KeyBank | KeyCorp | wage and hour violation | 2013 | private lawsuit-federal | $4,900,000 |
Merrill Lynch | Bank of America | wage and hour violation | 2013 | private lawsuit-federal | $21,000,000 |
First Niagara Financial Group | KeyCorp | wage and hour violation | 2013 | private lawsuit-federal | $404,000 |
MetLife | MetLife | wage and hour violation | 2013 | private lawsuit-federal | $3,003,000 |
Piper Jaffray & Co. | Piper Sandler | investor protection violation | 2013 | SEC | $300,000 |
Knight Capital Americas LLC | Virtu Financial | investor protection violation | 2013 | SEC | $12,000,000 |
ABN AMRO Bank, N.V. | ABN AMRO | investor protection violation | 2013 | SEC | $5,547,408 |
UBS O'Connor, LLC | UBS | investor protection violation | 2013 | SEC | $5,297,716 |
NASDAQ Stock Market, LLC and NASDAQ Execution Services, LLC | Nasdaq Inc. | investor protection violation | 2013 | SEC | $10,000,000 |
Banco Comercial Portugues, S.A. | Banco Comercial Portugues S.A. | investor protection violation | 2013 | SEC | $1,892,058 |
Oppenheimer Asset Management Inc. and Oppenheimer Alternative Investment Management, LLC | Oppenheimer Holdings | investor protection violation | 2013 | SEC | $2,886,677 |
ING Life Insurance and Annuity Co. | Voya Financial | benefit plan administrator violation | 2013 | EBSA | $5,200,000 |
Merrill Lynch | Bank of America | employment discrimination | 2013 | private lawsuit-federal | $38,225,000 |
Merrill Lynch | Bank of America | employment discrimination | 2013 | private lawsuit-federal | $160,000,000 |
United Community Banks, Inc. | United Community Banks Inc. | benefit plan administrator violation | 2013 | private lawsuit-federal | $3,500,000 |
Flagstar Bancorp, Inc. | New York Community Bancorp | benefit plan administrator violation | 2013 | private lawsuit-federal | $3,000,000 |
Comerica Incorporated | Comerica | benefit plan administrator violation | 2013 | private lawsuit-federal | $11,000,000 |
ING Groep N.V. | Voya Financial | benefit plan administrator violation | 2013 | private lawsuit-federal | $3,500,000 |
Sterling Financial Corporation | Umpqua Holdings | benefit plan administrator violation | 2013 | private lawsuit-federal | $3,025,000 |
Affinion | JPMorgan Chase | consumer protection violation | 2013 | MULTI-AG | $30,000,000 |
Bank of America | Bank of America | investor protection violation | 2013 | MULTI-AG | $500,000,000 |
Bank of America Corp. | Bank of America | consumer protection violation | 2013 | WV-AG | $1,950,000 |
Bank of New York Mellon | Bank of New York Mellon | investor protection violation | 2013 | FL-AG | $28,000,000 |
Barclays Bank PLC | Barclays | toxic securities abuses | 2013 | MA-AG | $36,100,000 |
Citibank N.A. | Citigroup | privacy violation | 2013 | CT-AG | $55,000 |
Citibank/Citigroup Inc. | Citigroup | consumer protection violation | 2013 | WV-AG | $1,950,000 |
Countrywide Securities Corp. | Bank of America | mortgage abuses | 2013 | MA-AG | $17,300,000 |
DB Structured Products, Inc. | Deutsche Bank | toxic securities abuses | 2013 | NV-AG | $11,500,000 |
Discover Financial Services | Discover Financial Services | consumer protection violation | 2013 | WV-AG | $1,950,000 |
HSBC Finance Corporation | HSBC | consumer protection violation | 2013 | WV-AG | $1,950,000 |
ING Life Insurance and Annuity Company | Voya Financial | insurance violation | 2013 | MULTI-AG | $10,700,000 |
J.P. Morgan Chase & Co. | JPMorgan Chase | toxic securities abuses | 2013 | CA-AG | (*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $298,973,000 |
John Hancock Life Insurance Co. | Manulife Financial | consumer protection violation | 2013 | MA-AG | $40,000 |
