CAPITAL ONE NATIONAL ASSOCIATION | Capital One Financial | environmental violation | 2010 | TX-ENV | $8,400 |
Goldman, Sachs & Co. | Goldman Sachs | investor protection violation | 2010 | FINRA | $650,000 |
Ferris, Baker Watts LLC | Royal Bank of Canada | investor protection violation | 2010 | FINRA | $690,000 |
Zions Direct, Inc. | Zions Bancorporation | investor protection violation | 2010 | FINRA | $225,000 |
HSBC Securities (USA) Inc. | HSBC | investor protection violation | 2010 | FINRA | $375,000 |
Merrill Lynch | Bank of America | investor protection violation | 2010 | FINRA | $2,500,000 |
Morgan Stanley & Co., Inc. | Morgan Stanley | investor protection violation | 2010 | FINRA | $800,000 |
SunTrust Investment Services, Inc. | Truist Financial | investor protection violation | 2010 | FINRA | $1,440,000 |
Deutsche Bank Securities Inc. | Deutsche Bank | investor protection violation | 2010 | FINRA | $7,500,000 |
Citigroup Global Markets Inc. | Citigroup | investor protection violation | 2010 | FINRA | $1,500,000 |
Piper Jaffray & Co. | Piper Sandler | investor protection violation | 2010 | FINRA | $700,000 |
Deutsche Bank Securities | Deutsche Bank | investor protection violation | 2010 | FINRA | $575,000 |
RBC Capital Markets Corporation | Royal Bank of Canada | investor protection violation | 2010 | FINRA | $135,000 |
HSBC Securities (USA) | HSBC | investor protection violation | 2010 | FINRA | $1,500,000 |
US Bancorp Investments, Inc. | U.S. Bancorp | investor protection violation | 2010 | FINRA | $275,000 |
Citigroup Global Markets, Inc. | Citigroup | investor protection violation | 2010 | FINRA | $650,000 |
Scottrade, Inc. | Charles Schwab Corp. | investor protection violation | 2010 | FINRA | $200,000 |
H&R Block Financial Advisors, Inc. | H&R Block | investor protection violation | 2010 | FINRA | $200,000 |
El Paso Electric Company | JPMorgan Chase | utility administrative violation | 2010 | NM-PRC | $5,000 |
El Paso Electric Company | JPMorgan Chase | utility service violation | 2010 | TX-PUC | $38,000 |
El Paso Electric Company | JPMorgan Chase | utility service violation | 2010 | TX-PUC | $50,000 |
Metropolitan Life Insurance Co. | MetLife | consumer protection violation | 2010 | private lawsuit-federal | $50,000,000 |
State Farm Fire and Casualty Company | State Farm Insurance | consumer protection violation | 2010 | private lawsuit-federal | $30,000,000 |
Wells Fargo Home Mortgage Inc | Wells Fargo | wage and hour violation | 2010 | MI-LEO | $9,222 |
Comerica Securities Inc | Comerica | wage and hour violation | 2010 | MI-LEO | $24,968 |
Bank Of America | Bank of America | wage and hour violation | 2010 | MI-LEO | $15,406 |
Bank Of America | Bank of America | wage and hour violation | 2010 | MI-LEO | $14,000 |
Chase Bank | JPMorgan Chase | wage and hour violation | 2010 | MI-LEO | $15,000 |
CITIBANK, N.A. | Citigroup | workplace safety or health violation | 2010 | OSHA | $5,000 |
IFCO SYSTEMS NORTH AMERICA INC | Triton Investments Advisers | workplace safety or health violation | 2010 | OSHA | $11,200 |
IMPERIAL SUGAR CO. | Louis Dreyfus | workplace safety or health violation | 2010 | OSHA | $7,200 |
EL PASO ELECTRIC | JPMorgan Chase | workplace safety or health violation | 2010 | OSHA | $6,000 |
FARMERS INSURANCE EXCHANGE | Farmers Insurance Exchange | workplace safety or health violation | 2010 | OSHA | $5,000 |
R.R. DONNELLEY & SONS COMPANY | Chatham Asset Management | workplace safety or health violation | 2010 | OSHA | $12,600 |
R.R. DONNELLEY | Chatham Asset Management | workplace safety or health violation | 2010 | OSHA | $11,600 |
