HANOVER INSURANCE GROUP | Hanover Insurance | environmental violation | 2002 | MA-ENV | $10,000 |
American Express Financial Advisors Inc. | Ameriprise Financial | investor protection violation | 2002 | FINRA | $350,000 |
Deutsche Bank Securities Inc. | Deutsche Bank | investor protection violation | 2002 | FINRA | (*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $1,650,000 |
Goldman, Sachs & Co. | Goldman Sachs | investor protection violation | 2002 | FINRA | (*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $1,650,000 |
Morgan Stanley & Co. Incorporated | Morgan Stanley | investor protection violation | 2002 | FINRA | (*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $1,650,000 |
Salomon Smith Barney Inc. | Morgan Stanley | investor protection violation | 2002 | FINRA | (*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $1,650,000 |
U.S. Bancorp Piper Jaffray Inc. | Piper Sandler | investor protection violation | 2002 | FINRA | (*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $1,650,000 |
Salomon Smith Barney | Morgan Stanley | investor protection violation | 2002 | FINRA | $5,000,000 |
U.S. Bancorp Piper Jaffray | Piper Sandler | investor protection violation | 2002 | FINRA | $250,000 |
Interactive Brokers, L.L.C. | Interactive Brokers Group | investor protection violation | 2002 | FINRA | $230,000 |
Credit Suisse First Boston Corporation | UBS | investor protection violation | 2002 | FINRA | (*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $50,000,000 |
Knight Securities L.P. | Virtu Financial | investor protection violation | 2002 | FINRA | $1,500,000 |
First American Financial Corp. | First American Financial | environmental violation | 2002 | CA-SCAQMD | $6,500 |
R.R. DONNELLEY & SONS COMPANY | Chatham Asset Management | workplace safety or health violation | 2002 | OSHA | $55,000 |
ALLSTATE | Allstate | workplace safety or health violation | 2002 | OSHA | $69,500 |
VITOL SA, INC | Vitol | environmental violation | 2002 | EPA | $95,000 |
Morgan Stanley Capital Group, Inc. | Morgan Stanley | environmental violation | 2002 | EPA | $7,500 |
A.G. Edwards & Sons, Inc. | Wells Fargo | data submission deficiencies | 2003 | CFTC | $45,000 |
Cleco Corporation | Macquarie | energy market violation | 2003 | FERC | $2,850,000 |
El Paso Electric Corporation | JPMorgan Chase | energy market violation | 2003 | FERC | $15,500,000 |
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 |
Bank of America | Bank of America | economic sanction violation | 2003 | OFAC | $158,038 |
Bank of New York | Bank of New York Mellon | economic sanction violation | 2003 | OFAC | $24,750 |
Barclays Bank PLC | Barclays | economic sanction violation | 2003 | OFAC | $10,107 |
Credit Lyonnais, NY | Credit Agricole | economic sanction violation | 2003 | OFAC | $5,500 |
Deutsche Bank A.G. | Deutsche Bank | economic sanction violation | 2003 | OFAC | $5,500 |
Guy Carpenter & Company, Inc | Marsh & McLennan | economic sanction violation | 2003 | OFAC | $50,000 |
HSBC Bank USA | HSBC | economic sanction violation | 2003 | OFAC | $5,500 |
HSBC Bank USA | HSBC | economic sanction violation | 2003 | OFAC | $11,000 |
National City Bank | PNC Financial Services | economic sanction violation | 2003 | OFAC | $5,500 |
Northern Trust, IBC | Northern Trust | economic sanction violation | 2003 | OFAC | $18,027 |
Societe Generale | Societe Generale | economic sanction violation | 2003 | OFAC | $6,600 |
Societe Generale | Societe Generale | economic sanction violation | 2003 | OFAC | $11,000 |
