Barclays PLC | Barclays | price-fixing or anti-competitive practices | 2012 | CFTC | $200,000,000 |
Barclays Bank PLC | Barclays | price-fixing or anti-competitive practices | 2017 | FERC | $105,000,000 |
Barclays Bank PLC | Barclays | economic sanction violation | 2016 | OFAC | $2,485,890 |
Barclays Capital Inc. | Barclays | investor protection violation | 2016 | CFTC | $800,000 |
Barclays Bank PLC | Barclays | investor protection violation | 2016 | CFTC | $560,000 |
Barclays Bank PLC | Barclays | economic sanction violation | 2004 | OFAC | $14,970 |
Barclays Bank PLC | Barclays | economic sanction violation | 2003 | OFAC | $10,107 |
Barclays Bank PLC | Barclays | insider trading | 2007 | SEC | $10,943,561 |
Barclays Bank PLC | Barclays | data submission deficiencies | 2016 | CFTC | $500,000 |
Barclays Capital Inc. | Barclays | wage and hour violation | 2009 | WHD | $9,707 |
Barclays Capital | Barclays | investor protection violation | 2017 | SEC | $97,037,659 |
Barclays Capital Inc. | Barclays | investor protection violation | 2017 | SEC | $12,710,040 |
Barclays Capital Inc. | Barclays | investor protection violation | 2016 | SEC | $500,000 |
Barclays Capital, Inc. | Barclays | toxic securities abuses | 2018 | USAO | $2,000,000,000 |
Barclays Bank PLC | Barclays | price-fixing or anti-competitive practices | 2016 | MULTI-AG | $100,000,000 |
Barclays Bank PLC | Barclays | toxic securities abuses | 2013 | MA-AG | $36,100,000 |
Barclays Capital Inc. | Barclays | investor protection violation | 2016 | NY-AG | $35,000,000 |
Barclays Capital Inc. | Barclays | toxic securities abuses | 2016 | VA-AG | $9,000,000 |
Barclays PLC | Barclays | price-fixing or anti-competitive practices | 2018 | DOJ_CRIMINAL | $12,896,011 |
Barclays PLC | Barclays | Foreign Corrupt Practices Act | 2019 | SEC | $6,308,726 |
Barclays plc | Barclays | economic sanction violation | 2010 | NY-MANDA | (*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $149,000,000 |
Barclays Bank PLC | Barclays | price-fixing or anti-competitive practices | 2015 | NY-DFS | $485,000,000 |
Barclays Bank PLC | Barclays | price-fixing or anti-competitive practices | 2015 | NY-DFS | $150,000,000 |
Barclays Bank PLC | Barclays | workplace whistleblower retaliation | 2018 | NY-DFS | $15,000,000 |
Barclays Capital Inc. | Barclays | investor protection violation | 2016 | FINRA | $1,300,000 |
Barclays Capital, Inc. | Barclays | investor protection violation | 2015 | FINRA | $13,750,000 |
Barclays Capital Inc. | Barclays | investor protection violation | 2014 | FINRA | $5,000,000 |
Barclays Capital Inc. | Barclays | investor protection violation | 2014 | FINRA | $1,000,000 |
Barclays Capital Inc. | Barclays | investor protection violation | 2013 | FINRA | $3,750,000 |
Barclays Capital Inc. | Barclays | investor protection violation | 2011 | FINRA | $3,000,000 |
Barclays Capital Inc. | Barclays | toxic securities abuses | 2021 | NM-AG | $4,642,857 |
Barclays Bank PLC | Barclays | investor protection violation | 2022 | CFTC | $75,000,000 |
Barclays Bank PLC | Barclays | investor protection violation | 2022 | SEC | $361,000,000 |
Barclays Capital Inc. | Barclays | investor protection violation | 2022 | SEC | $125,000,000 |
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 Bank PLC | Barclays | price-fixing or anti-competitive practices | 2018 | private lawsuit-federal | $120,000,000 |
Barclays Bank PLC | Barclays | price-fixing or anti-competitive practices | 2018 | private lawsuit-federal | $384,000,000 |
Barclays Bank PLC | Barclays | price-fixing or anti-competitive practices | 2018 | private lawsuit-federal | $30,000,000 |
