Washington National Insurance Co. | CNO Financial | insurance violation | 2012 | MO-INS | $150,000 |
Washington National Insurance Co. | CNO Financial | insurance violation | 2023 | SD-INS | $15,000 |
Washington Mutual, Inc. | JPMorgan Chase | wage and hour violation | 2005 | WHD | $404,982 |
Washington Mutual Pension Plan | JPMorgan Chase | benefit plan administrator violation | 2010 | private lawsuit-federal | $20,000,000 |
Washington Mutual Mortgage Securities Corp. | JPMorgan Chase | toxic securities abuses | 2021 | NM-AG | $4,642,857 |
Washington Mutual Inc. | JPMorgan Chase | benefit plan administrator violation | 2010 | private lawsuit-federal | $49,000,000 |
Washington Mutual Bank, F. A. | JPMorgan Chase | environmental violation | 2005 | CA-SCAQMD | $23,264 |
Washington Mutual Bank | JPMorgan Chase | wage and hour violation | 2011 | private lawsuit-federal | $463,000 |
Washington Mutual Bank | JPMorgan Chase | wage and hour violation | 2009 | private lawsuit-federal | $38,000,000 |
Washington Mutual | JPMorgan Chase | consumer protection violation | 2015 | private lawsuit-federal | $10,000,000 |
Washington Mutual | JPMorgan Chase | consumer protection violation | 2012 | private lawsuit-federal | $4,000,000 |
Washington Mutual | JPMorgan Chase | consumer protection violation | 2011 | private lawsuit-federal | $8,736,000 |
WASHINGTON MUTUAL | JPMorgan Chase | workplace safety or health violation | 2007 | OSHA | $5,000 |
Washington Federal Bank, National Association | Washington Federal Inc. | banking violation | 2021 | OCC | $2,500,000 |
Washington Federal Bank, National Association | Washington Federal Inc. | banking violation | 2021 | OCC | $40,500 |
Washington Federal Bank, N.A. | Washington Federal Inc. | consumer protection violation | 2020 | CFPB | $200,000 |
Washington Federal | Washington Federal Inc. | consumer protection violation | 2013 | CFPB | $34,000 |
Warburg Dillon Read LLC | UBS | investor protection violation | 2000 | SEC | $6,680,000 |
Walter Investment Management Corp. | Ditech Holding Corporation | False Claims Act and related | 2015 | DOJ_CIVIL | $29,630,000 |
Waddell & Reed, LLC | Macquarie | investor protection violation | 2022 | SEC | $200,000 |
Waddell & Reed, Inc. | Macquarie | investor protection violation | 2006 | SEC | $50,000,000 |
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 |
Waddell & Reed, Inc. | Macquarie | investor protection violation | 2003 | FL-OFR | $8,800 |
Waddell & Reed, Inc. | Macquarie | investor protection violation | 2006 | MO-SEC | $172,161 |
Waddell & Reed, Inc. | Macquarie | investor protection violation | 2005 | MT-FIN | $25,000 |
Waddell & Reed, Inc. | Macquarie | investor protection violation | 2016 | NH-BSR | $900,000 |
Waddell & Reed, Inc. | Macquarie | investor protection violation | 2005 | MULTI-FIN | $18,000,000 |
Waddell & Reed, Inc. | Macquarie | investor protection violation | 2005 | FINRA | (*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $16,000,000 |
Waddell & Reed Inc. | Macquarie | investor protection violation | 2008 | OK-SEC | $10,000 |
Wachovia Securities, LLC. | Wells Fargo | investor protection violation | 2004 | FINRA | $39,486 |
Wachovia Securities, LLC nka Wells Fargo Advisors, LLC | Wells Fargo | investor protection violation | 2010 | CT-SEC | $75,000 |
Wachovia Securities, LLC and First Clearing, LLC | Wells Fargo | investor protection violation | 2009 | FINRA | $1,100,000 |
