SG Americas Securities, LLC | Societe Generale | investor protection violation | 2005 | FINRA | $4,478,000 |
RBC Capital Markets Corporation | Royal Bank of Canada | investor protection violation | 2005 | FINRA | $2,108,000 |
RBC Dain Rauscher, Inc. | Royal Bank of Canada | investor protection violation | 2005 | FINRA | $1,158,000 |
Ameriprise Financial Services, Inc. | Ameriprise Financial | investor protection violation | 2005 | FINRA | $1,250,000 |
Janney Montgomery Scott LLC | Penn Mutual | investor protection violation | 2005 | FINRA | $2,200,000 |
Lincoln Financial Advisors Corporation | Lincoln National | investor protection violation | 2005 | FINRA | $950,000 |
Investment Centers of America, Inc. | LPL Financial | investor protection violation | 2005 | FINRA | $363,500 |
ING Funds Distributor | Voya Financial | investor protection violation | 2005 | FINRA | $1,500,000 |
Edward D. Jones & Co., L.P. | Jones Financial | investor protection violation | 2005 | FINRA | $300,000 |
Morgan Stanley DW, Inc. | Morgan Stanley | investor protection violation | 2005 | FINRA | $6,100,000 |
Piper Jaffray & Co. | Piper Sandler | investor protection violation | 2005 | FINRA | $280,000 |
ABN AMRO Incorporated | ABN AMRO | investor protection violation | 2005 | FINRA | $220,000 |
J.P. Morgan Securities, Inc. | JPMorgan Chase | investor protection violation | 2005 | FINRA | $160,000 |
Goldman, Sachs & Co. | Goldman Sachs | investor protection violation | 2005 | FINRA | $140,000 |
Banc of America Investment Services, Inc. | Bank of America | investor protection violation | 2005 | FINRA | $90,000 |
Raymond James & Associates, Inc. | Raymond James Financial | investor protection violation | 2005 | FINRA | $90,000 |
Chase Investment Services Corp. | JPMorgan Chase | investor protection violation | 2005 | FINRA | $60,000 |
Citigroup Global Markets Inc. | Citigroup | investor protection violation | 2005 | FINRA | $60,000 |
CIBC World Markets Corp. | Canadian Imperial Bank of Commerce | investor protection violation | 2005 | FINRA | $40,000 |
UBS International Inc. | UBS | investor protection violation | 2005 | FINRA | $10,000 |
Morgan Stanley & Co. | Morgan Stanley | investor protection violation | 2005 | FINRA | $2,650,000 |
J.P. Morgan Securities, Inc. | JPMorgan Chase | investor protection violation | 2005 | FINRA | $150,000 |
Goldman, Sachs & Co. | Goldman Sachs | investor protection violation | 2005 | FINRA | $125,000 |
AllianceBernstein Investment Research and Management, Inc. | Equitable Holdings | investor protection violation | 2005 | FINRA | $3,984,087 |
Wells Fargo Investments, LLC | Wells Fargo | investor protection violation | 2005 | FINRA | $2,970,000 |
SunAmerica Securities, Inc. | American International Group | investor protection violation | 2005 | FINRA | $2,500,000 |
RBC Dain Rauscher, Inc. | Royal Bank of Canada | investor protection violation | 2005 | FINRA | $1,700,000 |
AXA Advisors, LLC | Equitable Holdings | investor protection violation | 2005 | FINRA | $900,000 |
SunTrust Capital Markets, Inc. | Truist Financial | investor protection violation | 2005 | FINRA | $100,000 |
Waddell & Reed, Inc. | Macquarie | investor protection violation | 2005 | FINRA | (*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $16,000,000 |
Raymond James & Associates, Inc. and Raymond James Financial Services, Inc. | Raymond James Financial | investor protection violation | 2005 | FINRA | $888,000 |