JPMorgan Chase | JPMorgan Chase | toxic securities abuses | 2013 | 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. $1,066,000,000 |
JPMorgan Chase & Co. | JPMorgan Chase | consumer protection violation | 2013 | WV-AG | $1,950,000 |
Lincoln National Life Insurance Company | Lincoln National | insurance violation | 2013 | MULTI-AG | $12,600,000 |
Merrill Lynch & Co. | Bank of America | investor protection violation | 2013 | NJ-AG | $45,000,000 |
Metropolitan Property and Casualty Insurance Co. | Zurich Insurance | consumer protection violation | 2013 | MA-AG | $50,000 |
Morgan Stanley & Co., LLC | Morgan Stanley | investor protection violation | 2013 | NJ-AG | $100,000 |
New York Life Insurance Company | New York Life Insurance | insurance violation | 2013 | MULTI-AG | $15,000,000 |
Ocwen Financial Services | Ocwen Financial | mortgage abuses | 2013 | 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. $127,300,000 |
Old Second Bancorp, Inc. | Old Second Bancorp | benefit plan administrator violation | 2013 | private lawsuit-federal | $7,500,000 |
Oppenheimer Asset Management Inc. and Oppenheimer Alternative Investment Management, LLC | Oppenheimer Holdings | investor protection violation | 2013 | MA-AG | (*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $2,800,000 |
PHH Mortgage Corporation | Ocwen Financial | mortgage abuses | 2013 | NJ-AG | $6,250,000 |
Pioneer Credit Recovery, Inc. | Navient | tax violations | 2013 | CT-AG | $12,255 |
RBC Capital Markets, LLC | Royal Bank of Canada | investor protection violation | 2013 | NJ-AG | $450,000 |
Royal Bank of Canada | Royal Bank of Canada | price-fixing or anti-competitive practices | 2013 | WV-AG | $175,000 |
Transamerica Life Insurance Co. | Aegon | insurance violation | 2013 | MA-AG | $1,330,000 |
Transamerica Insurance Co. | Aegon | insurance violation | 2013 | MULTI-AG | $11,200,000 |
UBS Financial Services, Inc | UBS | investor protection violation | 2013 | MULTI-AG | $4,580,000 |
UBS Financial Services, Inc. | UBS | investor protection violation | 2013 | DE-AG | $70,077 |
HSBC Bank USA, N.A. | HSBC | economic sanction violation | 2013 | OFAC | $32,400 |
Compass Bank | PNC Financial Services | economic sanction violation | 2013 | OFAC | $19,125 |
Deutsche Bank Trust Company Americas | Deutsche Bank | economic sanction violation | 2013 | OFAC | $19,800 |
American Express Travel Related Services Company, Inc. | American Express | economic sanction violation | 2013 | OFAC | $5,226,120 |
Intesa Sanpaolo S.p.A. | Intesa Sanpaolo | economic sanction violation | 2013 | OFAC | $2,949,030 |
Wells Fargo Bank, N.A. | Wells Fargo | economic sanction violation | 2013 | OFAC | $23,937 |
Fidelity National Financial, Inc. | Fidelity National Financial | consumer protection violation | 2013 | CA-MULTI | $873,588 |
UBS Financial Services, Inc. | UBS | investor protection violation | 2013 | AK-DBS | $64,661 |
RBC Capital Markets, LLC | Royal Bank of Canada | investor protection violation | 2013 | AK-DBS | $44,370 |
Stewart Title Guaranty Co. | Stewart Information Services | insurance violation | 2013 | AR-INS | $10,000 |
Farmers Insurance Exchange et al. | Farmers Insurance Exchange | insurance violation | 2013 | AR-INS | $5,000 |
Interactive Brokers, LLC | Interactive Brokers Group | investor protection violation | 2013 | AR-SEC | $6,000 |
John Alden Life Insurance Co. | Assurant | insurance violation | 2013 | AZ-DIFI | $90,000 |
Union Security Insurance Co. | Assurant | insurance violation | 2013 | AZ-DIFI | $40,000 |
Time Insurance Co. | Haven Holdings | insurance violation | 2013 | AZ-DIFI | $60,000 |
Unitrin Direct Insurance Co. | Kemper | insurance violation | 2013 | AZ-DIFI | $9,000 |
