UBS AG | UBS | banking violation | 2015 | FED | $342,000,000 |
UBS AG | UBS | price-fixing or anti-competitive practices | 2015 | DOJ_CRIMINAL | $203,000,000 |
UBS AG | UBS | investor protection violation | 2015 | SEC | $19,500,000 |
UBS AG | UBS | price-fixing or anti-competitive practices | 2014 | CFTC | $290,000,000 |
UBS AG | UBS | price-fixing or anti-competitive practices | 2012 | CFTC | $700,000,000 |
UBS AG | UBS | economic sanction violation | 2015 | OFAC | $1,700,100 |
UBS AG | UBS | investor protection violation | 2010 | CFTC | $130,000 |
UBS AG | UBS | economic sanction violation | 2004 | FED | $100,000,000 |
UBS AG | UBS | tax violations | 2009 | DOJ_TAX | $780,000,000 |
UBS AG | UBS | tax violations | 2009 | SEC | $200,000,000 |
UBS AG | UBS | investor protection violation | 2018 | CFTC | $15,000,000 |
UBS AG | UBS | price-fixing or anti-competitive practices | 2018 | MULTI-AG | $68,000,000 |
UBS AG | UBS | 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. $90,800,000 |
UBS AG | UBS | price-fixing or anti-competitive practices | 2016 | WV-AG | $325,000 |
UBS AG | UBS | environmental violation | 2011 | CT-ENV | $80,000 |
UBS AG | UBS | investor protection violation | 2021 | CFTC | $500,000 |
UBS AG | UBS | investor protection violation | 2022 | CFTC | $75,000,000 |
UBS AG | UBS | price-fixing or anti-competitive practices | 2020 | private lawsuit-federal | $17,900,000 |
UBS AG | UBS | price-fixing or anti-competitive practices | 2018 | private lawsuit-federal | $141,075,000 |
UBS AG | UBS | price-fixing or anti-competitive practices | 2018 | private lawsuit-federal | $14,000,000 |
UBS AG | UBS | price-fixing or anti-competitive practices | 2022 | private lawsuit-federal | $7,000,000 |
UBS AG | UBS | price-fixing or anti-competitive practices | 2022 | private lawsuit-federal | $8,000,000 |
UBS AG | UBS | price-fixing or anti-competitive practices | 2016 | private lawsuit-federal | $32,000,000 |
UBS AG | UBS | toxic securities abuses | 2023 | DOJ_CIVIL | $1,435,000,000 |
UBS (USA) Inc | UBS | economic sanction violation | 2003 | OFAC | $14,750 |
UBS (USA) Inc | UBS | economic sanction violation | 2003 | OFAC | $5,000 |
UBS | UBS | toxic securities abuses | 2016 | NCUA | $69,800,000 |
UBS | UBS | toxic securities abuses | 2017 | NCUA | $445,000,000 |
UBS | UBS | wage and hour violation | 2015 | private lawsuit-federal | $1,312,500 |
UBS | UBS | wage and hour violation | 2012 | private lawsuit-federal | $1,400,000 |
UBS | UBS | wage and hour violation | 2007 | private lawsuit-federal | $44,000,000 |
UBS | UBS | wage and hour violation | 2007 | private lawsuit-federal | $45,000,000 |
UBS | UBS | investor protection violation | 2010 | MI-AG | $117,000,000 |
UBS | UBS | banking violation | 2023 | TX-AG | $850,000 |
U.S. Trust Corporation | Bank of America | banking violation | 2001 | FED | $5,000,000 |
U.S. Trust Corporation | Bank of America | anti-money-laundering deficiencies | 2001 | NY-DFS | $5,000,000 |
U.S. Pension Trust Corp. and U.S. College Trust Corp. | U.S. Pension Trust Corp. | investor protection violation | 2010 | SEC | $112,600,000 |
U.S. Bank, National Association | U.S. Bancorp | mortgage abuses | 2011 | HUD | $1,200,000 |
