American Express Company | American Express | economic sanction violation | 2004 | OFAC | $5,500 |
Arab Banking Corp. | Arab Banking Corp. | economic sanction violation | 2004 | OFAC | $5,500 |
Bank of America | Bank of America | economic sanction violation | 2004 | OFAC | $13,573 |
Bank of China | Bank of China | economic sanction violation | 2004 | OFAC | $10,000 |
Bank of New York | Bank of New York Mellon | economic sanction violation | 2004 | OFAC | $137,500 |
Bank of New York | Bank of New York Mellon | economic sanction violation | 2004 | OFAC | $34,623 |
Bank of New York | Bank of New York Mellon | economic sanction violation | 2004 | OFAC | $27,500 |
Bank of New York | Bank of New York Mellon | economic sanction violation | 2004 | OFAC | $5,500 |
Bank One | JPMorgan Chase | economic sanction violation | 2004 | OFAC | $5,500 |
Bank One | JPMorgan Chase | economic sanction violation | 2004 | OFAC | $6,682 |
Barclays Bank PLC | Barclays | economic sanction violation | 2004 | OFAC | $14,970 |
California United Bank | PacWest Bancorp | economic sanction violation | 2004 | OFAC | $7,250 |
Citibank | Citigroup | economic sanction violation | 2004 | OFAC | $5,500 |
Citicorp Vendor Finance Ltd | Citigroup | economic sanction violation | 2004 | OFAC | $7,379 |
Commerzbank AG | Commerzbank | economic sanction violation | 2004 | OFAC | $5,500 |
Deutsche Bank | Deutsche Bank | economic sanction violation | 2004 | OFAC | $5,500 |
First Union Bank | Wells Fargo | economic sanction violation | 2004 | OFAC | $18,740 |
Hanmi Bank | Hanmi Financial Corp. | economic sanction violation | 2004 | OFAC | $7,000 |
HSBC Bank USA | HSBC | economic sanction violation | 2004 | OFAC | $5,500 |
HSBC Bank USA | HSBC | economic sanction violation | 2004 | OFAC | $8,375 |
JP Morgan Chase | JPMorgan Chase | economic sanction violation | 2004 | OFAC | $26,980 |
JP Morgan Chase & Co. | JPMorgan Chase | economic sanction violation | 2004 | OFAC | $17,303 |
JP Morgan Chase & Co. | JPMorgan Chase | economic sanction violation | 2004 | OFAC | $73,281 |
JP Morgan Chase Bank | JPMorgan Chase | economic sanction violation | 2004 | OFAC | $9,748 |
JP Morgan Chase Bank | JPMorgan Chase | economic sanction violation | 2004 | OFAC | $18,094 |
Mellon Bank N.A. | Bank of New York Mellon | economic sanction violation | 2004 | OFAC | $10,400 |
Merrill Lynch, Pierce, Fenner & Smith, Inc | Bank of America | economic sanction violation | 2004 | OFAC | $22,904 |
Ruesch International, Inc. | Western Union | economic sanction violation | 2004 | OFAC | $7,811 |
Santander Bank & Trust (Bahamas) Ltd | Banco Santander | economic sanction violation | 2004 | OFAC | $20,000 |
Wachovia Bank | Wells Fargo | economic sanction violation | 2004 | OFAC | $11,000 |
Old National Bank | Old National Bancorp | banking violation | 2004 | OCC | $12,500 |
Old National Bank | Old National Bancorp | banking violation | 2004 | OCC | $7,500 |
Riggs Bank National Association | PNC Financial Services | anti-money-laundering deficiencies | 2004 | OCC | $25,000,000 |
Edward D. Jones & Co., L.P. | Jones Financial | investor protection violation | 2004 | SEC | $75,000,000 |
Knight Securities, L.P. | Virtu Financial | investor protection violation | 2004 | SEC | $66,500,000 |
Franklin Advisers, Inc. and Franklin Templeton Distributors, Inc. | Franklin Resources | investor protection violation | 2004 | SEC | $20,000,000 |
American International Group, Inc. | American International Group | investor protection violation | 2004 | SEC | $46,000,000 |
