Merrill Lynch, Pierce, Fenner & Smith Inc. | Bank of America | investor protection violation | 2011 | FINRA | $1,000,000 |
Raymond James & Associates, Inc. and Raymond James Financial Services, Inc. | Raymond James Financial | investor protection violation | 2011 | FINRA | $2,115,000 |
Citigroup Global Markets, Inc. | Citigroup | investor protection violation | 2011 | FINRA | $500,000 |
SunTrust Robinson Humphrey, Inc. | Truist Financial | investor protection violation | 2011 | FINRA | $5,000,000 |
Northern Trust Securities | Northern Trust | investor protection violation | 2011 | FINRA | $600,000 |
Credit Suisse Securities (USA) LLC | UBS | investor protection violation | 2011 | FINRA | $4,500,000 |
Merrill Lynch | Bank of America | investor protection violation | 2011 | FINRA | $3,000,000 |
Nuveen Investments, LLC | TIAA | investor protection violation | 2011 | FINRA | $3,000,000 |
Wells Fargo Advisors, LLC | Wells Fargo | investor protection violation | 2011 | FINRA | $1,000,000 |
Santander Securities of Puerto Rico | Banco Santander | investor protection violation | 2011 | FINRA | $2,000,000 |
UBS Financial Services, Inc. | UBS | investor protection violation | 2011 | FINRA | $10,750,000 |
Southwest Securities, Inc. | Hilltop Holdings | investor protection violation | 2011 | FINRA | $650,000 |
Southwest Securities, Inc. | Hilltop Holdings | investor protection violation | 2011 | FINRA | $500,000 |
Lincoln Financial Securities, Inc. and Lincoln Financial Advisors Corporation | Lincoln National | investor protection violation | 2011 | FINRA | $600,000 |
Charles Schwab & Company, Inc. | Charles Schwab Corp. | investor protection violation | 2011 | FINRA | $18,000,000 |
Bank of America Corp. | Bank of America | workplace whistleblower retaliation | 2011 | OSHA | $930,000 |
Mercury Air Centers | Macquarie | environmental violation | 2011 | CA-SCAQMD | $5,500 |
El Paso Electric Company | JPMorgan Chase | utility service violation | 2011 | TX-PUC | $18,000 |
El Paso Electric Company | JPMorgan Chase | utility service violation | 2011 | TX-PUC | $18,000 |
El Paso Electric Company | JPMorgan Chase | utility service violation | 2011 | TX-PUC | $27,000 |
Morgan Stanley & Co. LLC | Morgan Stanley | price-fixing or anti-competitive practices | 2011 | private lawsuit-federal | $6,500,000 |
Allianz Life Insurance Company of North America | Allianz | consumer protection violation | 2011 | private lawsuit-federal | $68,000,000 |
Bank of America N.A. | Bank of America | consumer protection violation | 2011 | private lawsuit-federal | $410,000,000 |
Bank of America, N.A. | Bank of America | consumer protection violation | 2011 | private lawsuit-federal | $9,950,000 |
Countrywide Financial Corporation | Bank of America | consumer protection violation | 2011 | private lawsuit-federal | $34,000,000 |
Charles Schwab Corp. | Charles Schwab Corp. | consumer protection violation | 2011 | private lawsuit-federal | $235,000,000 |
Conseco Insurance Company | CNO Financial | consumer protection violation | 2011 | private lawsuit-federal | $3,000,000 |
Fifth Third Bank | Fifth Third Bancorp | consumer protection violation | 2011 | private lawsuit-federal | $9,500,000 |
Chase Bank USA, N.A. | JPMorgan Chase | consumer protection violation | 2011 | private lawsuit-federal | $7,800,000 |
Chase Bank USA, N.A. | JPMorgan Chase | consumer protection violation | 2011 | private lawsuit-federal | $4,900,000 |
Washington Mutual | JPMorgan Chase | consumer protection violation | 2011 | private lawsuit-federal | $8,736,000 |