U.S. Bank Pension Plan | U.S. Bancorp | benefit plan administrator violation | 2012 | private lawsuit-federal | $9,600,000 |
U.S. Bank National Association | U.S. Bancorp | banking violation | 2016 | OCC | $10,000,000 |
U.S. Bank National Association | U.S. Bancorp | banking violation | 2014 | OCC | $51,900,000 |
U.S. Bank National Association | U.S. Bancorp | investor protection violation | 2015 | CFTC | $18,000,000 |
U.S. Bank National Association | U.S. Bancorp | banking violation | 2006 | OCC | $125,000 |
U.S. Bank National Association | U.S. Bancorp | discriminatory practices (non-employment) | 2014 | HUD | $11,489 |
U.S. Bank National Association | U.S. Bancorp | discriminatory practices (non-employment) | 2013 | HUD | $12,000 |
U.S. Bank National Association | U.S. Bancorp | banking violation | 2017 | OCC | $15,000,000 |
U.S. Bank National Association | U.S. Bancorp | banking violation | 2017 | OCC | $183,920 |
U.S. Bank National Association | U.S. Bancorp | anti-money-laundering deficiencies | 2018 | OCC | $75,000,000 |
U.S. Bank National Association | U.S. Bancorp | anti-money-laundering deficiencies | 2018 | FINCEN | $70,000,000 |
U.S. Bank National Association | U.S. Bancorp | investor protection violation | 2005 | SEC | $500,000 |
U.S. Bank National Association | U.S. Bancorp | wage and hour violation | 2020 | private lawsuit-federal | $6,500,000 |
U.S. Bank National Association | U.S. Bancorp | mortgage abuses | 2020 | DOJ_UTP | $29,000,000 |
U.S. Bank National Association | U.S. Bancorp | consumer protection violation | 2015 | private lawsuit-federal | $6,000,000 |
U.S. Bank National Association | U.S. Bancorp | banking violation | 2023 | OCC | $15,000,000 |
U.S. Bank NA | U.S. Bancorp | consumer protection violation | 2016 | private lawsuit-federal | $14,050,000 |
U.S. Bank NA | U.S. Bancorp | consumer protection violation | 2015 | private lawsuit-federal | $44,500,000 |
U.S. Bank NA | U.S. Bancorp | consumer protection violation | 2015 | private lawsuit-federal | $34,500,000 |
U.S. Bank Municipal Securities Group | U.S. Bancorp | investor protection violation | 2015 | SEC | $60,000 |
U.S. Bank | U.S. Bancorp | consumer protection violation | 2014 | CFPB | $53,000,000 |
U.S. Bank | U.S. Bancorp | banking violation | 2013 | CFPB | $3,200,000 |
U.S. Bank | U.S. Bancorp | banking violation | 2013 | OCC | $208,156,501 |
U.S. Bank | U.S. Bancorp | False Claims Act and related | 2014 | DOJ_CIVIL | $200,000,000 |
U.S. Bank | U.S. Bancorp | wage and hour violation | 2008 | WHD | $140,787 |
U.S. Bank | U.S. Bancorp | wage and hour violation | 2015 | private lawsuit-federal | $3,031,075 |
U.S. Bank | U.S. Bancorp | privacy violation | 2019 | private lawsuit-federal | $2,670,336 |
U.S. Bank | U.S. Bancorp | consumer protection violation | 2021 | MA-AG | $230,000 |
U.S. Bank | U.S. Bancorp | banking violation | 2022 | CFPB | $37,500,000 |
U.S. Bank | U.S. Bancorp | consumer protection violation | 2023 | CFPB | $20,700,000 |
U.S. Bancorp Piper Jaffray Inc. | Piper Sandler | investor protection violation | 2003 | SEC | $32,500,000 |
U.S. Bancorp Piper Jaffray Inc. | Piper Sandler | data submission deficiencies | 2002 | SEC | $1,650,000 |
U.S. Bancorp Piper Jaffray Inc. | Piper Sandler | investor protection violation | 2002 | SEC | $100,000 |
