Royal Bank of Scotland Group | NatWest Group PLC | price-fixing or anti-competitive practices | 2018 | private lawsuit-federal | $255,000,000 |
Royal Bank of Scotland PLC | NatWest Group PLC | price-fixing or anti-competitive practices | 2018 | private lawsuit-federal | $50,000,000 |
Societe Generale | Societe Generale | price-fixing or anti-competitive practices | 2018 | private lawsuit-federal | $18,000,000 |
Standard Chartered Bank | Standard Chartered | price-fixing or anti-competitive practices | 2018 | private lawsuit-federal | $17,200,000 |
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 |
Wells Fargo Bank, N.A. | Wells Fargo | price-fixing or anti-competitive practices | 2018 | private lawsuit-federal | $8,750,000 |
Ally Financial Inc. | Ally Financial | consumer protection violation | 2018 | private lawsuit-federal | $19,717,222 |
Bank of America N.A. | Bank of America | consumer protection violation | 2018 | private lawsuit-federal | $1,266,600,000 |
Bank of America N.A. | Bank of America | consumer protection violation | 2018 | private lawsuit-federal | $41,920,374 |
Bank of America, N.A. | Bank of America | consumer protection violation | 2018 | private lawsuit-federal | $550,000 |
JPMorgan Chase & Co. | JPMorgan Chase | consumer protection violation | 2018 | private lawsuit-federal | $3,250,000 |
JPMorgan Chase & Co. | JPMorgan Chase | consumer protection violation | 2018 | private lawsuit-federal | $11,220,000 |
JPMorgan Chase & Co. | JPMorgan Chase | consumer protection violation | 2018 | private lawsuit-federal | $2,150,000 |
Navient Corp. | Navient | consumer protection violation | 2018 | private lawsuit-federal | $275,000 |
PHH Corporation | Ocwen Financial | consumer protection violation | 2018 | private lawsuit-federal | $8,500,000 |
State Farm Life Insurance Company | State Farm Insurance | consumer protection violation | 2018 | private lawsuit-federal | $34,222,414 |
State Farm Mutual Automobile Insurance Company | State Farm Insurance | consumer protection violation | 2018 | private lawsuit-federal | $250,000,000 |
Wells Fargo & Co. | Wells Fargo | consumer protection violation | 2018 | private lawsuit-federal | $142,000,000 |
American International Group | American International Group | wage and hour violation | 2018 | MI-LEO | $15,939 |
Guaranteed Rate | Guaranteed Rate Inc. | wage and hour violation | 2018 | MI-LEO | $7,191 |
Jackson Financial | Jackson Financial | wage and hour violation | 2018 | MI-LEO | $51,118 |
HIGHMARK INC. | Highmark Inc. | workplace safety or health violation | 2018 | OSHA | $25,868 |
BROADRIDGE FINANCIAL SOLUTIONS | Broadridge Financial Solutions | workplace safety or health violation | 2018 | OSHA | $15,522 |
NEOVIA LOGISTICS DISTRIBUTION, LLC | Goldman Sachs | workplace safety or health violation | 2018 | OSHA | $10,000 |
WHEELABRATOR MILLBURY INC. | Macquarie | workplace safety or health violation | 2018 | OSHA | $9,472 |
BUCKEYE PIPE LINE COMPANY LP AND WEST SHORE PIPE LINE COMPANY | IFM Investors | environmental violation | 2018 | EPA | $400,000 |
Nyrstar Tennessee Mines, Strawberry Plains LLC | Trafigura | workplace safety or health violation | 2018 | MSHA | $5,903 |
Nyrstar Tennessee Mines - Gordonsville, LLC | Trafigura | workplace safety or health violation | 2018 | MSHA | $5,997 |
Nyrstar Tennessee Mines - Gordonsville, LLC | Trafigura | workplace safety or health violation | 2018 | MSHA | $8,947 |
Nyrstar Tennessee Mines - Gordonsville, LLC | Trafigura | workplace safety or health violation | 2018 | MSHA | $9,942 |
Nyrstar Tennessee Mines - Gordonsville, LLC | Trafigura | workplace safety or health violation | 2018 | MSHA | $10,473 |
Deutsche Bank Americas Holding Corp. | Deutsche Bank | benefit plan administrator violation | 2019 | private lawsuit-federal | $21,900,000 |