Wells Fargo Bank N.A. | Wells Fargo | consumer protection violation | 2011 | private lawsuit-federal | $125,000,000 |
Farmers Insurance Company | Zurich Insurance | consumer protection violation | 2011 | private lawsuit-federal | $10,975,000 |
Bank Of America | Bank of America | wage and hour violation | 2011 | MI-LEO | $5,000 |
Huntington National Bank | Huntington Bancshares | wage and hour violation | 2011 | MI-LEO | $11,434 |
Jackson National Life Distributors Inc | Jackson Financial | wage and hour violation | 2011 | MI-LEO | $10,716 |
Citizens Bank | Citizens Financial Group | wage and hour violation | 2011 | MI-LEO | $8,169 |
EL PASO ELECTRIC COMPANY | JPMorgan Chase | workplace safety or health violation | 2011 | OSHA | $18,300 |
FIDELITY INVESTMENTS INSTITUTIONAL OPERATIONS, INC | Fidelity Investments | workplace safety or health violation | 2011 | OSHA | $7,000 |
IMPERIAL SUGAR COMPANY; IMPERIAL-SAVANNAH, L.P. | Louis Dreyfus | workplace safety or health violation | 2011 | OSHA | $13,600 |
BANK OF AMERICA | Bank of America | workplace safety or health violation | 2011 | OSHA | $6,600 |
THE HARTFORD FINANCIAL SERVICES GROUP, INC. | Hartford Financial Services | workplace safety or health violation | 2011 | OSHA | $5,600 |
IFCO SYSTEMS NORTH AMERICA, INC. | Triton Investments Advisers | workplace safety or health violation | 2011 | OSHA | $5,950 |
RR DONNELLEY | Chatham Asset Management | workplace safety or health violation | 2011 | OSHA | $6,400 |
RR DONNELLEY | Chatham Asset Management | workplace safety or health violation | 2011 | OSHA | $12,435 |
WHEELABRATOR ENERGY COMPANY, INCORPORATED | Macquarie | workplace safety or health violation | 2011 | OSHA | $15,000 |
IFCO SYSTEMS NORTH AMERICA INC. | Triton Investments Advisers | workplace safety or health violation | 2011 | OSHA | $73,950 |
IFCO SYSTEMS NORTH AMERICA INC | Triton Investments Advisers | workplace safety or health violation | 2011 | OSHA | $8,000 |
IAC SPARTANBURG | Invesco | workplace safety or health violation | 2011 | OSHA | $7,277 |
IFCO SYSTEMS | Triton Investments Advisers | workplace safety or health violation | 2011 | OSHA | $5,000 |
IAC GROUP NORTH AMERICA ANNISTON PLANT, LLC | Invesco | workplace safety or health violation | 2011 | OSHA | $5,850 |
RR DONNELLEY RENO OFFSET | Chatham Asset Management | workplace safety or health violation | 2011 | OSHA | $5,024 |
COMMUNICORP INC. | Aflac | workplace safety or health violation | 2011 | OSHA | $9,900 |
UNUM GROUP CORPORATION | Unum | workplace safety or health violation | 2011 | OSHA | $5,400 |
IAC HURON, LLC | Invesco | workplace safety or health violation | 2011 | OSHA | $20,940 |
Nyrstar Tennessee Mines, Strawberry Plains LLC | Trafigura | workplace safety or health violation | 2011 | MSHA | $12,790 |
Nyrstar Tennessee Mines - Gordonsville, LLC | Trafigura | workplace safety or health violation | 2011 | MSHA | $13,268 |
Nyrstar Tennessee Mines - Gordonsville, LLC | Trafigura | workplace safety or health violation | 2011 | MSHA | $12,248 |
Nyrstar Tennessee Mines - Gordonsville, LLC | Trafigura | workplace safety or health violation | 2011 | MSHA | $13,510 |
Nyrstar Tennessee Mines - Gordonsville, LLC | Trafigura | workplace safety or health violation | 2011 | MSHA | $5,080 |
Nyrstar Tennessee Mines - Gordonsville, LLC | Trafigura | workplace safety or health violation | 2011 | MSHA | $5,016 |
Imperial Sugar Company | Louis Dreyfus | workplace safety or health violation | 2010 | OSHA | $6,050,000 |
BUCKEYE PARTNERS LP | IFM Investors | environmental violation | 2010 | PHMSA | $402,500 |
BUCKEYE PARTNERS LP | IFM Investors | environmental violation | 2010 | PHMSA | $100,000 |