Wachovia Securities, LLC | Wells Fargo | investor protection violation | 2004 | SEC | $4,844,465 |
Wachovia Securities, LLC | Wells Fargo | investor protection violation | 2009 | DE-AG | $309,000 |
Wachovia Securities, LLC | Wells Fargo | investor protection violation | 2011 | NJ-AG | $3,200,000 |
Wachovia Securities, LLC | Wells Fargo | investor protection violation | 2010 | AK-DBS | $129,131 |
Wachovia Securities, LLC | Wells Fargo | investor protection violation | 2008 | MD-SEC | $50,000 |
Wachovia Securities, LLC | Wells Fargo | investor protection violation | 2009 | FINRA | $1,400,000 |
Wachovia Securities LLC | Wells Fargo | investor protection violation | 2007 | ND-SEC | $75,000 |
Wachovia Securities LLC | Wells Fargo | investor protection violation | 2008 | MULTI-FIN | (*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $50,000,000 |
Wachovia Securities LLC | Wells Fargo | investor protection violation | 2007 | FINRA | $2,000,000 |
Wachovia Securities LLC | Wells Fargo | investor protection violation | 2004 | FINRA | $650,000 |
Wachovia Securities | Wells Fargo | wage and hour violation | 2009 | private lawsuit-federal | $39,000,000 |
Wachovia Securities | Wells Fargo | benefit plan administrator violation | 2009 | private lawsuit-federal | $1,005,000 |
Wachovia Securities | Wells Fargo | investor protection violation | 2008 | MULTI-AG | $60,000,000 |
Wachovia Securities | Wells Fargo | investor protection violation | 2009 | FINRA | $4,500,000 |
Wachovia National Bank, N.A. | Wells Fargo | benefit plan administrator violation | 2000 | EBSA | $30,000,000 |
Wachovia Financial Services | Wells Fargo | wage and hour violation | 2010 | private lawsuit-federal | $450,000 |
Wachovia Corporation | Wells Fargo | investor protection violation | 2004 | SEC | $37,000,000 |
Wachovia Corporation | Wells Fargo | benefit plan administrator violation | 2011 | private lawsuit-federal | $12,350,000 |
Wachovia Capital Markets, LLC | Wells Fargo | investor protection violation | 2006 | SEC | $125,000 |
Wachovia Capital Markets, LLC | Wells Fargo | investor protection violation | 2007 | MD-AG | $402,386 |
Wachovia Capital Markets, LLC | Wells Fargo | investor protection violation | 2007 | CT-SEC | $258,728 |
Wachovia Capital Markets, LLC | Wells Fargo | investor protection violation | 2007 | FINRA | $300,000 |
Wachovia Capital Markets LLC | Wells Fargo | investor protection violation | 2006 | MULTI-AG | $25,000,000 |
Wachovia Capital Markets LLC | Wells Fargo | investor protection violation | 2007 | MULTI-FIN | $24,650,000 |
Wachovia Bank, National Association | Wells Fargo | banking violation | 2008 | OCC | $168,900,000 |
Wachovia Bank N.A. | Wells Fargo | price-fixing or anti-competitive practices | 2011 | DOJ_ANTITRUST | $148,000,000 |
Wachovia Bank N.A. | Wells Fargo | banking violation | 2010 | OCC | $50,000,000 |
Wachovia Bank N.A. | Wells Fargo | anti-money-laundering deficiencies | 2010 | USAO | $50,000,000 |
Wachovia Bank N.A. | Wells Fargo | price-fixing or anti-competitive practices | 2011 | MULTI-AG | (*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $58,750,000 |
Wachovia Bank | Wells Fargo | anti-money-laundering deficiencies | 2010 | FINCEN | $110,000,000 |
Wachovia Bank | Wells Fargo | economic sanction violation | 2007 | OFAC | $11,000 |