State Street Bank & Trust Co | State Street Corp. | economic sanction violation | 2003 | OFAC | $22,000 |
UBS (USA) Inc | UBS | economic sanction violation | 2003 | OFAC | $14,750 |
UBS (USA) Inc | UBS | economic sanction violation | 2003 | OFAC | $5,000 |
Union Bank of CA | U.S. Bancorp | economic sanction violation | 2003 | OFAC | $14,913 |
Union Bank of CA | U.S. Bancorp | economic sanction violation | 2003 | OFAC | $12,000 |
Wells Fargo Bank | Wells Fargo | economic sanction violation | 2003 | OFAC | $5,500 |
National City Bank | PNC Financial Services | banking violation | 2003 | OCC | $56,800 |
Canadian Imperial Bank of Commerce | Canadian Imperial Bank of Commerce | accounting fraud or deficiencies | 2003 | SEC | $80,000,000 |
Alliance Capital Management L.P. | Equitable Holdings | investor protection violation | 2003 | SEC | $250,000,000 |
Morgan Stanley DW Inc. | Morgan Stanley | investor protection violation | 2003 | SEC | $50,000,000 |
J.P. Morgan Securities Inc. | JPMorgan Chase | investor protection violation | 2003 | SEC | $25,000,000 |
American International Group, Inc. | American International Group | accounting fraud or deficiencies | 2003 | SEC | $10,000,000 |
Goldman Sachs | Goldman Sachs | investor protection violation | 2003 | SEC | $9,305,382 |
Massachusetts Financial Services Company | Sun Life Financial | investor protection violation | 2003 | SEC | $917,858 |
UBS PaineWebber, Inc. | UBS | investor protection violation | 2003 | SEC | $500,000 |
Deutsche Asset Management, Inc. | Deutsche Bank | investor protection violation | 2003 | SEC | $750,000 |
SG Cowen Securities Corporation | Toronto-Dominion Bank | investor protection violation | 2003 | SEC | $5,000,000 |
Citigroup, Inc. | Citigroup | accounting fraud or deficiencies | 2003 | SEC | $101,000,000 |
Citigroup, Inc. | Citigroup | accounting fraud or deficiencies | 2003 | SEC | $19,000,000 |
J.P. Morgan Chase & Co. | JPMorgan Chase | accounting fraud or deficiencies | 2003 | SEC | $135,000,000 |
Prudential Securities, Inc. | Wells Fargo | investor protection violation | 2003 | SEC | $382,000 |
Bear, Stearns & Co. Inc. | JPMorgan Chase | investor protection violation | 2003 | SEC | $80,000,000 |
Citigroup Global Markets Inc. f/k/a Salomon Smith Barney Inc. | Citigroup | investor protection violation | 2003 | SEC | $400,000,000 |
Credit Suisse First Boston LLC | UBS | investor protection violation | 2003 | SEC | $200,000,000 |
Goldman, Sachs & Co. | Goldman Sachs | investor protection violation | 2003 | SEC | $110,000,000 |
J.P. Morgan Securities Inc. | JPMorgan Chase | investor protection violation | 2003 | SEC | $80,000,000 |
Merrill Lynch, Pierce, Fenner & Smith, Incorporated | Bank of America | investor protection violation | 2003 | SEC | $200,000,000 |
Morgan Stanley & Co. Incorporated | Morgan Stanley | investor protection violation | 2003 | SEC | $125,000,000 |
U.S. Bancorp Piper Jaffray Inc. | Piper Sandler | investor protection violation | 2003 | SEC | $32,500,000 |
UBS Warburg LLC | UBS | investor protection violation | 2003 | SEC | $80,000,000 |
Merrill Lynch & Co. Inc. | Bank of America | accounting fraud or deficiencies | 2003 | SEC | $80,000,000 |
Allied Home Mortgage Capital Corporation | Americus Mortgage | consumer protection violation | 2003 | HUD | $370,000 |
Household International | HSBC | wage and hour violation | 2003 | WHD | $54,328 |
Bear Stearns Companies Inc. | JPMorgan Chase | wage and hour violation | 2003 | WHD | $358,974 |
