporation d/b/a National City Bank | PNC Financial Services | labor relations violation | 2008 | NLRB | $49,597 |
PNC Bank | PNC Financial Services | labor relations violation | 2006 | NLRB | $40,000 |
TD Banknorth | Toronto-Dominion Bank | labor relations violation | 2006 | NLRB | $5,000 |
J.P. Morgan Chase & Co. and Forum Temporary Services | JPMorgan Chase | labor relations violation | 2006 | NLRB | $60,760 |
Mercury Air Centers, Inc. | Macquarie | labor relations violation | 2006 | NLRB | $40,000 |
USAA Insurance | USAA | labor relations violation | 2005 | NLRB | $125,361 |
Watson Wyatt & Co. | Willis Towers Watson | labor relations violation | 2005 | NLRB | $91,000 |
CINCINNATI BELL TELEPHONE A DIVISION OF BROADWING | Macquarie | labor relations violation | 2005 | NLRB | $5,000 |
Wheelabrator Westchester, L.P. | Macquarie | labor relations violation | 2005 | NLRB | $13,000 |
CINCINNATI BELL | Macquarie | labor relations violation | 2004 | NLRB | $39,200 |
Piccari Press, Inc. | Chatham Asset Management | labor relations violation | 2003 | NLRB | $10,000 |
MetLife Financial Services | MetLife | labor relations violation | 2002 | NLRB | $18,500 |
CNG FINANCIAL CORPORATION | CNG Financial | labor relations violation | 2001 | NLRB | $6,000 |
First Union Bank | Wells Fargo | labor relations violation | 2000 | NLRB | $9,116 |
The Prudential Insurance Company of America | Prudential Financial | labor relations violation | 2018 | NLRB | $17,842 |
Academy Mortgage Corporation | Academy Mortgage Corp. | labor relations violation | 2018 | NLRB | $6,061 |
Neovia | Goldman Sachs | labor relations violation | 2023 | NLRB | $7,000 |
The McClatchy Company | Chatham Asset Management | labor relations violation | 2022 | NLRB | $15,482 |
BUCKEYE PIPE LINE CO | IFM Investors | air pollution violation | 2021 | NJ-ENV | $16,000 |
WHEELABRATOR GLOUCESTER COMPANY L P | Macquarie | air pollution violation | 2017 | NJ-ENV | $6,000 |
WHEELABRATOR GLOUCESTER COMPANY L P | Macquarie | air pollution violation | 2016 | NJ-ENV | $12,900 |
BUCKEYE PERTH AMBOY TERMINAL LLC | IFM Investors | air pollution violation | 2015 | NJ-ENV | $13,000 |
BUCKEYE PIPE LINE CO LINDEN STATION | IFM Investors | air pollution violation | 2014 | NJ-ENV | $5,000 |
BUCKEYE RARITAN BAY TERMINAL | IFM Investors | air pollution violation | 2013 | NJ-ENV | $10,000 |
BUCKEYE PERTH AMBOY TERMINAL LLC | IFM Investors | air pollution violation | 2012 | NJ-ENV | $231,875 |
BUCKEYE PENNSAUKEN TERMINAL LLC | IFM Investors | air pollution violation | 2012 | NJ-ENV | $5,250 |
BUCKEYE PORT READING TERMINAL LLC | IFM Investors | air pollution violation | 2012 | NJ-ENV | $425,000 |
CITIGROUP | Citigroup | air pollution violation | 2010 | NJ-ENV | $6,000 |
BUCKEYE PORT READING TERMINAL | IFM Investors | water pollution violation | 2009 | NJ-ENV | $7,000 |
BUCKEYE PERTH AMBOY TERMINAL LLC | IFM Investors | air pollution violation | 2009 | NJ-ENV | $9,550 |
BUCKEYE PORT READING TERMINAL LLC | IFM Investors | air pollution violation | 2009 | NJ-ENV | $9,700 |
BUCKEYE PORT READING TERMINAL LLC | IFM Investors | air pollution violation | 2009 | NJ-ENV | $8,200 |
BUCKEYE PIPELINE CO LLP | IFM Investors | air pollution violation | 2008 | NJ-ENV | $10,000 |
BROADRIDGE FINANCIAL SOLUTIONS INC | Broadridge Financial Solutions | air pollution violation | 2008 | NJ-ENV | $6,500 |
BUCKEYE PERTH AMBOY TERMINAL LLC | IFM Investors | air pollution violation | 2007 | NJ-ENV | $5,700 |
BUCKEYE PORT READING TERMINAL LLC | IFM Investors | air pollution violation | 2007 | NJ-ENV | $11,760 |
BUCKEYE PENNSAUKEN TERMINAL LLC | IFM Investors | air pollution violation | 2006 | NJ-ENV | $28,200 |
BUCKEYE PORT READING TERMINAL LLC | IFM Investors | air pollution violation | 2006 | NJ-ENV | $20,005 |
BUCKEYE PORT READING TERMINAL LLC | IFM Investors | air pollution violation | 2005 | NJ-ENV | $103,600 |
BUCKEYE PIPELINE CO LLP | IFM Investors | air pollution violation | 2005 | NJ-ENV | $31,500 |
WHEELABRATOR GLOUCESTER COMPANY, L.P. | Macquarie | air pollution violation | 2001 | NJ-ENV | $10,400 |
WHEELABRATOR GLOUCESTER COMPANY, L.P. | Macquarie | air pollution violation | 2001 | NJ-ENV | $11,200 |
BUCKEYE PIPELINE CO LLP | IFM Investors | air pollution violation | 2000 | NJ-ENV | $14,000 |
WHEELABRATOR GLOUCESTER COMPANY, L.P. | Macquarie | air pollution violation | 2000 | NJ-ENV | $11,600 |
BUCKEYE PERTH AMBOY TERMINAL LLC | IFM Investors | environmental violation | 2023 | NJ-ENV | $48,640 |
Prudential Insurance Company of America | Prudential Financial | insurance violation | 2001 | NJ-DBI | $25,100,000 |
USAA Casualty Insurance and United Services Auto Association | USAA | insurance violation | 2003 | NJ-DBI | $6,200,000 |
Horizon Healthcare of New Jersey Inc. | Horizon Healthcare Services | insurance violation | 2003 | NJ-DBI | $200,000 |
Allstate Life Insurance Co. | Allstate | insurance violation | 2004 | NJ-DBI | $15,000 |
AON Risk Services Inc | Aon | insurance violation | 2004 | NJ-DBI | $10,000 |
Hanover Insurance Co. | Hanover Insurance | insurance violation | 2004 | NJ-DBI | $40,000 |
Selective Insurance Co. of America | Selective Insurance Group | insurance violation | 2004 | NJ-DBI | $25,000 |
State Farm Indemnity Co. | State Farm Insurance | insurance violation | 2004 | NJ-DBI | $35,000 |
American General Financial Services Inc. | OneMain Holdings | insurance violation | 2004 | NJ-DBI | $1,200,000 |
American International Specialty Lines Insurance Co. | American International Group | insurance violation | 2005 | NJ-DBI | $13,000 |
American Security Insurance Co. et al. | Assurant | insurance violation | 2005 | NJ-DBI | $1,775,000 |
Seneca Insurance Co. | Fairfax Financial Holdings | insurance violation | 2005 | NJ-DBI | $72,256 |