Transamerica Financial Life Insurance Company | Aegon | insurance violation | 2020 | NY-DFS | $750,000 |
Mercury Casualty Company | Mercury General Corporation | insurance violation | 2020 | NY-DFS | $11,000 |
Arthur J. Gallagher Risk Management Services, Inc. | Arthur J. Gallagher & Co. | insurance violation | 2020 | NY-DFS | $300,800 |
Arthur J. Gallagher Risk Management Services, Inc. | Arthur J. Gallagher & Co. | insurance violation | 2020 | NY-DFS | $39,750 |
HSBC | HSBC | employment discrimination | 2020 | NY-NYCCHR | $30,000 |
Zurich American Life Insurance Company of New York | Zurich Insurance | insurance violation | 2020 | NY-DFS | $25,000 |
ReliaStar Life Insurance Company of New York | Voya Financial | insurance violation | 2020 | NY-DFS | $169,000 |
Bankers Conseco Life Insurance Company | CNO Financial | insurance violation | 2020 | NY-DFS | $75,000 |
William Penn Life Insurance Company of New York | Legal & General Group PLC | insurance violation | 2020 | NY-DFS | $110,000 |
National Integrity Life Insurance Company | Western & Southern Financial Group | insurance violation | 2020 | NY-DFS | $20,000 |
Ameritas Life Insurance Corp. of New York | Ameritas Mutual Holding Company | insurance violation | 2020 | NY-DFS | $84,668 |
Bank Of The West | Bank of Montreal | wage and hour violation | 2020 | CA-LCO | $5,783 |
Bank of America N.A. | Bank of America | price-fixing or anti-competitive practices | 2020 | private lawsuit-federal | $5,000,000 |
Bank of America N.A. | Bank of America | price-fixing or anti-competitive practices | 2020 | private lawsuit-federal | $6,250,000 |
Bank of America N.A. | Bank of America | price-fixing or anti-competitive practices | 2020 | private lawsuit-federal | $1,500,000 |
Barclays Bank PLC | Barclays | price-fixing or anti-competitive practices | 2020 | private lawsuit-federal | $7,100,000 |
Barclays Bank PLC | Barclays | price-fixing or anti-competitive practices | 2020 | private lawsuit-federal | $19,975,000 |
Barclays Capital Inc. | Barclays | price-fixing or anti-competitive practices | 2020 | private lawsuit-federal | $87,000,000 |
BNP Paribas Securities Corp. | BNP Paribas | price-fixing or anti-competitive practices | 2020 | private lawsuit-federal | $20,833,333 |
Cantor Fitzgerald & Co. | Cantor Fitzgerald | price-fixing or anti-competitive practices | 2020 | private lawsuit-federal | $20,833,333 |
Citibank N.A. | Citigroup | price-fixing or anti-competitive practices | 2020 | private lawsuit-federal | $7,025,000 |
Citibank N.A. | Citigroup | price-fixing or anti-competitive practices | 2020 | private lawsuit-federal | $33,400,000 |
Citigroup Global Markets Inc. | Citigroup | price-fixing or anti-competitive practices | 2020 | private lawsuit-federal | $20,833,333 |
Citigroup Inc. | Citigroup | price-fixing or anti-competitive practices | 2020 | private lawsuit-federal | $9,950,000 |
Credit Suisse Securities (USA) LLC | UBS | price-fixing or anti-competitive practices | 2020 | private lawsuit-federal | $20,833,333 |
Deutsche Bank | Deutsche Bank | price-fixing or anti-competitive practices | 2020 | private lawsuit-federal | $80,000,000 |
Deutsche Bank | Deutsche Bank | price-fixing or anti-competitive practices | 2020 | private lawsuit-federal | $15,000,000 |
First Tennessee Bank NA | First Horizon National | price-fixing or anti-competitive practices | 2020 | private lawsuit-federal | $14,500,000 |
Goldman Sachs | Goldman Sachs | price-fixing or anti-competitive practices | 2020 | private lawsuit-federal | $20,000,000 |
Highmark Inc. | Highmark Inc. | price-fixing or anti-competitive practices | 2020 | private lawsuit-federal | $7,500,000 |
HSBC Bank PLC | HSBC | price-fixing or anti-competitive practices | 2020 | private lawsuit-federal | $4,750,000 |
HSBC Bank PLC | HSBC | price-fixing or anti-competitive practices | 2020 | private lawsuit-federal | $11,100,000 |
HSBC Bank PLC | HSBC | price-fixing or anti-competitive practices | 2020 | private lawsuit-federal | $18,500,000 |
HSBC Securities (USA) Inc. | HSBC | price-fixing or anti-competitive practices | 2020 | private lawsuit-federal | $20,833,333 |
J.P. Morgan Securities LLC | JPMorgan Chase | price-fixing or anti-competitive practices | 2020 | private lawsuit-federal | $20,833,333 |