Barclays Bank PLC | Barclays | price-fixing or anti-competitive practices | 2022 | private lawsuit-federal | $12,500,000 |
Barclays Bank PLC | Barclays | price-fixing or anti-competitive practices | 2018 | private lawsuit-federal | $29,000,000 |
Barclays Bank PLC | Barclays | price-fixing or anti-competitive practices | 2022 | private lawsuit-federal | $7,000,000 |
Barclays Capital Inc. | Barclays | price-fixing or anti-competitive practices | 2020 | private lawsuit-federal | $87,000,000 |
Barclays PLC | Barclays | price-fixing or anti-competitive practices | 2018 | private lawsuit-federal | $94,000,000 |
Barclays PLC | Barclays | price-fixing or anti-competitive practices | 2021 | private lawsuit-federal | $5,700,000 |
BarclaysPLC | Barclays | price-fixing or anti-competitive practices | 2016 | private lawsuit-federal | $155,333,333 |
Barclays Bank PLC | Barclays | price-fixing or anti-competitive practices | 2023 | private lawsuit-federal | $17,750,000 |
BCS Insurance Company | BCS Financial Corporation | insurance violation | 2016 | NY-DFS | $100,000 |
BCS Insurance Company | BCS Financial Corporation | insurance violation | 2017 | MULTI-FIN | $1,000,000 |
Berthel Fisher & Company | Berthel Fisher | investor protection violation | 2003 | MN-FIN | $10,000 |
Berthel Fisher & Company Financial Services, Inc. | Berthel Fisher | investor protection violation | 2007 | MO-SEC | $230,469 |
Berthel Fisher & Company Financial Services, Inc. | Berthel Fisher | investor protection violation | 2011 | MO-SEC | $5,000 |
Berthel Fisher & Company Financial Services, Inc. | Berthel Fisher | investor protection violation | 2013 | MO-SEC | $80,000 |
Berthel Fisher and Company Financial Services Inc. | Berthel Fisher | investor protection violation | 2003 | ND-SEC | $12,303 |
Berthel Fisher and Company Financial Services Inc. | Berthel Fisher | investor protection violation | 2004 | ND-SEC | $20,000 |
Berthel Fisher and Company Financial Services Inc. | Berthel Fisher | investor protection violation | 2006 | ND-SEC | $8,000 |
Berthel, Fisher & Company Financial Services, Inc. | Berthel Fisher | investor protection violation | 2007 | NE-DBF | $5,000 |
Berthel Fisher & Company Financial Services, Inc | Berthel Fisher | investor protection violation | 2019 | NH-BSR | $415,407 |
Berthel Fisher & Company Financial Services, Inc. | Berthel Fisher | investor protection violation | 2014 | FINRA | $775,000 |
Berthel Fisher & Company Financial Services, Inc. | Berthel Fisher | investor protection violation | 2021 | SEC | $389,425 |
BGC Financial, L.P. | BGC Partners | investor protection violation | 2019 | CFTC | $3,000,000 |
BGC Financial, LP | BGC Partners | investor protection violation | 2019 | CFTC | $15,000,000 |
GFI Securities, LLC | BGC Partners | investor protection violation | 2019 | CFTC | $10,000,000 |
BGC Financial LP | BGC Partners | price-fixing or anti-competitive practices | 2019 | NY-AG | $7,500,000 |
GFI Securities LLC | BGC Partners | price-fixing or anti-competitive practices | 2019 | NY-AG | $5,000,000 |
GFI Securities LLC | BGC Partners | investor protection violation | 2019 | SEC | $4,300,000 |
BGC Partners, Inc. | BGC Partners | investor protection violation | 2020 | SEC | $1,400,000 |
Binance Holdings Limited et al. | Binance Holdings | investor protection violation | 2023 | CFTC | (*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $2,700,000,000 |
Binance Holdings Limited | Binance Holdings | anti-money-laundering deficiencies | 2023 | DOJ_NATSEC | $4,316,126,163 |
Binance Holdings Limited, | Binance Holdings | anti-money-laundering deficiencies | 2023 | FINCEN | (*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $3,400,000,000 |
