Midfirst Bank | MidFirst Bank | banking violation | 2019 | OCC | $35,000 |
Morgan Stanley | Morgan Stanley | investor protection violation | 2019 | CA-AG | $150,000,000 |
MUFG Union Bank, National Association | U.S. Bancorp | banking violation | 2019 | OCC | $109,667 |
Mutual of Omaha Insurance Co. | Mutual of Omaha | consumer protection violation | 2019 | MA-AG | $25,000 |
Nomura Securities International Inc. | Nomura | investor protection violation | 2019 | SEC | $26,400,000 |
Ocwen Financial Corporation | Ocwen Financial | consumer protection violation | 2019 | ME-AG | $84,000 |
Ocwen Loan Servicing LLC | Ocwen Financial | mortgage abuses | 2019 | MA-AG | $2,000,000 |
Prudential Insurance Company Of America | Prudential Financial | benefit plan administrator violation | 2019 | private lawsuit-federal | $9,000,000 |
Santander Securities LLC | Banco Santander | consumer protection violation | 2019 | MA-AG | $100,000 |
State Street Bank and Trust Company | State Street Corp. | investor protection violation | 2019 | SEC | $88,780,000 |
State Street Corp. | State Street Corp. | consumer protection violation | 2019 | MA-AG | $53,500,000 |
Wedbush Securities Inc. | Wedbush Securities | investor protection violation | 2019 | SEC | $8,100,000 |
Wilmington Savings Fund Society, Federal Savings Bank | WSFS Financial Corp. | banking violation | 2019 | OCC | $85,265 |
World Acceptance Corporation | World Acceptance Corporation | wage and hour violation | 2019 | WHD | $5,549 |
World Acceptance Corporation, Inc | World Acceptance Corporation | wage and hour violation | 2019 | WHD | $6,582 |
BGC Financial, L.P. | BGC Partners | investor protection violation | 2019 | CFTC | $3,000,000 |
Wells Fargo Bank, N.A. | Wells Fargo | investor protection violation | 2019 | CFTC | $14,475,000 |
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 |
Morgan Stanley Capital Group Inc. | Morgan Stanley | investor protection violation | 2019 | CFTC | $1,500,000 |
PNC Bank, National Association | PNC Financial Services | investor protection violation | 2019 | CFTC | $300,000 |
Bank of New York Mellon | Bank of New York Mellon | investor protection violation | 2019 | CFTC | $750,000 |
NatWest Markets Plc | NatWest Group PLC | investor protection violation | 2019 | CFTC | $850,000 |
Northern Trust Company | Northern Trust | investor protection violation | 2019 | CFTC | $1,000,000 |
Societe Generale International Limited | Societe Generale | investor protection violation | 2019 | CFTC | $2,500,000 |
HSBC Bank USA, N.A. | HSBC | investor protection violation | 2019 | CFTC | $650,000 |
RBC Capital Markets, LLC | Royal Bank of Canada | investor protection violation | 2019 | CFTC | $5,000,000 |
Merrill Lynch, Pierce, Fenner & Smith Incorporated | Bank of America | investor protection violation | 2019 | CFTC | $300,000 |
HomeStreet Bank | HomeStreet Inc. | banking violation | 2019 | FDIC | $1,350,000 |
Vitol Inc. | Vitol | energy market violation | 2019 | FERC | $2,742,881 |
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 |
Citibank, N.A. | Citigroup | banking violation | 2019 | OCC | $30,000,000 |
Goldman Sachs | Goldman Sachs | employment discrimination | 2019 | OFCCP | $9,995,000 |
Wells Fargo Bank N.A. | Wells Fargo | employment discrimination | 2019 | OFCCP | $283,697 |
Bank of America | Bank of America | employment discrimination | 2019 | OFCCP | $4,200,000 |
Morgan Stanley Smith Barney LLC | Morgan Stanley | investor protection violation | 2019 | SEC | $1,545,758 |
