Torchmark Corporation | Globe Life Inc. | Medicare Parts C and D Enforcement Action | 2013 | CMS | $150,000 |
ConvergEx Group | Toronto-Dominion Bank | investor protection violation | 2013 | SEC | $107,424,429 |
TD Bank | Toronto-Dominion Bank | investor protection violation | 2013 | SEC | $15,000,000 |
Claritas Investments Ltd. | Principal Financial | investor protection violation | 2013 | SEC | $144,819 |
Chicago Board Options Exchange | CBOE Holdings | investor protection violation | 2013 | SEC | $6,000,000 |
Macquarie Futures USA LLC | Macquarie | investor protection violation | 2013 | CFTC | $150,000 |
FCStone LLC | StoneX Group | investor protection violation | 2013 | CFTC | $1,500,000 |
Interactive Brokers LLC | Interactive Brokers Group | investor protection violation | 2013 | CFTC | $225,000 |
Bank of America | Bank of America | discriminatory practices (non-employment) | 2013 | HUD | $45,000 |
Bank of America | Bank of America | discriminatory practices (non-employment) | 2013 | HUD | $22,449 |
SunTrust Mortgage, Inc. | Truist Financial | discriminatory practices (non-employment) | 2013 | HUD | $36,000 |
PNC Mortgage | PNC Financial Services | discriminatory practices (non-employment) | 2013 | HUD | $15,000 |
U.S. Bank National Association | U.S. Bancorp | discriminatory practices (non-employment) | 2013 | HUD | $12,000 |
Bank of America | Bank of America | discriminatory practices (non-employment) | 2013 | HUD | $7,500 |
Bank of America Corp | Bank of America | employment discrimination | 2013 | OFCCP | $2,181,593 |
BMO Harris Bank | Bank of Montreal | employment discrimination | 2013 | EEOC | $400,000 |
Regions Financial Corporation | Regions Financial | employment discrimination | 2013 | EEOC | $95,000 |
The Huntington National Bank | Huntington Bancshares | wage and hour violation | 2013 | WHD | $32,553 |
Chemoil Corporation | Glencore | wage and hour violation | 2013 | WHD | $16,594 |
UBS, Inc. | UBS | wage and hour violation | 2013 | WHD | $90,902 |
MetLife, Inc. | MetLife | wage and hour violation | 2013 | WHD | $24,296 |
Seterus, Inc. | Mr. Cooper Group | labor relations violation | 2013 | NLRB | $72,162 |
Bank of America, National Association | Bank of America | labor relations violation | 2013 | NLRB | $18,634 |
IFCO SYSTEMS | Triton Investments Advisers | labor relations violation | 2013 | NLRB | $91,866 |
Ambac Financial Group et al. | Ambac Financial | toxic securities abuses | 2013 | USAO | $101,900,000 |
AllianceBernstein | Equitable Holdings | wage and hour violation | 2013 | private lawsuit-federal | $2,980,000 |
Bank of America | Bank of America | wage and hour violation | 2013 | private lawsuit-federal | $73,000,000 |
MetLife | MetLife | wage and hour violation | 2013 | private lawsuit-federal | $450,000 |
H&R Block | H&R Block | wage and hour violation | 2013 | private lawsuit-federal | $221,400 |
Wells Fargo Advisors | Wells Fargo | wage and hour violation | 2013 | private lawsuit-federal | $4,000,000 |
State Farm | State Farm Insurance | wage and hour violation | 2013 | private lawsuit-federal | $5,000,000 |
Merrill Lynch | Bank of America | wage and hour violation | 2013 | private lawsuit-federal | $12,000,000 |
HSBC Bank | HSBC | wage and hour violation | 2013 | private lawsuit-federal | $15,625,000 |
JPMorgan Chase | JPMorgan Chase | wage and hour violation | 2013 | private lawsuit-federal | $770,000 |
TD Bank | Toronto-Dominion Bank | wage and hour violation | 2013 | private lawsuit-federal | $975,000 |
Nationwide | Nationwide | wage and hour violation | 2013 | private lawsuit-federal | $850,000 |
Huntington Bancshares | Huntington Bancshares | wage and hour violation | 2013 | private lawsuit-federal | $3,100,000 |
Franklin American Mortgage | Citizens Financial Group | wage and hour violation | 2013 | private lawsuit-federal | $165,000 |
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 |
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 |