Citigroup, Inc. | Citigroup | benefit plan administrator violation | 2019 | private lawsuit-federal | $6,900,000 |
Enova International, Inc. | Enova International | consumer protection violation | 2019 | CFPB | $3,200,000 |
USAA Federal Savings Bank | USAA | consumer protection violation | 2019 | CFPB | $15,500,000 |
Asurion, LLC | Asurion | employment discrimination | 2019 | EEOC | $50,000 |
Wintrust Financial Corporation | Wintrust Financial Corp. | banking violation | 2019 | FED | $1,012,500 |
PHH Mortgage Corporation | Ocwen Financial | consumer protection violation | 2019 | DOJ_RIGHTS | $750,000 |
Citibank, N.A. | Citigroup | banking violation | 2019 | OCC | $25,000,000 |
Merrill Lynch, Pierce, Fenner & Smith Incorporated | Bank of America | investor protection violation | 2019 | SEC | $8,014,000 |
Wells Fargo Securities | Wells Fargo | investor protection violation | 2019 | SEC | $812,500 |
Wedbush Securities Inc. | Wedbush Securities | investor protection violation | 2019 | SEC | $250,000 |
BB&T Securities | Truist Financial | investor protection violation | 2019 | SEC | $5,709,753 |
Wells Fargo Clearing Services, LLC and Wells Fargo Advisors Financial Network, LLC | Wells Fargo | investor protection violation | 2019 | SEC | $17,363,847 |
RBC Capital Markets, LLC | Royal Bank of Canada | investor protection violation | 2019 | SEC | $11,715,395 |
Deutsche Bank Securities Inc. | Deutsche Bank | investor protection violation | 2019 | SEC | $2,971,462 |
First Republic Investment Management, Inc. | JPMorgan Chase | investor protection violation | 2019 | SEC | $1,005,194 |
Stifel and Nicolaus & Company, Incorporated | Stifel Financial | investor protection violation | 2019 | SEC | $6,037,175 |
Janney Montgomery Scott LLC | Penn Mutual | investor protection violation | 2019 | SEC | $241,227 |
Sorrento Pacific Financial, LLC | Atria Wealth Solutions | investor protection violation | 2019 | SEC | $49,162 |
CUSO Financial Services, L.P. | Atria Wealth Solutions | investor protection violation | 2019 | SEC | $296,750 |
AXA Advisors, LLC | Equitable Holdings | investor protection violation | 2019 | SEC | $1,134,152 |
BB&T Securities, LLC | Truist Financial | investor protection violation | 2019 | SEC | $376,059 |
Next Financial Group, Inc. | Atria Wealth Solutions | investor protection violation | 2019 | SEC | $1,405,349 |
Bok Financial Securities, Inc. | BOK Financial | investor protection violation | 2019 | SEC | $197,801 |
Ameritas Investment Corp. | Ameritas Mutual Holding Company | investor protection violation | 2019 | SEC | $3,389,174 |
Principal Securities, Inc. | Principal Financial | investor protection violation | 2019 | SEC | $1,764,624 |
Transamerica Financial Advisors, Inc. | Aegon | investor protection violation | 2019 | SEC | $6,023,072 |
Comerica Securities, Inc. | Comerica | investor protection violation | 2019 | SEC | $186,377 |
Santander Securities LLC | Banco Santander | investor protection violation | 2019 | SEC | $270,539 |
Oppenheimer & Co. Inc. and Oppenheimer Asset Management Inc. | Oppenheimer Holdings | investor protection violation | 2019 | SEC | $3,528,377 |
LPL Financial LLC | LPL Financial | investor protection violation | 2019 | SEC | $9,333,516 |
TIAA-CREF Individual & Institutional Services, LLC | TIAA | investor protection violation | 2019 | SEC | $2,395,722 |
Raymond James Financial Services Advisors, Inc. | Raymond James Financial | investor protection violation | 2019 | SEC | $6,877,048 |
ProEquities, Inc. | Dai-ichi Life | investor protection violation | 2019 | SEC | $1,852,383 |
Umpqua Bank | Umpqua Holdings | employment screening violation | 2019 | private lawsuit-federal | $325,000 |
Freedom Mortgage Corporation | Freedom Mortgage | mortgage abuses | 2019 | CFPB | $1,750,000 |
Banca IMI Securities Corp. | Intesa Sanpaolo | price-fixing or anti-competitive practices | 2019 | DOJ_ANTITRUST | $2,000,000 |