Hilltop Securities Inc. and Hilltop Securities Independent Network Inc. | Hilltop Holdings | investor protection violation | 2019 | SEC | $810,785 |
Wedbush Securities Inc. | Wedbush Securities | investor protection violation | 2019 | SEC | $1,852,540 |
Virtu Americas LLC | Virtu Financial | investor protection violation | 2019 | SEC | $1,500,000 |
BMO Harris Financial Advisors Inc. and BMO Asset Management Corp. | Bank of Montreal | investor protection violation | 2019 | SEC | $37,980,000 |
Barclays PLC | Barclays | Foreign Corrupt Practices Act | 2019 | SEC | $6,308,726 |
GFI Securities LLC | BGC Partners | investor protection violation | 2019 | SEC | $4,300,000 |
Raymond James & Associates, Inc. et al. | Raymond James Financial | investor protection violation | 2019 | SEC | $15,000,000 |
Morgan Stanley Smith Barney, LLC | Morgan Stanley | investor protection violation | 2019 | SEC | $225,000 |
Stifel, Nicolaus & Co., Inc. | Stifel Financial | investor protection violation | 2019 | SEC | $2,700,000 |
BMO Capital Markets Corp. | Bank of Montreal | investor protection violation | 2019 | SEC | $1,950,000 |
Prudential Financial Inc. | Prudential Financial | investor protection violation | 2019 | SEC | $32,600,000 |
Great American Financial Resources, Inc. | American Financial Group | wage and hour violation | 2019 | private lawsuit-federal | $1,250,000 |
Fidelity Investments | Fidelity Investments | wage and hour violation | 2019 | private lawsuit-federal | $1,200,000 |
UniCredit Bank AG | UniCredit | economic sanction violation | 2019 | NY-MANDA | $316,000,000 |
UniCredit Bank Austria AG | UniCredit | economic sanction violation | 2019 | NY-MANDA | $20,000,000 |
Standard Chartered Bank | Standard Chartered | economic sanction violation | 2019 | NY-MANDA | $292,000,000 |
Wells Fargo Bank N.A. | Wells Fargo | wage and hour violation | 2019 | WHD | $57,675 |
JPMorgan Chase Bank, N.A. | JPMorgan Chase | employment discrimination | 2019 | private lawsuit-federal | $5,000,000 |
Edward D. Jones & Co., L.P. | Jones Financial | benefit plan administrator violation | 2019 | private lawsuit-federal | $3,175,000 |
JPMorgan Chase Bank, National Association | JPMorgan Chase | wage and hour violation | 2019 | private lawsuit-federal | $1,850,000 |
HSBC Private Bank (Suisse) SA | HSBC | tax violations | 2019 | USAO | $192,350,000 |
Goldman Sachs & Co. LLC | Goldman Sachs | investor protection violation | 2019 | CFTC | $1,000,000 |
Coutts & Co Ltd. | NatWest Group PLC | tax violations | 2019 | DOJ_TAX | $27,900,000 |
Allianz Global Risks U.S. Insurance Compan | Allianz | economic sanction violation | 2019 | OFAC | $170,535 |
ACE Limited | Chubb Limited | economic sanction violation | 2019 | OFAC | $66,212 |
Mutual of Omaha Bank | First Citizens BancShares | banking violation | 2019 | OCC | $98,415 |
MetLife, Inc. | MetLife | investor protection violation | 2019 | SEC | $10,000,000 |
LPL Financial LLC | LPL Financial | investor protection violation | 2019 | AK-DBS | $499,000 |
Marsh & McLennan Agency LLC | Marsh & McLennan | insurance violation | 2019 | AK-INS | $20,000 |
Marsh USA Inc. | Marsh & McLennan | insurance violation | 2019 | AK-INS | $30,000 |
Encompass Indemnity Co. and Encompass Insurance Company of America | Allstate | insurance violation | 2019 | AR-INS | $40,000 |
LPL Financial LLC | LPL Financial | investor protection violation | 2019 | AR-SEC | $40,000 |
Solium Financial Services LLC | Morgan Stanley | investor protection violation | 2019 | AR-SEC | $5,000 |
