Wilmington Trust Co. | M&T Bank | investor protection violation | 2005 | DE-SEC | $50,000 |
Ameritrade, Inc. | Charles Schwab Corp. | investor protection violation | 2009 | DE-SEC | $40,000 |
PNC Investments LLC | PNC Financial Services | investor protection violation | 2010 | DE-SEC | $250,000 |
AllianceBernstein L.P. | Equitable Holdings | investor protection violation | 2012 | DE-SEC | $20,000 |
Oppenheimer & Co., Inc. | Oppenheimer Holdings | investor protection violation | 2015 | DE-SEC | $685,000 |
Janney Montgomery Scott LLC | Penn Mutual | investor protection violation | 2015 | DE-SEC | $105,000 |
LPL Financial LLC | LPL Financial | investor protection violation | 2015 | DE-SEC | $200,000 |
Janney Montgomery Scott LLC | Penn Mutual | investor protection violation | 2022 | DE-SEC | $72,255 |
Goldman Sachs | Goldman Sachs | toxic securities abuses | 2016 | DOJ | $5,060,000,000 |
Morgan Stanley | Morgan Stanley | toxic securities abuses | 2016 | DOJ | $2,600,000,000 |
HSBC Bank USA NA | HSBC | mortgage abuses | 2016 | DOJ | $470,000,000 |
Citigroup Inc. | Citigroup | toxic securities abuses | 2014 | DOJ | $7,000,000,000 |
Bank of America Corporation | Bank of America | mortgage abuses | 2014 | DOJ | $16,650,000,000 |
JPMorgan Chase | JPMorgan Chase | toxic securities abuses | 2013 | DOJ | $13,000,000,000 |
Bank of America Corporation | Bank of America | mortgage abuses | 2012 | DOJ | $10,956,600,000 |
JPMorgan Chase & Co. | JPMorgan Chase | mortgage abuses | 2012 | DOJ | $5,333,600,000 |
Wells Fargo & Company | Wells Fargo | mortgage abuses | 2012 | DOJ | $5,342,200,000 |
Citigroup Inc. | Citigroup | mortgage abuses | 2012 | DOJ | $2,202,000,000 |
Ally Financial Inc. (formerly GMAC) | Ally Financial | mortgage abuses | 2012 | DOJ | $309,600,000 |
RBS PLC and RBS Securities Japan | NatWest Group PLC | price-fixing or anti-competitive practices | 2014 | DOJ_ANTITRUST | $150,000,000 |
UBS Securities Japan Co. Ltd. | UBS | price-fixing or anti-competitive practices | 2012 | DOJ_ANTITRUST | $500,000,000 |
Wachovia Bank N.A. | Wells Fargo | price-fixing or anti-competitive practices | 2011 | DOJ_ANTITRUST | $148,000,000 |
Morgan Stanley | Morgan Stanley | price-fixing or anti-competitive practices | 2011 | DOJ_ANTITRUST | $4,800,000 |
JPMorgan Chase & Co. | JPMorgan Chase | price-fixing or anti-competitive practices | 2011 | DOJ_ANTITRUST | $228,000,000 |
UBS AG | UBS | price-fixing or anti-competitive practices | 2011 | DOJ_ANTITRUST | $160,000,000 |
Bank of America | Bank of America | price-fixing or anti-competitive practices | 2010 | DOJ_ANTITRUST | $137,300,000 |
Manulife Financial Corporation | Manulife Financial | investor protection violation | 2004 | DOJ_ANTITRUST | $1,000,000 |
DB Group Services (UK) Limited | Deutsche Bank | price-fixing or anti-competitive practices | 2017 | DOJ_ANTITRUST | $150,000,000 |
BNP Paribas USA Inc. | BNP Paribas | price-fixing or anti-competitive practices | 2018 | DOJ_ANTITRUST | $90,000,000 |
Banca IMI Securities Corp. | Intesa Sanpaolo | price-fixing or anti-competitive practices | 2019 | DOJ_ANTITRUST | $2,000,000 |
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 |
M&T Bank Corp. | M&T Bank | False Claims Act and related | 2016 | DOJ_CIVIL | $64,000,000 |
Freedom Mortgage Corporation | Freedom Mortgage | False Claims Act and related | 2016 | DOJ_CIVIL | $113,000,000 |
Wells Fargo Bank, National Association | Wells Fargo | False Claims Act and related | 2016 | DOJ_CIVIL | $1,200,000,000 |