Wachovia Bank | Wells Fargo | economic sanction violation | 2005 | OFAC | $5,500 |
Wachovia Bank | Wells Fargo | economic sanction violation | 2004 | OFAC | $11,000 |
Wachovia Bank | Wells Fargo | wage and hour violation | 2004 | WHD | $5,798,744 |
Wachovia | Wells Fargo | toxic securities abuses | 2015 | NCUA | $53,000,000 |
W.R. Berkley Corp. | W.R. Berkley | insurance violation | 2017 | CA-INS | $3,015,000 |
W. R. BERKLEY CORPORATION | W.R. Berkley | workplace safety or health violation | 2017 | OSHA | $5,000 |
Voya Insurance and Annuity Co. et al. | Voya Financial | insurance violation | 2014 | MN-FIN | $1,250,000 |
Voya Holdings Inc. | Voya Financial | investor protection violation | 2018 | SEC | $3,600,000 |
Voya Financial Advisors, Inc. fka ING Financial Partners, Inc. | Voya Financial | investor protection violation | 2019 | CT-SEC | $1,015,000 |
Voya Financial Advisors, Inc. | Voya Financial | investor protection violation | 2017 | SEC | $3,095,953 |
Voya Financial Advisors, Inc. | Voya Financial | investor protection violation | 2020 | SEC | $22,919,155 |
Voya Financial Advisors Inc. | Voya Financial | investor protection violation | 2018 | SEC | $1,000,000 |
VOYA Financial Advisors Inc. | Voya Financial | investor protection violation | 2016 | FINRA | $4,550,000 |
VITOL, S.A. | Vitol | kickbacks and bribery | 2007 | NY-MANDA | $17,500,000 |
Vitol, Inc. | Vitol | employment discrimination | 2012 | EEOC | $62,500 |
Vitol, Inc. | Vitol | environmental violation | 2014 | CA-ARB | $70,000 |
Vitol, Inc. | Vitol | environmental violation | 2015 | EPA | $14,047 |
Vitol, Inc. | Vitol | environmental violation | 2016 | EPA | $17,934 |
VITOL SA, INC | Vitol | environmental violation | 2002 | EPA | $95,000 |
Vitol S.A., Inc. | Vitol | environmental violation | 2005 | EPA | $41,600 |
Vitol S.A. | Vitol | environmental violation | 2002 | CA-ARB | $25,000 |
Vitol Inc. and Vitol Capital Management Ltd. | Vitol | investor protection violation | 2010 | CFTC | $6,000,000 |
Vitol Inc. | Vitol | energy market violation | 2019 | FERC | $2,742,881 |
Vitol Inc. | Vitol | fraud | 2020 | CFTC | (*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $95,700,000 |
Vitol Inc. | Vitol | Foreign Corrupt Practices Act | 2020 | DOJ_CRIMINAL | $135,000,000 |
Vitol Inc. | Vitol | energy market violation | 2024 | FERC | $2,225,000 |
Vitol Inc. | Vitol | environmental violation | 2014 | EPA | $30,394 |
Vitol Inc. | Vitol | environmental violation | 2016 | EPA | $9,814 |
Vitol | Vitol | environmental violation | 2007 | CA-ARB | $150,000 |
Vitol | Vitol | environmental violation | 2005 | CA-ARB | $20,000 |
Vitol | Vitol | environmental violation | 2017 | EPA | $35,000 |
Visa USA Inc. | Visa | price-fixing or anti-competitive practices | 2008 | WV-AG | $6,400,000 |
Visa USA | Visa | price-fixing or anti-competitive practices | 2009 | private lawsuit-federal | $100,000,000 |
Visa USA | Visa | price-fixing or anti-competitive practices | 2004 | private lawsuit-federal | $2,025,000,000 |
Visa U.S.A. Inc. | Visa | price-fixing or anti-competitive practices | 2019 | private lawsuit-federal | $4,100,000,000 |
Visa Inc. | Visa | consumer protection violation | 2018 | NM-AG | $2,270,000 |
Virtu Americas LLC | Virtu Financial | investor protection violation | 2019 | SEC | $1,500,000 |
Virginia Surety Company, Inc. | Assurant | insurance violation | 2015 | NY-DFS | $10,000 |