JPMorgan Chase & Co. | JPMorgan Chase | price-fixing or anti-competitive practices | 2020 | private lawsuit-federal | $5,000,000 |
JPMorgan Chase & Co. | JPMorgan Chase | price-fixing or anti-competitive practices | 2020 | private lawsuit-federal | $6,250,000 |
JPMorgan Chase & Co. | JPMorgan Chase | price-fixing or anti-competitive practices | 2020 | private lawsuit-federal | $1,500,000 |
Merrill Lynch Pierce Fenner & Smith Inc. | Bank of America | price-fixing or anti-competitive practices | 2020 | private lawsuit-federal | $20,833,333 |
Morgan Stanley & Co. LLC | Morgan Stanley | price-fixing or anti-competitive practices | 2020 | private lawsuit-federal | $20,833,333 |
MUFG Bank Ltd. | U.S. Bancorp | price-fixing or anti-competitive practices | 2020 | private lawsuit-federal | $985,000 |
Nomura Securities International Inc. | Nomura | price-fixing or anti-competitive practices | 2020 | private lawsuit-federal | $20,833,333 |
Royal Bank of Scotland Group | NatWest Group PLC | price-fixing or anti-competitive practices | 2020 | private lawsuit-federal | $13,000,000 |
SG Americas Securities LLC | Societe Generale | price-fixing or anti-competitive practices | 2020 | private lawsuit-federal | $20,833,333 |
Societe Generale | Societe Generale | price-fixing or anti-competitive practices | 2020 | private lawsuit-federal | $5,125,000 |
Societe Generale | Societe Generale | price-fixing or anti-competitive practices | 2020 | private lawsuit-federal | $975,000 |
Standard Chartered Bank | Standard Chartered | price-fixing or anti-competitive practices | 2020 | private lawsuit-federal | $1,720,000 |
TD Securities (USA) LLC | Toronto-Dominion Bank | price-fixing or anti-competitive practices | 2020 | private lawsuit-federal | $20,833,333 |
UBS AG | UBS | price-fixing or anti-competitive practices | 2020 | private lawsuit-federal | $17,900,000 |
UBS Securities LLC | UBS | price-fixing or anti-competitive practices | 2020 | private lawsuit-federal | $20,833,333 |
Bank of America et al. | Bank of America | consumer protection violation | 2020 | private lawsuit-federal | $252,500,000 |
Bank of America N.A. | Bank of America | consumer protection violation | 2020 | private lawsuit-federal | $35,000,000 |
Bank of America N.A. | Bank of America | consumer protection violation | 2020 | private lawsuit-federal | $4,950,000 |
JPMorgan Chase & Co. | JPMorgan Chase | consumer protection violation | 2020 | private lawsuit-federal | $2,500,000 |
JPMorgan Chase & Co. | JPMorgan Chase | consumer protection violation | 2020 | private lawsuit-federal | $62,462,000 |
PNC Bank N.A. | PNC Financial Services | consumer protection violation | 2020 | private lawsuit-federal | $7,500,000 |
Progressive Specialty Insurance Company | Progressive | consumer protection violation | 2020 | private lawsuit-federal | $2,000,000 |
State Farm Fire and Casualty Company | State Farm Insurance | consumer protection violation | 2020 | private lawsuit-federal | $11,757,954 |
TD Bank N.A. | Toronto-Dominion Bank | consumer protection violation | 2020 | private lawsuit-federal | $70,000,000 |
Wells Fargo Bank, N.A. | Wells Fargo | consumer protection violation | 2020 | private lawsuit-federal | $18,500,000 |
Raymond James & Associates | Raymond James Financial | wage and hour violation | 2020 | MI-LEO | $29,361 |
Guaranteed Rate | Guaranteed Rate Inc. | wage and hour violation | 2020 | MI-LEO | $6,020 |
Transamerica Life Insurance Company | Aegon | insurance violation | 2020 | NJ-DBI | $137,000 |
NYRSTAR CLARKSVILLE, INC. | Trafigura | workplace safety or health violation | 2020 | OSHA | $28,916 |
MASS MUTUAL INSTITUTIONAL FUNDS | Massachusetts Mutual Life Insurance | workplace safety or health violation | 2020 | OSHA | $9,639 |
GAS COMPANY LLC | Macquarie | workplace safety or health violation | 2020 | OSHA | $9,832 |
ASURION, LLC. | Asurion | workplace safety or health violation | 2020 | OSHA | $5,783 |
Nyrstar Tennessee Mines, Strawberry Plains LLC | Trafigura | workplace safety or health violation | 2020 | MSHA | $6,159 |
Nyrstar Tennessee Mines - Gordonsville, LLC | Trafigura | workplace safety or health violation | 2020 | MSHA | $5,332 |
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 |