UBS AG | UBS | price-fixing or anti-competitive practices | 2011 | DOJ_ANTITRUST | $160,000,000 |
The Park National Bank | Park National Corp. | banking violation | 2011 | OCC | $30,415 |
Wells Fargo Bank, National Association | Wells Fargo | banking violation | 2011 | OCC | $34,500,000 |
First Niagara Bank, National Association | KeyCorp | banking violation | 2011 | OCC | $10,000 |
JPMorgan Chase Bank, National Association | JPMorgan Chase | banking violation | 2011 | OCC | $35,000,000 |
JPMorgan Chase Bank, National Association | JPMorgan Chase | banking violation | 2011 | OCC | $2,000,000 |
Zions First National Bank | Zions Bancorporation | banking violation | 2011 | OCC | $8,000,000 |
Bank of Hampton Roads | Atlantic Union Bankshares | banking violation | 2011 | FED | $33,600 |
Wells Fargo & Company | Wells Fargo | banking violation | 2011 | FED | $85,000,000 |
PlainsCapital Bank and PrimeLending | Hilltop Holdings | banking violation | 2011 | FED | $30,780 |
BAC Home Loans Servicing LP fka Countrywide Home Loans Servicing LP | Bank of America | mortgage abuses | 2011 | DOJ_CIVIL | $20,000,000 |
Saxon Mortgage Services Inc. | Ocwen Financial | mortgage abuses | 2011 | DOJ_CIVIL | $2,350,000 |
Aon Corporation | Aon | Foreign Corrupt Practices Act | 2011 | DOJ_CRIMINAL | $1,760,000 |
Morgan Stanley Investment Management | Morgan Stanley | investor protection violation | 2011 | SEC | $3,300,000 |
UBS Securities LLC | UBS | investor protection violation | 2011 | SEC | $8,000,000 |
Citigroup | Citigroup | toxic securities abuses | 2011 | SEC | $285,000,000 |
RBC Capital Markets LLC | Royal Bank of Canada | investor protection violation | 2011 | SEC | $30,400,000 |
Janney Montgomery Scott LLC | Penn Mutual | investor protection violation | 2011 | SEC | $850,000 |
Morgan Keegan & Company | Raymond James Financial | toxic securities abuses | 2011 | SEC | $200,000,000 |
J.P. Morgan Securities LLC | JPMorgan Chase | toxic securities abuses | 2011 | SEC | $153,600,000 |
Wells Fargo Securities LLC | Wells Fargo | toxic securities abuses | 2011 | SEC | $11,000,000 |
TD Ameritrade Inc. | Charles Schwab Corp. | investor protection violation | 2011 | SEC | $10,000,000 |
Charles Schwab Investment Management and Charles Schwab & Co., Inc. | Charles Schwab Corp. | investor protection violation | 2011 | SEC | $118,000,000 |
Aon Corporation | Aon | Foreign Corrupt Practices Act | 2011 | SEC | $14,545,020 |
Bank of America | Bank of America | toxic securities abuses | 2011 | FHFA | $1,300,000,000 |
Bank of America | Bank of America | toxic securities abuses | 2011 | FHFA | $1,520,000,000 |
Citigroup | Citigroup | toxic securities abuses | 2011 | NCUA | $20,500,000 |
Deutsche Bank Securities | Deutsche Bank | toxic securities abuses | 2011 | NCUA | $145,000,000 |
Merrill Lynch | Bank of America | investor protection violation | 2011 | CFTC | $350,000 |
Countrywide Financial Corporation | Bank of America | mortgage abuses | 2011 | DOJ_RIGHTS | $335,000,000 |
Wells Fargo & Company | Wells Fargo | Americans with Disabilities Act | 2011 | DOJ_RIGHTS | $16,055,000 |
Citizens Republic Bancorp Inc. | Huntington Bancshares | banking violation | 2011 | DOJ_RIGHTS | $3,600,000 |
JPMorgan Chase Bank | JPMorgan Chase | economic sanction violation | 2011 | OFAC | $88,300,000 |
AXA Rosenberg | AXA | investor protection violation | 2011 | SEC | $242,000,000 |
Merrill Lynch | Bank of America | investor protection violation | 2011 | SEC | $10,000,000 |
Cantor Fitzgerald & Co. | Cantor Fitzgerald | investor protection violation | 2011 | CFTC | $100,000 |