Thomas Weisel Partners | Stifel Financial | investor protection violation | 2005 | FINRA | $1,750,000 |
Jefferson Pilot Variable Corporation | Lincoln National | investor protection violation | 2005 | FINRA | $688,697 |
Citigroup Global Markets, Inc. | Citigroup | investor protection violation | 2005 | FINRA | $6,250,000 |
American Express Financial Advisors | Ameriprise Financial | investor protection violation | 2005 | FINRA | $13,000,000 |
Chase Investment Services | JPMorgan Chase | investor protection violation | 2005 | FINRA | $2,000,000 |
Spear, Leeds & Kellogg, L.P | Goldman Sachs | investor protection violation | 2005 | FINRA | $1,000,000 |
Piper Jaffray & Co. | Piper Sandler | investor protection violation | 2005 | FINRA | $275,000 |
Scottrade, Inc. | Charles Schwab Corp. | investor protection violation | 2005 | FINRA | $250,000 |
Banc One Securities Corporation | JPMorgan Chase | investor protection violation | 2005 | FINRA | $400,000 |
Highmark, Inc. | Highmark Inc. | campaign finance violation | 2005 | FEC | $54,078 |
Washington Mutual Bank, F. A. | JPMorgan Chase | environmental violation | 2005 | CA-SCAQMD | $23,264 |
Wells Fargo Bank, National Association | Wells Fargo | wage and hour violation | 2005 | CA-LCO | $6,572 |
Prudential Insurance Company of America | Prudential Financial | consumer protection violation | 2005 | private lawsuit-federal | $22,000,000 |
SPENCER PRESS OF MAINE INC. | Chatham Asset Management | workplace safety or health violation | 2005 | OSHA | $35,000 |
Big Cajun 2 - Louisiana Generating LLC | Macquarie | environmental violation | 2005 | EPA | $19,250 |
Vitol S.A., Inc. | Vitol | environmental violation | 2005 | EPA | $41,600 |
Cinergy Marketing & Trading, LP | BNP Paribas | data submission deficiencies | 2004 | CFTC | $3,000,000 |
Credit Lyonnais Rouse Limited | Credit Agricole | investor protection violation | 2004 | CFTC | $25,000 |
FIRST BANK | First Bancorp (North Carolina) | banking violation | 2004 | FDIC | $12,000 |
NEW YORK COMMUNITY BANK | New York Community Bancorp | banking violation | 2004 | FDIC | $8,000 |
Citigroup Inc. | Citigroup | banking violation | 2004 | FED | $70,000,000 |
UBS AG | UBS | economic sanction violation | 2004 | FED | $100,000,000 |
Credit Agricole S.A. | Credit Agricole | banking violation | 2004 | FED | $8,000,000 |
Manulife Financial Corporation | Manulife Financial | investor protection violation | 2004 | DOJ_ANTITRUST | $1,000,000 |
Highmark, Inc. | Highmark Inc. | False Claims Act and related | 2004 | DOJ_CIVIL | $1,500,000 |
American International Group, Inc. | American International Group | accounting fraud or deficiencies | 2004 | DOJ_CRIMINAL | $80,000,000 |
ABN AMRO Bank, Inc | ABN AMRO | economic sanction violation | 2004 | OFAC | $25,847 |
American Express | American Express | economic sanction violation | 2004 | OFAC | $18,391 |
American Express Bank Ltd. | American Express | economic sanction violation | 2004 | OFAC | $5,041 |
American Express Company | American Express | economic sanction violation | 2004 | OFAC | $5,500 |
Arab Banking Corp. | Arab Banking Corp. | economic sanction violation | 2004 | OFAC | $5,500 |
Bank of America | Bank of America | economic sanction violation | 2004 | OFAC | $13,573 |
Bank of China | Bank of China | economic sanction violation | 2004 | OFAC | $10,000 |
Bank of New York | Bank of New York Mellon | economic sanction violation | 2004 | OFAC | $137,500 |
