Charles Schwab & Co. | Charles Schwab Corp. | investor protection violation | 2015 | FINRA | $2,000,000 |
Charles Schwab & Co, Inc. | Charles Schwab Corp. | investor protection violation | 2004 | FINRA | $60,869 |
Charles Schwab | Charles Schwab Corp. | wage and hour violation | 2014 | private lawsuit-federal | $3,800,000 |
Champion Mortgage and KeyBank | KeyCorp | wage and hour violation | 2009 | private lawsuit-federal | $1,200,000 |
Central Payment Co., LLC | Global Payments Inc. | wage and hour violation | 2014 | WHD | $29,634 |
Central Payment Co., LLC | Global Payments Inc. | wage and hour violation | 2014 | WHD | $13,560 |
Central Payment Co. | Global Payments Inc. | consumer protection violation | 2022 | private lawsuit-federal | $84,000,000 |
CCO Investment Services Corp. | Citizens Financial Group | investor protection violation | 2007 | NH-BSR | $375,000 |
CCO Investment Services Corp. | Citizens Financial Group | investor protection violation | 2006 | FINRA | $850,000 |
Catlin Insurance Company Inc. | AXA | insurance violation | 2013 | SD-INS | $5,000 |
Catlin Insurance Company Inc. | AXA | insurance violation | 2018 | UT-INS | $100,000 |
CATHAY BANK | Cathay General Bancorp | banking violation | 2008 | FDIC | $55,500 |
CATHAY BANK | Cathay General Bancorp | banking violation | 2011 | FDIC | $17,710 |
CashCall, Inc., WS Funding, LLC, and Delbert Services Corporation | CashCall Inc. | consumer protection violation | 2016 | CO-AG | $7,384,005 |
CashCall, Inc., Western Sky Financial, LLC, WS Funding, LLC | CashCall Inc. | payday lending violation | 2016 | FL-OFR | $500,000 |
CashCall, Inc. and WS Funding LLC | CashCall Inc. | consumer protection violation | 2022 | AZ-AG | $4,800,000 |
CashCall, Inc. and Western Sky Financial, LLC et al. | CashCall Inc. | payday lending violation | 2014 | MD-FIN | $100,018 |
CashCall, Inc. and Western Sky Financial L.L.C. | CashCall Inc. | payday lending violation | 2014 | CT-BKG | $400,000 |
CashCall, Inc. | CashCall Inc. | consumer protection violation | 2016 | MN-AG | $11,700,000 |
CashCall, Inc. | CashCall Inc. | consumer protection violation | 2017 | VA-AG | $15,335,000 |
CashCall, Inc. | CashCall Inc. | payday lending violation | 2017 | AZ-DIFI | $250,000 |
CashCall, Inc. | CashCall Inc. | payday lending violation | 2015 | CA-DFPI | $1,000,000 |
CashCall, Inc. | CashCall Inc. | consumer protection violation | 2019 | NH-BKG | $188,880 |
CashCall, Inc. | CashCall Inc. | consumer protection violation | 2017 | OK-DCC | $1,000,000 |
CashCall, Inc. | CashCall Inc. | consumer protection violation | 2014 | WA-FIN | $6,390,670 |
CashCall Inc., WS Funding | CashCall Inc. | consumer protection violation | 2017 | DC-AG | $2,962,573 |
CashCall Inc. et al. | CashCall Inc. | consumer protection violation | 2014 | PA-BKG | $1,000,000 |
CashCall Inc. and WS Funding LLC | CashCall Inc. | consumer protection violation | 2019 | NH-BKG | $188,800 |
CashCall Inc. and Delbert Service Corporation | CashCall Inc. | consumer protection violation | 2017 | private lawsuit-federal | $14,435,000 |
CashCall Inc. | CashCall Inc. | consumer protection violation | 2014 | IA-AG | $1,500,000 |
CashCall Inc. | CashCall Inc. | consumer protection violation | 2015 | WV-AG | $13,000,000 |
CashCall Inc. | CashCall Inc. | consumer protection violation | 2017 | SC-FIN | $9,650,000 |
CashCall and Western Sky | CashCall Inc. | consumer protection violation | 2016 | NC-AG | $9,000,000 |
Cash Call Inc. and Western Sky Financial LLC | CashCall Inc. | consumer protection violation | 2015 | WA-FIN | $2,000,000 |
