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 | environmental 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 |
Citigroup Private Bank GP, Inc. | Citigroup | data submission deficiencies | 2009 | CFTC | $100,000 |
J.P. Morgan Futures, Inc. | JPMorgan Chase | data submission deficiencies | 2009 | CFTC | $300,000 |
UBS Fund Advisor, LLC | UBS | data submission deficiencies | 2009 | CFTC | $50,000 |
1ST FINANCIAL BANK USA | 1st Financial Bank USA | banking violation | 2009 | FDIC | (*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $140,000 |
AFB&T | Synovus Financial | banking violation | 2009 | FDIC | $7,040 |
BANK OF KENTUCKY, INC., THE | Truist Financial | banking violation | 2009 | FDIC | $30,415 |
American Express Centurion Bank | American Express | banking violation | 2009 | FDIC | $250,000 |
REPUBLIC BANK & TRUST COMPANY | Republic Bancorp | banking violation | 2009 | FDIC | $22,000 |
CITIZENS BUSINESS BANK | CVB Financial | banking violation | 2009 | FDIC | $16,200 |
WELLS FARGO FINANCIAL BANK | Wells Fargo | banking violation | 2009 | FDIC | $125,000 |
THE GAS COMPANY LLC | Macquarie | motor vehicle safety violation | 2009 | FMCSA | $28,440 |
THE GAS COMPANY LLC | Macquarie | motor vehicle safety violation | 2009 | FMCSA | $28,440 |
NYRSTAR CLARKSVILLE, INC. | Trafigura | railroad safety violation | 2009 | FRA | $10,000 |
Regions Bank | Regions Financial | banking violation | 2009 | FED | $135,000 |
Compass Bank | PNC Financial Services | banking violation | 2009 | FED | $70,625 |
Credit Suisse AG | UBS | economic sanction violation | 2009 | DOJ_CRIMINAL | $268,000,000 |
Lloyds TSB Bank PLC | Lloyds Banking Group | economic sanction violation | 2009 | DOJ_CRIMINAL | $175,000,000 |
UBS AG | UBS | tax violations | 2009 | DOJ_TAX | $780,000,000 |
Australia and New Zealand Bank Group, Ltd. | Australia and New Zealand Banking Group | economic sanction violation | 2009 | OFAC | $5,750,000 |
National City Bank | PNC Financial Services | banking violation | 2009 | OCC | $34,265 |
Wells Fargo Bank, National Association | Wells Fargo | banking violation | 2009 | OCC | $51,205 |
First Tennessee Bank National Association | First Horizon National | banking violation | 2009 | OCC | $100,000 |
First National Bank of Omaha | First National of Nebraska | banking violation | 2009 | OCC | $100,000 |
Capital One, National Association | Capital One Financial | banking violation | 2009 | OCC | $125,000 |
BUCKEYE PARTNERS LP | IFM Investors | environmental violation | 2009 | PHMSA | $7,500 |
ICAP plc | CME Group | investor protection violation | 2009 | SEC | $25,000,000 |
J.P. Morgan Securities Inc. | JPMorgan Chase | kickbacks and bribery | 2009 | SEC | $75,000,000 |
Regions Bank | Regions Financial | investor protection violation | 2009 | SEC | $1,000,000 |
Bank of America Corporation | Bank of America | investor protection violation | 2009 | SEC | $33,000,000 |
Morgan Stanley | Morgan Stanley | investor protection violation | 2009 | SEC | $500,000 |
Ameriprise Financial Services, Inc. | Ameriprise Financial | investor protection violation | 2009 | SEC | $17,300,000 |
Evergreen Investment Management Company LLC | Wells Fargo | investor protection violation | 2009 | SEC | $40,000,000 |
Merrill Lynch, Pierce, Fenner & Smith Inc. | Bank of America | investor protection violation | 2009 | SEC | $7,000,000 |
UBS AG | UBS | tax violations | 2009 | SEC | $200,000,000 |
Merrill Lynch, Pierce, Fenner & Smith, Inc. | Bank of America | investor protection violation | 2009 | SEC | $1,000,000 |
Allstate Insurance Company | Allstate | employment discrimination | 2009 | EEOC | $4,500,000 |
Nationwide | Nationwide | wage and hour violation | 2009 | WHD | $28,290 |
JPMorgan Chase Bank, NA | JPMorgan Chase | wage and hour violation | 2009 | WHD | $6,996 |
Zions Bancorporation | Zions Bancorporation | wage and hour violation | 2009 | WHD | $15,347 |
The Travelers Indemnity Company | Travelers | wage and hour violation | 2009 | WHD | $21,283 |
Sun Life Assurance Company of Canada (U.S.) | Sun Life Financial | wage and hour violation | 2009 | WHD | $6,366 |
Gerber Life Insurance Company | Western & Southern Financial Group | wage and hour violation | 2009 | WHD | $172,799 |
Sun Life Assurance Company of Canada (U.S.) | Sun Life Financial | wage and hour violation | 2009 | WHD | $25,744 |
Barclays Capital Inc. | Barclays | wage and hour violation | 2009 | WHD | $9,707 |
IFCO Systems North America, Inc. | Triton Investments Advisers | wage and hour violation | 2009 | WHD | $22,377 |
Metropolitan Life Insurance Company | MetLife | Family and Medical Leave Act | 2009 | WHD | $6,375 |
Citigroup | Citigroup | wage and hour violation | 2009 | WHD | $38,926 |
Safeco Insurance Company of America | Liberty Mutual Insurance | wage and hour violation | 2009 | WHD | $37,951 |
Safeco Insurance Company of America | Liberty Mutual Insurance | wage and hour violation | 2009 | WHD | $28,560 |
Safeco Insurance Company of America | Liberty Mutual Insurance | wage and hour violation | 2009 | WHD | $85,353 |
National City Corporation | PNC Financial Services | labor relations violation | 2009 | NLRB | $24,083 |
El Paso Electric Company | JPMorgan Chase | labor relations violation | 2009 | NLRB | $11,500 |
Washington Mutual Bank | JPMorgan Chase | wage and hour violation | 2009 | private lawsuit-federal | $38,000,000 |
Wachovia Securities | Wells Fargo | wage and hour violation | 2009 | private lawsuit-federal | $39,000,000 |
Prudential Financial | Prudential Financial | wage and hour violation | 2009 | private lawsuit-federal | $11,000,000 |
TD Ameritrade | Charles Schwab Corp. | wage and hour violation | 2009 | private lawsuit-federal | $2,500,000 |
AXA Financial | Equitable Holdings | wage and hour violation | 2009 | private lawsuit-federal | $6,500,000 |