Bank of New York | Bank of New York Mellon | economic sanction violation | 2004 | OFAC | $34,623 |
Bank of New York | Bank of New York Mellon | economic sanction violation | 2004 | OFAC | $27,500 |
Bank of New York | Bank of New York Mellon | economic sanction violation | 2004 | OFAC | $5,500 |
Bank One | JPMorgan Chase | economic sanction violation | 2004 | OFAC | $5,500 |
Bank One | JPMorgan Chase | economic sanction violation | 2004 | OFAC | $6,682 |
Barclays Bank PLC | Barclays | economic sanction violation | 2004 | OFAC | $14,970 |
California United Bank | PacWest Bancorp | economic sanction violation | 2004 | OFAC | $7,250 |
Citibank | Citigroup | economic sanction violation | 2004 | OFAC | $5,500 |
Citicorp Vendor Finance Ltd | Citigroup | economic sanction violation | 2004 | OFAC | $7,379 |
Commerzbank AG | Commerzbank | economic sanction violation | 2004 | OFAC | $5,500 |
Deutsche Bank | Deutsche Bank | economic sanction violation | 2004 | OFAC | $5,500 |
First Union Bank | Wells Fargo | economic sanction violation | 2004 | OFAC | $18,740 |
Hanmi Bank | Hanmi Financial Corp. | economic sanction violation | 2004 | OFAC | $7,000 |
HSBC Bank USA | HSBC | economic sanction violation | 2004 | OFAC | $5,500 |
HSBC Bank USA | HSBC | economic sanction violation | 2004 | OFAC | $8,375 |
JP Morgan Chase | JPMorgan Chase | economic sanction violation | 2004 | OFAC | $26,980 |
JP Morgan Chase & Co. | JPMorgan Chase | economic sanction violation | 2004 | OFAC | $17,303 |
JP Morgan Chase & Co. | JPMorgan Chase | economic sanction violation | 2004 | OFAC | $73,281 |
JP Morgan Chase Bank | JPMorgan Chase | economic sanction violation | 2004 | OFAC | $9,748 |
JP Morgan Chase Bank | JPMorgan Chase | economic sanction violation | 2004 | OFAC | $18,094 |
Mellon Bank N.A. | Bank of New York Mellon | economic sanction violation | 2004 | OFAC | $10,400 |
Merrill Lynch, Pierce, Fenner & Smith, Inc | Bank of America | economic sanction violation | 2004 | OFAC | $22,904 |
Ruesch International, Inc. | Western Union | economic sanction violation | 2004 | OFAC | $7,811 |
Santander Bank & Trust (Bahamas) Ltd | Banco Santander | economic sanction violation | 2004 | OFAC | $20,000 |
Wachovia Bank | Wells Fargo | economic sanction violation | 2004 | OFAC | $11,000 |
Old National Bank | Old National Bancorp | banking violation | 2004 | OCC | $12,500 |
Old National Bank | Old National Bancorp | banking violation | 2004 | OCC | $7,500 |
Riggs Bank National Association | PNC Financial Services | anti-money-laundering deficiencies | 2004 | OCC | $25,000,000 |
Edward D. Jones & Co., L.P. | Jones Financial | investor protection violation | 2004 | SEC | $75,000,000 |
Knight Securities, L.P. | Virtu Financial | investor protection violation | 2004 | SEC | $66,500,000 |
Franklin Advisers, Inc. and Franklin Templeton Distributors, Inc. | Franklin Resources | investor protection violation | 2004 | SEC | $20,000,000 |
American International Group, Inc. | American International Group | investor protection violation | 2004 | SEC | $46,000,000 |
Wachovia Corporation | Wells Fargo | investor protection violation | 2004 | SEC | $37,000,000 |
AIM Advisors, Inc. and AIM Distributors, Inc. | Invesco | investor protection violation | 2004 | SEC | $50,000,000 |
Invesco Funds Group, Inc. | Invesco | investor protection violation | 2004 | SEC | $325,000,000 |
TD Waterhouse Investor Services, Inc. | Toronto-Dominion Bank | investor protection violation | 2004 | SEC | $2,000,000 |