Cash America West, Inc. and First Cash, Inc. | FirstCash | wage and hour violation | 2022 | WA-SOLS | $383,873 |
Cash America International, Inc. | FirstCash | consumer protection violation | 2015 | KY-FIN | $116,998 |
Cash America International Inc. | FirstCash | payday lending violation | 2013 | CFPB | $19,000,000 |
Cash America Advance, Inc. | FirstCash | payday lending violation | 2019 | CA-DFPI | $10,000 |
CASH AMERICA | FirstCash | workplace safety or health violation | 2016 | OSHA | $8,500 |
Carolina Coastal Railway, Inc. | 3i Infrastructure PLC | railroad safety violation | 2021 | FRA | $8,000 |
Carolina Coastal Railway, Inc. | 3i Infrastructure PLC | railroad safety violation | 2021 | FRA | $8,853 |
Carolina Coastal Railway | 3i Infrastructure PLC | railroad safety violation | 2014 | FRA | $5,250 |
Carolina Coastal Railway | 3i Infrastructure PLC | railroad safety violation | 2012 | FRA | $5,000 |
CAROLINA CASUALTY INSURANCE CO | W.R. Berkley | insurance violation | 2011 | VA-INS | $10,000 |
CAROLINA CASUALTY INSURANCE CO | W.R. Berkley | insurance violation | 2012 | VA-INS | $5,000 |
Carl Ostach | IFM Investors | environmental violation | 2021 | EPA | $153,637 |
Capital One, National Association | Capital One Financial | banking violation | 2014 | OCC | $4,000,000 |
Capital One, National Association | Capital One Financial | banking violation | 2009 | OCC | $125,000 |
Capital One, National Association | Capital One Financial | anti-money-laundering deficiencies | 2021 | FINCEN | $290,000,000 |
Capital One, N.A. | Capital One Financial | consumer protection violation | 2022 | CA-MULTI | $2,000,000 |
Capital One, N.A. | Capital One Financial | consumer protection violation | 2015 | private lawsuit-federal | $4,724,638 |
CAPITAL ONE NATIONAL ASSOCIATION | Capital One Financial | environmental violation | 2010 | TX-ENV | $8,400 |
Capital One N.A. | Capital One Financial | consumer protection violation | 2012 | DOJ_RIGHTS | $12,000,000 |
Capital One N.A. | Capital One Financial | consumer protection violation | 2021 | private lawsuit-federal | $13,000,000 |
Capital One N.A. | Capital One Financial | consumer protection violation | 2015 | private lawsuit-federal | $7,334,000 |
Capital One N.A. | Capital One Financial | consumer protection violation | 2015 | private lawsuit-federal | $31,767,200 |
Capital One N.A. | Capital One Financial | consumer protection violation | 2014 | private lawsuit-federal | $20,350,000 |
Capital One N.A. | Capital One Financial | consumer protection violation | 2014 | private lawsuit-federal | $3,062,400 |
Capital One N.A. | Capital One Financial | consumer protection violation | 2013 | private lawsuit-federal | $10,000,000 |
Capital One Financial Corporation | Capital One Financial | accounting fraud or deficiencies | 2013 | SEC | $3,500,000 |
Capital One Financial Corp. | Capital One Financial | consumer protection violation | 2019 | private lawsuit-federal | $900,000 |
Capital One Bank (USA), National Association | Capital One Financial | banking violation | 2012 | OCC | $35,000,000 |
Capital One Bank (USA), National Association | Capital One Financial | anti-money-laundering deficiencies | 2018 | OCC | $100,000,000 |
Capital One Bank (USA), National Association | Capital One Financial | banking violation | 2020 | OCC | $80,000,000 |
Capital One Bank (USA) N.A. | Capital One Financial | bankruptcy professional violation | 2011 | DOJ_UTP | $2,350,000 |
Capital One Bank (U.S.A.), N.A. | Capital One Financial | consumer protection violation | 2012 | CFPB | $165,000,000 |
Capital One Bank | Capital One Financial | banking violation | 2005 | WI-AG | $80,032 |