Wachovia Corporation | Wells Fargo | investor protection violation | 2004 | SEC | $37,000,000 |
AIM Advisors, Inc. and AIM Distributors, Inc. | Invesco | investor protection violation | 2004 | SEC | $50,000,000 |
Invesco Funds Group, Inc. | Invesco | investor protection violation | 2004 | SEC | $325,000,000 |
TD Waterhouse Investor Services, Inc. | Toronto-Dominion Bank | investor protection violation | 2004 | SEC | $2,000,000 |
PA Fund Management LLC, PEA Capital LLC and PA Distributors LLC | Allianz | investor protection violation | 2004 | SEC | $11,600,000 |
Charles Schwab & Co., Inc. | Charles Schwab Corp. | investor protection violation | 2004 | SEC | $350,000 |
PA Fund Management LLC, PEA Capital LLC and PA Distributors LLC | Allianz | investor protection violation | 2004 | SEC | $50,000,000 |
Deutsche Bank Securities Inc. | Deutsche Bank | investor protection violation | 2004 | SEC | $87,500,000 |
Thomas Weisel Partners LLC | Stifel Financial | investor protection violation | 2004 | SEC | $12,500,000 |
Friedman, Billings, Ramsey & Co., Inc. | Arlington Asset Investment Corp. | investor protection violation | 2004 | SEC | $125,000 |
Janney Montgomery Scott LLC | Penn Mutual | investor protection violation | 2004 | SEC | $875,000 |
Morgan Keegan & Co., Inc. | Raymond James Financial | investor protection violation | 2004 | SEC | $875,000 |
Prudential Equity Group, LLC f/k/a Prudential Securities Inc. | Prudential Financial | investor protection violation | 2004 | SEC | $375,000 |
SG Cowen & Co., LLC f/k/a SG Cowen Securities Corporation | Toronto-Dominion Bank | investor protection violation | 2004 | SEC | $125,000 |
Janus Capital Management LLC | Janus Henderson | investor protection violation | 2004 | SEC | $100,000,000 |
Conseco, Inc. | CNO Financial | investor protection violation | 2004 | SEC | $15,000,000 |
Fidelity Brokerage Services, LLC | Fidelity Investments | investor protection violation | 2004 | SEC | $1,000,000 |
Franklin Advisers, Inc. | Franklin Resources | investor protection violation | 2004 | SEC | $50,000,000 |
Banc One Investment Advisors Corporation | JPMorgan Chase | investor protection violation | 2004 | SEC | $50,000,000 |
Wilmington Trust Company | M&T Bank | investor protection violation | 2004 | SEC | $125,000 |
Strong Capital Management, Inc. | Wells Fargo | investor protection violation | 2004 | SEC | $80,000,000 |
Putnam Investment Management LLC | Franklin Resources | investor protection violation | 2004 | SEC | $55,000,000 |
Massachusetts Financial Services Company | Sun Life Financial | investor protection violation | 2004 | SEC | $50,000,000 |
Spear, Leeds & Kellogg Specialists LLC | Goldman Sachs | investor protection violation | 2004 | SEC | $45,272,478 |
FleetBoston Financial Corporation | Bank of America | investor protection violation | 2004 | SEC | $140,000,000 |
Banc of America Securities LLC | Bank of America | investor protection violation | 2004 | SEC | $10,000,000 |
American Express Financial Advisors Inc. | Ameriprise Financial | investor protection violation | 2004 | SEC | $3,706,693 |
Legg Mason Wood Walker, Inc. | Franklin Resources | investor protection violation | 2004 | SEC | $2,315,467 |
Raymond James Financial Services, Inc. | Raymond James Financial | investor protection violation | 2004 | SEC | $2,595,129 |
UBS Financial Services Inc. | UBS | investor protection violation | 2004 | SEC | $4,621,768 |
Wachovia Securities, LLC | Wells Fargo | investor protection violation | 2004 | SEC | $4,844,465 |