U.S. Bancorp Piper Jaffray Inc. | Piper Sandler | investor protection violation | 2003 | MT-FIN | $2,625,000 |
U.S. Bancorp Piper Jaffray Inc. | Piper Sandler | investor protection violation | 2002 | NE-DBF | $5,000 |
U.S. Bancorp Piper Jaffray Inc. | Piper Sandler | investor protection violation | 2003 | 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. $12,500,000 |
U.S. Bancorp Piper Jaffray Inc. | Piper Sandler | investor protection violation | 2002 | FINRA | (*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $1,650,000 |
U.S. Bancorp Piper Jaffray | Piper Sandler | investor protection violation | 2002 | FINRA | $250,000 |
U.S. Bancorp Investments Inc. | U.S. Bancorp | investor protection violation | 2024 | SEC | $8,000,000 |
U.S. Bancorp Investments, Inc. | U.S. Bancorp | investor protection violation | 2020 | SEC | $15,992,441 |
U.S. BANCORP DBA US BANK MT. VERNON IL OFFICE | U.S. Bancorp | workplace safety or health violation | 2015 | OSHA | $8,775 |
U.S. Bancorp | U.S. Bancorp | wage and hour violation | 2006 | WHD | $140,788 |
U.S. Bancorp | U.S. Bancorp | mortgage abuses | 2018 | FED | $4,400,000 |
U.S. Bancorp | U.S. Bancorp | anti-money-laundering deficiencies | 2018 | USAO | $453,000,000 |
U.S. Bancorp | U.S. Bancorp | wage and hour violation | 2017 | private lawsuit-federal | $7,000,000 |
U.S. Bancorp | U.S. Bancorp | wage and hour violation | 2017 | private lawsuit-federal | $1,150,000 |
U.S. Bancorp | U.S. Bancorp | wage and hour violation | 2014 | private lawsuit-federal | $6,450,000 |
U.S. Bancorp | U.S. Bancorp | consumer protection violation | 2005 | CA-AG | $2,600,000 |
U.S. Bancorp | U.S. Bancorp | discriminatory practices (non-employment) | 2005 | private lawsuit-federal | $2,495,000 |
Twin City Fire Insurance Company | Hartford Financial Services | insurance violation | 2013 | SD-INS | $5,000 |
Twin City Fire Insurance Company | Hartford Financial Services | insurance violation | 2014 | TX-INS | $5,079 |
Twin City Fire Insurance Company | Hartford Financial Services | insurance violation | 2015 | TX-INS | $5,500 |
Twin City Fire Insurance Company | Hartford Financial Services | insurance violation | 2016 | TX-INS | $9,500 |
Twin City Fire Insurance Company | Hartford Financial Services | insurance violation | 2017 | TX-INS | $8,500 |
Twin City Fire Insurance Company | Hartford Financial Services | insurance violation | 2017 | WA-INS | $30,000 |
Twin City Fire Insurance Co. et al. | Hartford Financial Services | insurance violation | 2016 | MD-INS | $10,000 |
Twin City Fire Insurance Co. | Hartford Financial Services | insurance violation | 2007 | ME-INS | $5,000 |
Twin City Fire Insurance Co. | Hartford Financial Services | insurance violation | 2016 | MO-INS | $62,541 |
Twin City Fire Insurance Co. | Hartford Financial Services | insurance violation | 2020 | TX-INS | $6,000 |
Trustmark National Bank | Trustmark | banking violation | 2012 | OCC | $6,250 |
Trustmark National Bank | Trustmark | discriminatory practices (non-employment) | 2021 | CFPB | (*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $5,000,000 |
Trustmark National Bank | Trustmark | banking violation | 2021 | OCC | $4,000,000 |
Trumbull Insurance Company | Hartford Financial Services | insurance violation | 2010 | TX-INS | $10,000 |