Alliance Data Systems, Inc. | Bread Financial Holdings | wage and hour violation | 2003 | WHD | $40,320 |
Piccari Press, Inc. | Chatham Asset Management | labor relations violation | 2003 | NLRB | $10,000 |
Banco Popular de Puerto Rico | Popular Inc. | anti-money-laundering deficiencies | 2003 | DOJ_CRIMINAL | $21,600,000 |
Credit Lyonnais | Credit Agricole | fraud | 2003 | USAO | $100,000,000 |
H & R Block | H&R Block | wage and hour violation | 2003 | CA-LCO | $12,000 |
Bank of America | Bank of America | wage and hour violation | 2003 | private lawsuit-state | $4,100,000 |
Metropolitan Life | MetLife | employment discrimination | 2003 | private lawsuit-federal | $10,000,000 |
R.R. Donnelley & Sons | Chatham Asset Management | employment discrimination | 2003 | private lawsuit-federal | $15,000,000 |
Brut, LLC | Nasdaq Inc. | investor protection violation | 2003 | SEC | $45,000 |
Spear, Leeds & Kellogg, L.P. | Goldman Sachs | investor protection violation | 2003 | SEC | $450,000 |
Providian Financial Corp. | JPMorgan Chase | benefit plan administrator violation | 2003 | private lawsuit-federal | $8,600,000 |
Alliance Capital Management | Equitable Holdings | investor protection violation | 2003 | NY-AG | (*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $600,000,000 |
Allstate | Allstate | consumer protection violation | 2003 | TX-AG | $3,440,000 |
Allstate Insurance Co. | Allstate | privacy violation | 2003 | PA-AG | $10,000 |
American Express Co. | American Express | consumer protection violation | 2003 | NY-AG | $3,285,000 |
Bankers Life and Casualty Co. | CNO Financial | privacy violation | 2003 | KS-AG | $15,000 |
Farmers Insurance Group | Zurich Insurance | consumer protection violation | 2003 | TX-AG | $2,400,000 |
First Niagara Bank | KeyCorp | consumer protection violation | 2003 | NY-AG | $33,500 |
H&R Block | H&R Block | consumer protection violation | 2003 | MULTI-AG | $3,300,000 |
United American Insurance Co. | Globe Life Inc. | consumer protection violation | 2003 | CT-AG | $45,000 |
US Bank NA | U.S. Bancorp | consumer protection violation | 2003 | NY-AG | $33,500 |
USAA Federal Savings Bank | USAA | consumer protection violation | 2003 | NY-AG | $33,500 |
Wells Fargo Financial Bank | Wells Fargo | consumer protection violation | 2003 | NY-AG | $33,500 |
Citigroup, Inc. | Citigroup | accounting fraud or deficiencies | 2003 | NY-MANDA | $25,000,000 |
J.P. Morgan Chase & Co. | JPMorgan Chase | accounting fraud or deficiencies | 2003 | NY-MANDA | $25,000,000 |
Wells Fargo Home Mortgage, Inc. | Wells Fargo | consumer protection violation | 2003 | CA-SCCDA | $25,000 |
Wells Fargo Financial Texas, Inc. | Wells Fargo | employment discrimination | 2003 | EEOC | $110,000 |
Edward D. Jones and Co.,LP | Jones Financial | investor protection violation | 2003 | AK-DBS | $11,000 |
Federal Insurance Co. et al. | Chubb Limited | insurance violation | 2003 | CA-INS | $403,652 |
State Farm Mutual Automobile Insurance Co. | State Farm Insurance | insurance violation | 2003 | CA-INS | $250,000 |
The Tokio Marine and Fire Insurance Company, Ltd. and Trans Pacific Insurance Co. | Tokio Marine | insurance violation | 2003 | CA-INS | $42,500 |
Liberty Mutual Insurance Group | Liberty Mutual Insurance | insurance violation | 2003 | CA-INS | $215,000 |
American International Insurance Co. and AIG National Insurance Company, Inc. | American International Group | insurance violation | 2003 | FL-OFR | $66,750 |