East Penn Railroad | 3i Infrastructure PLC | railroad safety violation | 2010 | FRA | $6,200 |
Nyrstar Clarksville, Inc. | Trafigura | railroad safety violation | 2010 | FRA | $5,000 |
Buckeye Pipe Line Co. | IFM Investors | environmental violation | 2010 | EPA | $78,780 |
Bank of America | Bank of America | price-fixing or anti-competitive practices | 2010 | DOJ_ANTITRUST | $137,300,000 |
Countrywide Home Loans, Inc. and BAC Home Loans Servicing LP | Bank of America | consumer protection violation | 2010 | FTC | $108,000,000 |
1st Financial Bank USA | 1st Financial Bank USA | banking violation | 2010 | FDIC | $10,140,000 |
Woodforest National Bank | Woodforest National Bank | banking violation | 2010 | OCC | $33,000,000 |
City National Bank | Royal Bank of Canada | banking violation | 2010 | OCC | $5,250 |
Wachovia Bank N.A. | Wells Fargo | banking violation | 2010 | OCC | $50,000,000 |
Wachovia Bank | Wells Fargo | anti-money-laundering deficiencies | 2010 | FINCEN | $110,000,000 |
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 |
Citigroup Inc. | Citigroup | toxic securities abuses | 2010 | SEC | $75,000,000 |
Goldman Sachs & Co. | Goldman Sachs | toxic securities abuses | 2010 | SEC | $550,000,000 |
Bank of America | Bank of America | investor protection violation | 2010 | SEC | $150,000,000 |
Morgan Stanley Capital Group | Morgan Stanley | data submission deficiencies | 2010 | CFTC | $14,000,000 |
UBS Securities | UBS | data submission deficiencies | 2010 | CFTC | $200,000 |
PrimeLending | Hilltop Holdings | mortgage abuses | 2010 | DOJ_RIGHTS | $2,000,000 |
Deutsche Bank AG | Deutsche Bank | tax violations | 2010 | USAO | $553,633,153 |
Balli Aviation Ltd. and Balli Group PLC | Balli Group | export control violation | 2010 | BIS | $15,000,000 |
Nelnet Inc. | Nelnet | False Claims Act and related | 2010 | DOJ_CIVIL | $47,000,000 |
Regions Bank | Regions Financial | investor protection violation | 2010 | SEC | $1,000,001 |
U.S. Pension Trust Corp. and U.S. College Trust Corp. | U.S. Pension Trust Corp. | investor protection violation | 2010 | SEC | $112,600,000 |
State Street Bank and Trust Company | State Street Corp. | investor protection violation | 2010 | SEC | $313,300,000 |
Assurant Inc. | Assurant | accounting fraud or deficiencies | 2010 | SEC | $3,500,000 |
Vitol Inc. and Vitol Capital Management Ltd. | Vitol | investor protection violation | 2010 | CFTC | $6,000,000 |
Noble Americas Corp. | Vitol | investor protection violation | 2010 | CFTC | $130,000 |
UBS AG | UBS | investor protection violation | 2010 | CFTC | $130,000 |
Scotia Capital Inc. | Scotiabank | investor protection violation | 2010 | CFTC | $250,000 |
AIG Federal Savings Bank and Wilmington Finance Inc. | American International Group | discriminatory practices (non-employment) | 2010 | DOJ_RIGHTS | $6,100,000 |
Balli Aviation Ltd. | Balli Group | export control violation | 2010 | DOJ_NATSEC | $2,000,000 |
Vanguard Group | Vanguard Group | employment discrimination | 2010 | EEOC | $300,000 |
Branch Banking and Trust (BB&T) | Truist Financial | employment discrimination | 2010 | EEOC | $24,000 |
Mercury Air Centers Inc. | Macquarie | employment discrimination | 2010 | EEOC | $600,000 |
Simmons First National Bank | Simmons First National Corp. | employment discrimination | 2010 | OFCCP | $360,187 |
Farmer's Group, Inc. | Zurich Insurance | wage and hour violation | 2010 | WHD | $565,065 |
State Farm Mutual Automobile Insurance Compan | State Farm Insurance | Family and Medical Leave Act | 2010 | WHD | $27,787 |