Wells Fargo Bank, N.A. and Wells Fargo Insurance, Inc. | Wells Fargo | insurance violation | 2019 | CA-INS | $5,345,816 |
Cash America Advance, Inc. | FirstCash | payday lending violation | 2019 | CA-DFPI | $10,000 |
SunTrust Mortgage, Inc. | Truist Financial | consumer protection violation | 2019 | CA-DFPI | $349,015 |
Ameritas Investment Corp. | Ameritas Mutual Holding Company | insurance violation | 2019 | CA-INS | $15,000 |
Oscar Health Plan of California | Oscar Health Inc. | insurance violation | 2019 | CA-MHC | $5,000 |
CitiMortgage, Inc. | Citigroup | consumer protection violation | 2019 | CA-DFPI | $7,800,000 |
Mercury Insurance Co. and Mercury Casualty Co. and California Automobile Insurance Co. | Mercury General Corporation | insurance violation | 2019 | CA-INS | $41,188,505 |
Oscar Health Plan of California | Oscar Health Inc. | insurance violation | 2019 | CA-MHC | $5,000 |
TitleMax of California, Inc. | TMX Finance | consumer protection violation | 2019 | CA-DFPI | $720,140 |
OneMain Financial Group, LLC | OneMain Holdings | consumer protection violation | 2019 | CA-DFPI | $150,000 |
National Western Life Insurance Co. | National Western Life | insurance violation | 2019 | CO-INS | $34,500 |
Companion Life Insurance Co. | BlueCross BlueShield of South Carolina | insurance violation | 2019 | CO-INS | $147,775 |
Permanent General Assurance Corp. | American Family Insurance | insurance violation | 2019 | CO-INS | $56,494 |
Permanent General Assurance Corporation of Ohio | American Family Insurance | insurance violation | 2019 | CO-INS | $50,974 |
Kemper Independence Insurance Co. | Kemper | insurance violation | 2019 | CT-INS | $134,000 |
Mid-Century Insurance Co. | Zurich Insurance | insurance violation | 2019 | CT-INS | $64,000 |
Voya Financial Advisors, Inc. fka ING Financial Partners, Inc. | Voya Financial | investor protection violation | 2019 | CT-SEC | $1,015,000 |
Massachusetts Mutual Life Insurance Company, Inc. | Massachusetts Mutual Life Insurance | insurance violation | 2019 | CT-INS | $61,000 |
Continental Western Insurance Co. | W.R. Berkley | insurance violation | 2019 | CT-INS | $23,000 |
National General Insurance Co. | Allstate | insurance violation | 2019 | CT-INS | $167,500 |
Berkshire Life Insurance Company of America | Guardian Life Insurance | insurance violation | 2019 | CT-INS | $7,500 |
Ameritas Life Insurance Corp. | Ameritas Mutual Holding Company | insurance violation | 2019 | CT-INS | $5,000 |
AIG Property Casualty Co. | American International Group | insurance violation | 2019 | CT-INS | $120,000 |
Continental American Insurance Co. | Aflac | insurance violation | 2019 | CT-INS | $10,000 |
Nationwide Life and Annuity Insurance Co. | Nationwide | insurance violation | 2019 | CT-INS | $16,500 |
Hartford Casualty Insurance Co. | Hartford Financial Services | insurance violation | 2019 | CT-INS | $57,500 |
Hartford Accident and Indemnity Co. | Hartford Financial Services | insurance violation | 2019 | CT-INS | $43,000 |
Property Casualty Insurance Company of Hartford | Hartford Financial Services | insurance violation | 2019 | CT-INS | $14,000 |
Trumbull Insurance Co. | Hartford Financial Services | insurance violation | 2019 | CT-INS | $141,500 |
Sentinel Insurance Co. | Hartford Financial Services | insurance violation | 2019 | CT-INS | $84,000 |
Heartland Payment Systems, LLC dba HPS Heartland Payroll Solutions, Inc. | Global Payments Inc. | consumer protection violation | 2019 | CT-BKG | $12,450 |