Prospect Mortgage, LLC | Homebridge Financial Services | kickbacks and bribery | 2011 | HUD | $3,100,000 |
Fidelity National Financial, Inc. | Fidelity National Financial | kickbacks and bribery | 2011 | HUD | $4,500,000 |
U.S. Bank, National Association | U.S. Bancorp | mortgage abuses | 2011 | HUD | $1,200,000 |
Charles Schwab Bank | Charles Schwab Corp. | discriminatory practices (non-employment) | 2011 | HUD | $30,000 |
Bank of the West | Bank of Montreal | employment discrimination | 2011 | EEOC | $48,000 |
Standard Insurance Company | Meiji Yasuda Life Insurance | employment discrimination | 2011 | OFCCP | $18,505 |
FIRST NIAGARA FINANCIAL GROUP, INC. | KeyCorp | benefit plan administrator violation | 2011 | EBSA | $10,001 |
FIRST NBC BANK | Hancock Whitney Corp. | benefit plan administrator violation | 2011 | EBSA | $10,001 |
Popular Mortgage, Inc. | Popular Inc. | wage and hour violation | 2011 | WHD | $153,736 |
Popular Mortgage, Inc. | Popular Inc. | wage and hour violation | 2011 | WHD | $122,762 |
Branch Banking and Trust Company | Truist Financial | wage and hour violation | 2011 | WHD | $12,314 |
BB&T | Truist Financial | wage and hour violation | 2011 | WHD | $43,662 |
The Federal Home Loan Mortgage Corporation | Freddie Mac (Federal Home Loan Mortgage Corporation) | wage and hour violation | 2011 | WHD | $24,153 |
Nationwide Insurance | Nationwide | wage and hour violation | 2011 | WHD | $13,331 |
Wells Fargo Bank NA | Wells Fargo | wage and hour violation | 2011 | WHD | $31,770 |
Farmer's Insurance | Zurich Insurance | wage and hour violation | 2011 | WHD | $1,520,705 |
Bank of New York Mellon (Shanghai Branch) | Bank of New York Mellon | export control violation | 2011 | BIS | $30,000 |
UNUM | Unum | wage and hour violation | 2011 | WA-DLI | $15,070 |
Prudential Insurance | Prudential Financial | wage and hour violation | 2011 | private lawsuit-federal | $1,016,500 |
Washington Mutual Bank | JPMorgan Chase | wage and hour violation | 2011 | private lawsuit-federal | $463,000 |
Hartford Fire Insurance | Hartford Financial Services | wage and hour violation | 2011 | private lawsuit-federal | $1,200,000 |
Ameriprise Financial | Ameriprise Financial | wage and hour violation | 2011 | private lawsuit-federal | $185,000 |
MetLife | MetLife | wage and hour violation | 2011 | private lawsuit-federal | $2,000,000 |
American General Finance Management Corporation | OneMain Holdings | wage and hour violation | 2011 | private lawsuit-federal | $1,700,000 |
Oppenheimer & Co. | Oppenheimer Holdings | wage and hour violation | 2011 | private lawsuit-federal | $2,375,901 |
Wells Fargo | Wells Fargo | wage and hour violation | 2011 | private lawsuit-federal | $6,660,000 |
JPMorgan Chase | JPMorgan Chase | wage and hour violation | 2011 | private lawsuit-federal | $42,000,000 |
Aon | Aon | wage and hour violation | 2011 | private lawsuit-state | $10,500,000 |
Wells Fargo Bank | Wells Fargo | wage and hour violation | 2011 | private lawsuit-federal | $100,000 |
MetLife | MetLife | wage and hour violation | 2011 | private lawsuit-federal | $2,350,000 |
Arthur J. Gallagher | Arthur J. Gallagher & Co. | wage and hour violation | 2011 | private lawsuit-federal | $3,900,000 |
Wells Fargo | Wells Fargo | wage and hour violation | 2011 | private lawsuit-federal | $6,720,000 |
Wells Fargo | Wells Fargo | wage and hour violation | 2011 | private lawsuit-federal | $6,900,000 |
Citigroup Global Markets | Citigroup | wage and hour violation | 2011 | private lawsuit-federal | $394,220 |