First Tennessee Bank N.A. | First Horizon National | False Claims Act and related | 2015 | DOJ_CIVIL | $212,500,000 |
MetLife Home Loans LLC | MetLife | False Claims Act and related | 2015 | DOJ_CIVIL | $123,500,000 |
U.S. Bank | U.S. Bancorp | False Claims Act and related | 2014 | DOJ_CIVIL | $200,000,000 |
JPMorgan Chase | JPMorgan Chase | False Claims Act and related | 2014 | DOJ_CIVIL | $614,000,000 |
PNC Bank N.A | PNC Financial Services | False Claims Act and related | 2013 | DOJ_CIVIL | $7,100,000 |
BAC Home Loans Servicing LP fka Countrywide Home Loans Servicing LP | Bank of America | mortgage abuses | 2011 | DOJ_CIVIL | $20,000,000 |
Saxon Mortgage Services Inc. | Ocwen Financial | mortgage abuses | 2011 | DOJ_CIVIL | $2,350,000 |
SunTrust Mortgage Inc. | Truist Financial | mortgage abuses | 2014 | DOJ_CIVIL | $320,000,000 |
Franklin American Mortgage Company | Citizens Financial Group | mortgage abuses | 2015 | DOJ_CIVIL | $70,000,000 |
Walter Investment Management Corp. | Ditech Holding Corporation | False Claims Act and related | 2015 | DOJ_CIVIL | $29,630,000 |
Fireman's Fund Insurance Company | Allianz | False Claims Act and related | 2015 | DOJ_CIVIL | $44,000,000 |
BNP Paribas | BNP Paribas | False Claims Act and related | 2014 | DOJ_CIVIL | $80,000,000 |
SunTrust Mortgage Inc. | Truist Financial | False Claims Act and related | 2014 | DOJ_CIVIL | $418,000,000 |
Louis Dreyfus Energy Services | Louis Dreyfus | False Claims Act and related | 2012 | DOJ_CIVIL | $4,084,000 |
Nelnet Inc. | Nelnet | False Claims Act and related | 2010 | DOJ_CIVIL | $47,000,000 |
RBC Mortgage Company | Royal Bank of Canada | False Claims Act and related | 2008 | DOJ_CIVIL | $10,710,000 |
National City Mortgage Inc. | PNC Financial Services | False Claims Act and related | 2008 | DOJ_CIVIL | $4,600,000 |
Mellon Bank, N.A. | Bank of New York Mellon | False Claims Act and related | 2007 | DOJ_CIVIL | $16,500,000 |
Crawford and Company | Crawford & Co. | False Claims Act and related | 2006 | DOJ_CIVIL | $1,363,204 |
Highmark, Inc. | Highmark Inc. | False Claims Act and related | 2004 | DOJ_CIVIL | $1,500,000 |
General American Life Insurance Company, Inc. | MetLife | False Claims Act and related | 2002 | DOJ_CIVIL | $76,000,000 |
Regions Bank | Regions Financial | False Claims Act and related | 2016 | DOJ_CIVIL | $52,400,000 |
Branch Banking & Trust Company (BB&T) | Truist Financial | False Claims Act and related | 2016 | DOJ_CIVIL | $83,000,000 |
Deutsche Bank | Deutsche Bank | toxic securities abuses | 2017 | DOJ_CIVIL | $7,200,000,000 |
Credit Suisse | UBS | toxic securities abuses | 2017 | DOJ_CIVIL | $5,280,000,000 |
PHH Corp. | Ocwen Financial | False Claims Act and related | 2017 | DOJ_CIVIL | $74,453,802 |
IBERIABANK | First Horizon National | False Claims Act and related | 2017 | DOJ_CIVIL | $11,692,149 |
Royal Bank of Scotland Group plc | NatWest Group PLC | toxic securities abuses | 2018 | DOJ_CIVIL | $4,900,000,000 |
Wells Fargo Bank, N.A. | Wells Fargo | toxic securities abuses | 2018 | DOJ_CIVIL | $2,090,000,000 |
Wells Fargo & Company | Wells Fargo | fraud | 2020 | DOJ_CIVIL | $3,000,000,000 |
Guaranteed Rate Inc. | Guaranteed Rate Inc. | False Claims Act and related | 2020 | DOJ_CIVIL | $15,060,000 |
Academy Mortgage Corporation | Academy Mortgage Corp. | False Claims Act and related | 2022 | DOJ_CIVIL | $38,500,000 |
UBS AG | UBS | toxic securities abuses | 2023 | DOJ_CIVIL | $1,435,000,000 |
CommerceWest Bank | CommerceWest Bank | fraud | 2015 | DOJ_CRIMINAL | $4,900,000 |