UniCredit Group | UniCredit | economic sanction violation | 2019 | DOJ_CRIMINAL | $413,536,632 |
Standard Chartered Bank | Standard Chartered | economic sanction violation | 2019 | DOJ_CRIMINAL | $292,210,160 |
Zurich Life Insurance Company Ltd | Zurich Insurance | tax violations | 2019 | DOJ_TAX | $5,115,000 |
OCWEN FINANCIAL CORPORATION | Ocwen Financial | benefit plan administrator violation | 2019 | EBSA | $10,001 |
UniCredit, S.p.A. | UniCredit | banking violation | 2019 | FED | $158,000,000 |
Standard Chartered plc | Standard Chartered | banking violation | 2019 | FED | $164,000,000 |
Western Union Financial Services, Inc. | Western Union | economic sanction violation | 2019 | OFAC | $401,697 |
UniCredit Bank AG | UniCredit | economic sanction violation | 2019 | OFAC | (*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $553,380,759 |
UniCredit Bank Austria AG | UniCredit | economic sanction violation | 2019 | OFAC | (*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $20,326,340 |
UniCredit S.p.A. | UniCredit | economic sanction violation | 2019 | OFAC | (*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $37,316,322 |
Standard Chartered Bank | Standard Chartered | economic sanction violation | 2019 | OFAC | (*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $657,040,033 |
Deutsche Bank Trust Company Americas | Deutsche Bank | investor protection violation | 2019 | SEC | $500,000 |
Ally Financial Services | Ally Financial | wage and hour violation | 2019 | WHD | $198,311 |
American Security Insurance Co. | Assurant | consumer protection violation | 2019 | MS-AG | $767,394 |
AON RISK SERVICES OF PR, INC. | Aon | benefit plan administrator violation | 2019 | EBSA | $10,001 |
BB&T Corporation | Truist Financial | benefit plan administrator violation | 2019 | private lawsuit-federal | $24,000,000 |
BMO Capital Markets Corporation | Bank of Montreal | investor protection violation | 2019 | SEC | $3,946,000 |
Cantor Fitzgerald & Co. | Cantor Fitzgerald | investor protection violation | 2019 | SEC | $647,000 |
CIT Group, Inc., and CIT Bank, N.A., dba OneWest Bank | First Citizens BancShares | discriminatory practices (non-employment) | 2019 | HUD | $7,300,000 |
Deutsche Bank AG | Deutsche Bank | Foreign Corrupt Practices Act | 2019 | SEC | $16,178,850 |
FirstBank Puerto Rico | First Bancorp (Puerto Rico) | banking violation | 2019 | FDIC | $17,700 |
Freedom Mortgage Corporation | Freedom Mortgage | wage and hour violation | 2019 | private lawsuit-federal | $4,480,000 |
Industrial and Commercial Bank of China Financial Services LLC | Industrial and Commercial Bank of China | price-fixing or anti-competitive practices | 2019 | DOJ_ANTITRUST | $3,000,000 |
Industrial and Commercial Bank of China Financial Services LLC | Industrial and Commercial Bank of China | investor protection violation | 2019 | SEC | $42,700,000 |
Interactive Brokers, LLC | Interactive Brokers Group | investor protection violation | 2019 | NJ-AG | $100,000 |
Jackson Hewitt Tax Service Inc. | Jackson Hewitt | consumer protection violation | 2019 | MA-AG | $187,000 |
JP Morgan Chase Bank N.A. | JPMorgan Chase | wage and hour violation | 2019 | WHD | $38,336 |
LPL Financial LLC | LPL Financial | investor protection violation | 2019 | MULTI-AG | $25,848,000 |
Merrill Lynch Commodities Inc. | Bank of America | price-fixing or anti-competitive practices | 2019 | DOJ_CRIMINAL | $25,000,000 |
Merrill Lynch Commodities, Inc. | Bank of America | investor protection violation | 2019 | CFTC | (*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $24,900,000 |
Metropolitan Property & Casualty Co. | Zurich Insurance | consumer protection violation | 2019 | MS-AG | $3,167,173 |
Midfirst Bank | MidFirst Bank | banking violation | 2019 | OCC | $35,000 |