Unitrin Direct Property & Casualty Co. | Kemper | insurance violation | 2013 | AZ-DIFI | $18,000 |
Mercury Casualty Co. | Mercury General Corporation | insurance violation | 2013 | AZ-DIFI | $19,000 |
United Insurance Co. | Kemper | insurance violation | 2013 | AZ-DIFI | $23,000 |
National Union Fire Insurance Co. | American International Group | insurance violation | 2013 | CA-INS | $5,991,132 |
Fidelity National Title Insurance Co. et al. | Fidelity National Financial | insurance violation | 2013 | CA-INS | $1,425,000 |
Homesite Insurance Company | American Family Insurance | insurance violation | 2013 | CA-INS | $360,522 |
RBC Capital Markets, LLC | Royal Bank of Canada | investor protection violation | 2013 | CA-DFPI | $33,520 |
Safeco Insurance Company | Liberty Mutual Insurance | insurance violation | 2013 | CA-INS | $900,000 |
First American Title Insurance Co. | First American Financial | insurance violation | 2013 | CO-INS | $177,500 |
AllianceBernstein L.P. | Equitable Holdings | investor protection violation | 2013 | CO-SEC | $20,232 |
PHH Mortgage Corp. dba Century Mortgage | Ocwen Financial | consumer protection violation | 2013 | CT-BKG | $29,000 |
Merrill Lynch, Pierce, Fenner & Smith Inc. | Bank of America | investor protection violation | 2013 | DC-DISB | $15,000 |
Universal Property & Casualty Insurance Co. | Universal Insurance Holdings | insurance violation | 2013 | FL-OFR | $1,260,000 |
GMAC Mortgage, LLC dba Ditech | Ally Financial | consumer protection violation | 2013 | IL-BKG | $15,000 |
LPL Financial, LLC | LPL Financial | investor protection violation | 2013 | IN-SEC | $14,000 |
Fifth Third Securities, Inc. | Fifth Third Bancorp | investor protection violation | 2013 | IN-SEC | $8,500 |
Farmers Insurance Company, Inc. | Zurich Insurance | insurance violation | 2013 | KS-INS | $50,000 |
Stonegate Mortgage Corp. | Home Point Capital | consumer protection violation | 2013 | KY-FIN | $5,000 |
LPL Financial LLC | LPL Financial | investor protection violation | 2013 | MA-SEC | $500,000 |
Deutsche Bank Securities Inc. | Deutsche Bank | investor protection violation | 2013 | MA-SEC | $17,500,000 |
Ameriprise Financial Services, Inc. | Ameriprise Financial | investor protection violation | 2013 | MA-SEC | $400,000 |
Lincoln Financial Advisors Corp. | Lincoln National | investor protection violation | 2013 | MA-SEC | $100,000 |
Citigroup Global Markets Inc. | Citigroup | investor protection violation | 2013 | MA-SEC | $30,000,000 |
Prospect Mortgage, LLC | Homebridge Financial Services | consumer protection violation | 2013 | MA-BKG | $25,000 |
Allstate Insurance Co. | Allstate | insurance violation | 2013 | MD-INS | $17,954 |
Ameriprise Financial Services, Inc. | Ameriprise Financial | investor protection violation | 2013 | MD-SEC | $50,000 |
Phoenix Insurance Co. and Travelers Property Casualty Company of America | Travelers | insurance violation | 2013 | MD-INS | $50,000 |
Allstate Indemnity Co. et al. | Allstate | insurance violation | 2013 | MD-INS | $18,000 |
SAFECO Insurance Company of America, Inc. et al. | Liberty Mutual Insurance | insurance violation | 2013 | MD-INS | $195,000 |
Praetorian Insurance Co. and Stonington Insurance Co. | QBE Insurance | insurance violation | 2013 | MD-INS | $10,000 |
State Farm Mutual Automobile Insurance Co. | State Farm Insurance | insurance violation | 2013 | MD-INS | $15,000 |
Peerless Indemnity Insurance Co. et al. | Liberty Mutual Insurance | insurance violation | 2013 | MD-INS | $5,000 |
Gerber Life Insurance Co. | Western & Southern Financial Group | insurance violation | 2013 | MD-INS | $14,000 |
Homesite Insurance Company of the Midwest | American Family Insurance | insurance violation | 2013 | MD-INS | $20,000 |