Binance Holdings, Ltd | Binance Holdings | economic sanction violation | 2023 | OFAC | (*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $968,618,825 |
BlackRock Advisors LLC | BlackRock | investor protection violation | 2015 | SEC | $12,000,000 |
BlackRock Institutional Trust Company NA | BlackRock | investor protection violation | 2012 | CFTC | $250,000 |
BlackRock Institutional Trust Company | BlackRock | investor protection violation | 2014 | SEC | $1,675,350 |
BlackRock Inc. | BlackRock | investor protection violation | 2017 | SEC | $340,000 |
Blackrock Fund Advisors | BlackRock | investor protection violation | 2017 | SEC | $1,500,000 |
State Street Research & Management Company | BlackRock | investor protection violation | 2005 | SEC | $585,743 |
State Street Research Investment Services, Inc. | BlackRock | investor protection violation | 2004 | FINRA | $1,500,000 |
BlackRock Institutional Trust Company, N.A. | BlackRock | benefit plan administrator violation | 2021 | private lawsuit-federal | $9,650,000 |
BlackRock Advisors, LLC | BlackRock | investor protection violation | 2023 | SEC | $2,500,000 |
Companion Life Insurance Co. | BlueCross BlueShield of South Carolina | insurance violation | 2019 | CO-INS | $147,775 |
Companion Life Insurance Co. | BlueCross BlueShield of South Carolina | insurance violation | 2016 | DE-INS | $487,000 |
Companion Life Insurance Co. | BlueCross BlueShield of South Carolina | insurance violation | 2017 | KS-INS | $100,000 |
Companion Life Insurance Co. | BlueCross BlueShield of South Carolina | insurance violation | 2012 | MT-FIN | $12,500 |
Companion Life Insurance Company | BlueCross BlueShield of South Carolina | insurance violation | 2013 | NY-DFS | $150,000 |
Companion Life Insurance Company | BlueCross BlueShield of South Carolina | insurance violation | 2016 | NY-DFS | $146,485 |
Companion Life Insurance Co. | BlueCross BlueShield of South Carolina | insurance violation | 2019 | NY-DFS | $648,122 |
Companion Life Insurance Company | BlueCross BlueShield of South Carolina | insurance violation | 2017 | SD-INS | $40,000 |
COMPANION LIFE INSURANCE CO. | BlueCross BlueShield of South Carolina | insurance violation | 2016 | VA-INS | $44,220 |
Companion Life Insurance Company | BlueCross BlueShield of South Carolina | insurance violation | 2019 | VT-FIN | $1,656,000 |
Companion Life Insurance Co. | BlueCross BlueShield of South Carolina | insurance violation | 2021 | MULTI-FIN | $5,000,000 |
BNP Paribas S.A. | BNP Paribas | economic sanction violation | 2015 | DOJ_CRIMINAL | $8,973,600,000 |
BNP Paribas Securities | BNP Paribas | investor protection violation | 2015 | CFTC | $140,000 |
BNP Paribas (Suisse) SA | BNP Paribas | tax violations | 2015 | DOJ_TAX | $59,783,000 |
BNP Paribas | BNP Paribas | False Claims Act and related | 2014 | DOJ_CIVIL | $80,000,000 |
BNP Paribas Commodity Futures, Ltd. | BNP Paribas | data submission deficiencies | 2008 | CFTC | $25,000 |
Cinergy Marketing & Trading, LP | BNP Paribas | data submission deficiencies | 2004 | CFTC | $3,000,000 |
BNP Paribas S.A. | BNP Paribas | price-fixing or anti-competitive practices | 2017 | FED | $246,000,000 |
BNP Paribas USA Inc. | BNP Paribas | price-fixing or anti-competitive practices | 2018 | DOJ_ANTITRUST | $90,000,000 |
BNP Paribas Securities Corp. | BNP Paribas | price-fixing or anti-competitive practices | 2018 | CFTC | $90,000,000 |
BNP Paribas S.A. | BNP Paribas | economic sanction violation | 2014 | NY-MANDA | (*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $2,243,400,000 |