WHEELABRATOR SHASTA ENERGY CO, INC | Macquarie | workplace safety or health violation | 2010 | OSHA | $10,000 |
WHEELABRATOR PORTSMOUTH | Macquarie | workplace safety or health violation | 2010 | OSHA | $6,890 |
INTERNATIONAL AUTOMOTIVE COMPONENTS | Invesco | workplace safety or health violation | 2010 | OSHA | $8,750 |
IFCO SYSTEMS | Triton Investments Advisers | workplace safety or health violation | 2010 | OSHA | $8,000 |
IFCO SYSTEMS N.A., INC. | Triton Investments Advisers | workplace safety or health violation | 2010 | OSHA | $7,000 |
IFCO SYSTEMS NA INC DBA PALLET COMPANIES INC | Triton Investments Advisers | workplace safety or health violation | 2010 | OSHA | $44,000 |
NYRSTAR CLARKSVILLE, INC. | Trafigura | environmental violation | 2010 | EPA | $45,524 |
LOUIS DREYFUS AGRICULTURAL INDUSTRIES, LLC. | Louis Dreyfus | air pollution violation | 2010 | EPA | $77,628 |
HSBC North America | HSBC | environmental violation | 2010 | EPA | $36,083 |
Nyrstar Tennessee Mines, Strawberry Plains LLC | Trafigura | workplace safety or health violation | 2010 | MSHA | $5,080 |
Nyrstar Tennessee Mines, Strawberry Plains LLC | Trafigura | workplace safety or health violation | 2010 | MSHA | $5,080 |
Nyrstar Tennessee Mines, Strawberry Plains LLC | Trafigura | workplace safety or health violation | 2010 | MSHA | $18,271 |
Nyrstar Tennessee Mines - Gordonsville, LLC | Trafigura | workplace safety or health violation | 2010 | MSHA | $6,200 |
Nyrstar Tennessee Mines - Gordonsville, LLC | Trafigura | workplace safety or health violation | 2010 | MSHA | $6,062 |
Nyrstar Tennessee Mines - Gordonsville, LLC | Trafigura | workplace safety or health violation | 2010 | MSHA | $10,200 |
Nyrstar Tennessee Mines - Gordonsville, LLC | Trafigura | workplace safety or health violation | 2010 | MSHA | $7,578 |
Nyrstar Tennessee Mines - Gordonsville, LLC | Trafigura | workplace safety or health violation | 2010 | MSHA | $5,503 |
Nyrstar Tennessee Mines - Gordonsville, LLC | Trafigura | workplace safety or health violation | 2010 | MSHA | $6,800 |
Nyrstar Tennessee Mines - Gordonsville, LLC | Trafigura | workplace safety or health violation | 2010 | MSHA | $7,176 |
Nyrstar Tennessee Mines - Gordonsville, LLC | Trafigura | workplace safety or health violation | 2010 | MSHA | $5,961 |
Nyrstar Gordonsville, LLC | Trafigura | workplace safety or health violation | 2010 | MSHA | $38,925 |
Nyrstar Gordonsville, LLC | Trafigura | workplace safety or health violation | 2010 | MSHA | $38,925 |
Nyrstar Gordonsville, LLC | Trafigura | workplace safety or health violation | 2010 | MSHA | $5,000 |
BUCKEYE PARTNERS LP | IFM Investors | pipeline safety violation | 2011 | PHMSA | $141,200 |
BUCKEYE PARTNERS LP | IFM Investors | pipeline safety violation | 2011 | PHMSA | $81,400 |
BUCKEYE PARTNERS LP | IFM Investors | pipeline safety violation | 2011 | PHMSA | $74,400 |
Buckeye Partners | IFM Investors | railroad safety violation | 2011 | FRA | $7,500 |
Peter Cremer Company | Cremer | railroad safety violation | 2011 | FRA | $5,000 |
Xstrata Copper | Glencore | railroad safety violation | 2011 | FRA | $7,500 |
Wachovia Bank N.A. | Wells Fargo | price-fixing or anti-competitive practices | 2011 | DOJ_ANTITRUST | $148,000,000 |
Morgan Stanley | Morgan Stanley | price-fixing or anti-competitive practices | 2011 | DOJ_ANTITRUST | $4,800,000 |
JPMorgan Chase & Co. | JPMorgan Chase | price-fixing or anti-competitive practices | 2011 | DOJ_ANTITRUST | $228,000,000 |
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 |