Capital One Bank | Capital One Financial | discriminatory practices (non-employment) | 2022 | DOJ_RIGHTS | $49,728 |
Capital One Bank | Capital One Financial | privacy violation | 2022 | private lawsuit-federal | $95,000,000 |
Capital One | Capital One Financial | wage and hour violation | 2015 | private lawsuit-federal | $3,000,000 |
Capital One | Capital One Financial | wage and hour violation | 2012 | private lawsuit-federal | $3,200,000 |
Capital One | Capital One Financial | consumer protection violation | 2015 | MO-AG | $740,000 |
Capital One | Capital One Financial | privacy violation | 2015 | private lawsuit-federal | $73,000,000 |
Capital City Mortgage Corporation | Capital City Bank Group | consumer protection violation | 2005 | FTC | $750,000 |
Capital City Bank | Capital City Bank Group | banking violation | 2007 | FED | $85,045 |
Cantor Fitzgerald & Co. | Cantor Fitzgerald | investor protection violation | 2011 | CFTC | $100,000 |
Cantor Fitzgerald & Co. | Cantor Fitzgerald | investor protection violation | 2018 | SEC | $1,250,000 |
Cantor Fitzgerald & Co. | Cantor Fitzgerald | investor protection violation | 2019 | SEC | $647,000 |
Cantor Fitzgerald & Co. | Cantor Fitzgerald | investor protection violation | 2020 | SEC | $3,200,000 |
Cantor Fitzgerald & Co. | Cantor Fitzgerald | investor protection violation | 2019 | FINRA | $2,000,000 |
Cantor Fitzgerald & Co. | Cantor Fitzgerald | investor protection violation | 2015 | FINRA | $7,300,000 |
Cantor Fitzgerald & Co. | Cantor Fitzgerald | investor protection violation | 2022 | SEC | $10,000,000 |
Cantor Fitzgerald & Co. | Cantor Fitzgerald | price-fixing or anti-competitive practices | 2020 | private lawsuit-federal | $20,833,333 |
Cantor Fitzgerald & Co. | Cantor Fitzgerald | investor protection violation | 2023 | SEC | $1,400,000 |
Cantor Fitzgerald | Cantor Fitzgerald | investor protection violation | 2012 | CFTC | $700,000 |
Cantor Fitzgerald | Cantor Fitzgerald | investor protection violation | 2022 | CFTC | $6,000,000 |
Canadian Imperial Bank of Commerce | Canadian Imperial Bank of Commerce | investor protection violation | 2005 | SEC | $125,000,000 |
Canadian Imperial Bank of Commerce | Canadian Imperial Bank of Commerce | accounting fraud or deficiencies | 2003 | SEC | $80,000,000 |
Canadian Imperial Bank of Commerce | Canadian Imperial Bank of Commerce | investor protection violation | 2005 | 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. $125,000,000 |
California United Bank | PacWest Bancorp | economic sanction violation | 2004 | OFAC | $7,250 |
Cadence Bank, National Association | Cadence Bank | banking violation | 2021 | OCC | $3,000,000 |
Cadence Bank N.A. | Cadence Bank | discriminatory practices (non-employment) | 2021 | DOJ_RIGHTS | $5,545,000 |
Cadence Bank | Cadence Bank | banking violation | 2022 | FDIC | $320,500 |
Cadaret, Grant & Co., Inc. | Atria Wealth Solutions | investor protection violation | 2008 | NE-DBF | $10,000 |
Cadaret, Grant & Co. Inc. | Atria Wealth Solutions | investor protection violation | 2018 | SEC | $513,194 |
Cadaret Grant & Co. Inc. | Atria Wealth Solutions | investor protection violation | 2019 | PA-BKG | $90,000 |
BUSEY BANK | First Busey Corp. | banking violation | 2006 | FDIC | $5,200 |
BUSEY BANK | First Busey Corp. | banking violation | 2010 | FDIC | $7,445 |
BUCKEYE TEXAS PROCESSING, LLC | IFM Investors | workplace safety or health violation | 2022 | OSHA | $14,502 |
BUCKEYE TEXAS PROCESSING LLC (BTXPP) | IFM Investors | environmental violation | 2017 | EPA | $18,247 |
Buckeye Texas Processing LLC | IFM Investors | environmental violation | 2020 | TX-ENV | $607,617 |