Credit Suisse Alternative Capital, LLC and Credit Suisse Asset Management, LLC | UBS | investor protection violation | 2011 | SEC | $2,500,000 |
BNY Mellon Securities LLC | Bank of New York Mellon | investor protection violation | 2011 | SEC | $24,045,447 |
Independent Bank | Independent Bank Corp. (Michigan) | benefit plan administrator violation | 2011 | EBSA | $95,700 |
Merrill Lynch, Pierce, Fenner & Smith Inc. | Bank of America | benefit plan administrator violation | 2011 | EBSA | $170,854 |
Wells Fargo Advisors | Wells Fargo | employment discrimination | 2011 | private lawsuit-federal | $32,000,000 |
Willis Group | Willis Towers Watson | employment discrimination | 2011 | private lawsuit-federal | $11,595,038 |
Bank of America Corp | Bank of America | benefit plan administrator violation | 2011 | private lawsuit-federal | $21,000,000 |
Wells Fargo & Company | Wells Fargo | benefit plan administrator violation | 2011 | private lawsuit-federal | $17,500,000 |
Wachovia Corporation | Wells Fargo | benefit plan administrator violation | 2011 | private lawsuit-federal | $12,350,000 |
AXA Equitable Life Insurance Company | Equitable Holdings | benefit plan administrator violation | 2011 | private lawsuit-federal | $2,500,000 |
Huntington Bancshares Inc. | Huntington Bancshares | benefit plan administrator violation | 2011 | private lawsuit-federal | $1,450,000 |
LaSalle Bank | Bank of America | benefit plan administrator violation | 2011 | private lawsuit-federal | $13,500,000 |
Capital One Bank (USA) N.A. | Capital One Financial | bankruptcy professional violation | 2011 | DOJ_UTP | $2,350,000 |
ACE Group | Chubb Limited | price-fixing or anti-competitive practices | 2011 | OH-AG | $1,970,000 |
American Automobile Insurance Co. | Allianz | consumer protection violation | 2011 | MA-AG | $571,394 |
Bank of New York Mellon Corp. | Bank of New York Mellon | investor protection violation | 2011 | MULTI-AG | $1,300,000 |
Broadspire Services, Inc. | Crawford & Co. | workplace safety or health violation | 2011 | MO-AG | $28,500 |
Credit Suisse Securities (USA) LLC | UBS | investor protection violation | 2011 | NJ-AG | $1,057,996 |
Discover Bank | Discover Financial Services | consumer protection violation | 2011 | MN-AG | $2,000,000 |
Goldman, Sachs & Co. | Goldman Sachs | investor protection violation | 2011 | NJ-AG | $959,794 |
H&R Block, Inc. | H&R Block | discriminatory practices (non-employment) | 2011 | MA-AG | $125,000,000 |
John Hancock Life Insurance Co. | Manulife Financial | insurance violation | 2011 | MULTI-AG | $3,000,000 |
JPMorgan Chase | JPMorgan Chase | 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. $75,000,000 |
Morgan Stanley | Morgan Stanley | investor protection violation | 2011 | NJ-AG | $1,560,000 |
Morgan Stanley Mortgage Capital Holdings | Morgan Stanley | toxic securities abuses | 2011 | NV-AG | $28,200,000 |
Premier Insurance Company of Massachusetts | Travelers | consumer protection violation | 2011 | MA-AG | $5,000,386 |
Raymond James Financial Services, Inc. | Raymond James Financial | investor protection violation | 2011 | NJ-AG | $35,000 |
RBS Financial Products Inc. | NatWest Group PLC | toxic securities abuses | 2011 | MA-AG | $52,000,000 |
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 Securities LLC and UBS Financial Services, Inc | UBS | investor protection violation | 2011 | NJ-AG | $3,790,487 |
United States Life Insurance Company in the City of New York | American International Group | consumer protection violation | 2011 | MA-AG | $760,000 |