Massachusetts Financial Services Co. | Sun Life Financial | investor protection violation | 2004 | SEC | $225,000,000 |
AmSouth | Regions Financial | anti-money-laundering deficiencies | 2004 | FINCEN | $10,000,000 |
Morgan Stanley | Morgan Stanley | employment discrimination | 2004 | EEOC | $54,000,000 |
National City Mortgage, Co. | PNC Financial Services | wage and hour violation | 2004 | WHD | $6,150 |
American Express Travel Related Services Comp | American Express | Family and Medical Leave Act | 2004 | WHD | $26,722 |
First Horizon National Corporation | First Horizon National | wage and hour violation | 2004 | WHD | $9,344 |
Ace America's Cash Express, Inc. | ACE Cash Express | wage and hour violation | 2004 | WHD | $26,295 |
Towers Perrin | Willis Towers Watson | wage and hour violation | 2004 | WHD | $376,093 |
Wells Fargo Bank, National Association | Wells Fargo | wage and hour violation | 2004 | WHD | $228,209 |
Bank of America Corporation | Bank of America | wage and hour violation | 2004 | WHD | $5,972 |
AON Consulting Corporation Inc | Aon | wage and hour violation | 2004 | WHD | $47,131 |
JPMorgan Chase Bank | JPMorgan Chase | wage and hour violation | 2004 | WHD | $19,373 |
Santander Mortgage Corporation | Banco Santander | wage and hour violation | 2004 | WHD | $62,895 |
Countrywide Financial Corporation | Bank of America | wage and hour violation | 2004 | WHD | $54,453 |
Sentry Insurance a Mutual Company | Sentry Insurance | wage and hour violation | 2004 | WHD | $46,524 |
Fidelity National Financial, Inc | Fidelity National Financial | wage and hour violation | 2004 | WHD | $7,945 |
Allied Home Mortgage | Americus Mortgage | wage and hour violation | 2004 | WHD | $14,037 |
Banco Popular North America, Inc. | Popular Inc. | wage and hour violation | 2004 | WHD | $17,363 |
Wachovia Bank | Wells Fargo | wage and hour violation | 2004 | WHD | $5,798,744 |
CINCINNATI BELL | Macquarie | labor relations violation | 2004 | NLRB | $39,200 |
AmSouth Bancorporation | Regions Financial | fraud | 2004 | USAO | $40,000,000 |
Ace America's Cash Express | ACE Cash Express | wage and hour violation | 2004 | CA-LCO | $75,000 |
Progressive | Progressive | wage and hour violation | 2004 | private lawsuit-federal | $5,400,000 |
Spencer Press of Maine | Chatham Asset Management | employment discrimination | 2004 | private lawsuit-federal | $480,552 |
R.R. Donnelley & Sons | Chatham Asset Management | employment discrimination | 2004 | private lawsuit-federal | $15,000,000 |
Donaldson, Lufkin & Jenrette Securities Corp. | UBS | investor protection violation | 2004 | SEC | $1,000,000 |
Goldman Sachs & Co. | Goldman Sachs | investor protection violation | 2004 | SEC | $2,000,000 |
Household International | HSBC | benefit plan administrator violation | 2004 | private lawsuit-federal | $46,500,000 |
AIM Advisors | Invesco | investor protection violation | 2004 | MULTI-AG | (*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $125,000,000 |
Allianz Dresdner Asset Management of America LP | Allianz | investor protection violation | 2004 | NJ-AG | $18,000,000 |
Banc of America Capital Management LLC et al. | Bank of America | investor protection violation | 2004 | 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. $375,000,000 |
Banc One Investment Advisors Corporation | JPMorgan Chase | investor protection violation | 2004 | 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. $90,000,000 |
CIT Technology Financing Services, Inc. | First Citizens BancShares | consumer protection violation | 2004 | NY-AG | $4,200,000 |