Citicorp | Citigroup | price-fixing or anti-competitive practices | 2015 | DOJ_CRIMINAL | $925,000,000 |
JPMorgan Chase & Co. | JPMorgan Chase | price-fixing or anti-competitive practices | 2015 | DOJ_CRIMINAL | $550,000,000 |
Barclays PLC | Barclays | price-fixing or anti-competitive practices | 2015 | DOJ_CRIMINAL | $710,000,000 |
Royal Bank of Scotland plc | NatWest Group PLC | price-fixing or anti-competitive practices | 2015 | DOJ_CRIMINAL | $395,000,000 |
UBS AG | UBS | price-fixing or anti-competitive practices | 2015 | DOJ_CRIMINAL | $203,000,000 |
BNP Paribas S.A. | BNP Paribas | economic sanction violation | 2015 | DOJ_CRIMINAL | $8,973,600,000 |
Deutsche Bank AG | Deutsche Bank | price-fixing or anti-competitive practices | 2015 | DOJ_CRIMINAL | $775,000,000 |
Commerzbank AG | Commerzbank | economic sanction violation | 2015 | DOJ_CRIMINAL | $642,000,000 |
ConvergEx Group LLC | Toronto-Dominion Bank | fraud | 2014 | DOJ_CRIMINAL | $43,800,000 |
Lloyds Banking Group plc | Lloyds Banking Group | price-fixing or anti-competitive practices | 2014 | DOJ_CRIMINAL | $86,000,000 |
Rabobank | Rabobank | price-fixing or anti-competitive practices | 2013 | DOJ_CRIMINAL | $325,000,000 |
HSBC Holdings plc HSBC Bank USA N.A. | HSBC | anti-money-laundering deficiencies | 2012 | DOJ_CRIMINAL | $1,256,000,000 |
Standard Chartered Bank | Standard Chartered | economic sanction violation | 2012 | DOJ_CRIMINAL | $227,000,000 |
Barclays Bank PLC | Barclays | price-fixing or anti-competitive practices | 2012 | DOJ_CRIMINAL | $160,000,000 |
ING Bank N.V. | ING | economic sanction violation | 2012 | DOJ_CRIMINAL | $619,000,000 |
Aon Corporation | Aon | Foreign Corrupt Practices Act | 2011 | DOJ_CRIMINAL | $1,760,000 |
Barclays Bank PLC | Barclays | economic sanction violation | 2010 | DOJ_CRIMINAL | $298,000,000 |
ABN AMRO Bank N.V. renamed the Royal Bank of Scotland N.V. | ABN AMRO | economic sanction violation | 2010 | DOJ_CRIMINAL | $500,000,000 |
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 |
Union Bank of California, N.A. | U.S. Bancorp | anti-money-laundering deficiencies | 2007 | DOJ_CRIMINAL | $21,600,000 |
American Express Bank International | American Express | anti-money-laundering deficiencies | 2007 | DOJ_CRIMINAL | $55,000,000 |
Prudential Equity Group LLC | Prudential Financial | investor protection violation | 2006 | DOJ_CRIMINAL | $600,000,000 |
BankAtlantic | Truist Financial | anti-money-laundering deficiencies | 2006 | DOJ_CRIMINAL | $10,000,000 |
Williams Power Company Inc. | JPMorgan Chase | data submission deficiencies | 2006 | DOJ_CRIMINAL | $50,000,000 |
American International Group, Inc. | American International Group | accounting fraud or deficiencies | 2006 | DOJ_CRIMINAL | $25,000,000 |
American International Group, Inc. | American International Group | accounting fraud or deficiencies | 2004 | DOJ_CRIMINAL | $80,000,000 |
Crawford Healthcare Management of Norfolk & Baltimore | Crawford & Co. | fraud | 2003 | DOJ_CRIMINAL | $8,000,000 |
PNC ICLC Corp. | PNC Financial Services | accounting fraud or deficiencies | 2003 | DOJ_CRIMINAL | $115,000,000 |
Och-Ziff Capital Management Group LLC | Sculptor Capital Management | Foreign Corrupt Practices Act | 2016 | DOJ_CRIMINAL | $213,000,000 |
JPMorgan Securities | JPMorgan Chase | Foreign Corrupt Practices Act | 2016 | DOJ_CRIMINAL | $72,000,000 |
Western Union Company | Western Union | anti-money-laundering deficiencies | 2017 | DOJ_CRIMINAL | $586,000,000 |
State Street Corporation | State Street Corp. | fraud | 2017 | DOJ_CRIMINAL | $32,300,000 |