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 |
Goldman Sachs & Co. LLC | Goldman Sachs | investor protection violation | 2019 | CFTC | $1,000,000 |
The Bank of Nova Scotia | Scotiabank | investor protection violation | 2020 | CFTC | $50,000,000 |
The Bank of Nova Scotia | Scotiabank | investor protection violation | 2020 | CFTC | $77,400,000 |
Interactive Brokers LLC | Interactive Brokers Group | anti-money-laundering deficiencies | 2020 | CFTC | $12,206,214 |
Deutsche Bank AG | Deutsche Bank | investor protection violation | 2020 | CFTC | $9,000,000 |
Deutsche Bank Securities Inc. | Deutsche Bank | investor protection violation | 2020 | CFTC | $1,250,000 |
Vitol Inc. | Vitol | fraud | 2020 | CFTC | (*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $95,700,000 |
Morgan Stanley Capital Services LLC | Morgan Stanley | investor protection violation | 2020 | CFTC | $5,000,000 |
Gain Capital Group, LLC | StoneX Group | investor protection violation | 2020 | CFTC | $300,000 |
JPMorgan Chase & Company | JPMorgan Chase | investor protection violation | 2020 | CFTC | $920,200,000 |
Citibank N.A. | Citigroup | investor protection violation | 2020 | CFTC | $4,500,000 |
Coinbase Inc. | Coinbase Global Inc. | investor protection violation | 2021 | CFTC | $6,500,000 |
Credit Suisse | UBS | investor protection violation | 2021 | CFTC | $1,500,000 |
UBS AG | UBS | investor protection violation | 2021 | CFTC | $500,000 |
Societe Generale S.A. | Societe Generale | investor protection violation | 2021 | CFTC | $1,500,000 |
Interactive Brokers LLC | Interactive Brokers Group | investor protection violation | 2021 | CFTC | $84,320,000 |
Mizuho Capital Markets LLC | Mizuho Financial | investor protection violation | 2021 | CFTC | $1,500,000 |
Citibank, N.A. | Citigroup | investor protection violation | 2021 | CFTC | $1,000,000 |
JPMorgan Chase Bank, N.A. | JPMorgan Chase | investor protection violation | 2021 | CFTC | $75,000,000 |
Interactive Brokers LLC | Interactive Brokers Group | investor protection violation | 2022 | CFTC | $1,010,828 |
Glencore International A.G. | Glencore | price-fixing or anti-competitive practices | 2022 | CFTC | $1,186,000,000 |
JPMorgan Chase Bank, N.A. | JPMorgan Chase | investor protection violation | 2022 | CFTC | $850,000 |
BNP Paribas | BNP Paribas | investor protection violation | 2022 | CFTC | $6,000,000 |
Bank of America | Bank of America | investor protection violation | 2022 | CFTC | $100,000,000 |
Barclays Bank PLC | Barclays | investor protection violation | 2022 | CFTC | $75,000,000 |
Cantor Fitzgerald | Cantor Fitzgerald | investor protection violation | 2022 | CFTC | $6,000,000 |
Citibank N.A. | Citigroup | investor protection violation | 2022 | CFTC | $75,000,000 |
Credit Suisse | UBS | investor protection violation | 2022 | CFTC | $75,000,000 |
Deutsche Bank | Deutsche Bank | investor protection violation | 2022 | CFTC | $75,000,000 |
Goldman Sachs | Goldman Sachs | investor protection violation | 2022 | CFTC | $75,000,000 |
Morgan Stanley | Morgan Stanley | investor protection violation | 2022 | CFTC | $75,000,000 |
Nomura Securities | Nomura | investor protection violation | 2022 | CFTC | $50,000,000 |
UBS AG | UBS | investor protection violation | 2022 | CFTC | $75,000,000 |
Mizuho Capital Markets LLC | Mizuho Financial | investor protection violation | 2023 | CFTC | $6,847,182 |
Goldman Sachs | Goldman Sachs | investor protection violation | 2023 | CFTC | $15,000,000 |
HSBC Bank USA, N.A. | HSBC | investor protection violation | 2023 | CFTC | $45,000,000 |
HSBC Bank PLC | HSBC | investor protection violation | 2023 | CFTC | $30,000,000 |
Bank of Nova Scotia | Scotiabank | investor protection violation | 2023 | CFTC | $15,000,000 |
Wedbush Securities Inc. | Wedbush Securities | investor protection violation | 2023 | CFTC | $6,000,000 |
BNP Paribas | BNP Paribas | investor protection violation | 2023 | CFTC | $75,000,000 |
Societe Generale | Societe Generale | investor protection violation | 2023 | CFTC | $75,000,000 |
Wells Fargo | Wells Fargo | investor protection violation | 2023 | CFTC | $75,000,000 |
Bank of Montreal | Bank of Montreal | investor protection violation | 2023 | CFTC | $35,000,000 |
Goldman Sachs & Co. | Goldman Sachs | investor protection violation | 2023 | CFTC | $5,500,000 |
Goldman Sachs & Co. LLC | Goldman Sachs | investor protection violation | 2023 | CFTC | $30,000,000 |
JPMorgan Chase Bank, N.A. | JPMorgan Chase | investor protection violation | 2023 | CFTC | $15,000,000 |
Bank of America, N.A. | Bank of America | investor protection violation | 2023 | CFTC | $8,000,000 |
Goldman Sachs & Co. LLC | Goldman Sachs | investor protection violation | 2023 | CFTC | $3,000,000 |
Interactive Brokers Corp. and Interactive Brokers LLC | Interactive Brokers Group | investor protection violation | 2023 | CFTC | $20,000,000 |
StoneX Markets LLC | StoneX Group | investor protection violation | 2023 | CFTC | $650,000 |
Binance Holdings Limited et al. | Binance Holdings | investor protection violation | 2023 | CFTC | (*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $2,700,000,000 |
Citibank | Citigroup | consumer protection violation | 2016 | CFPB | $7,890,000 |
Citibank | Citigroup | consumer protection violation | 2016 | CFPB | $45,000,000 |
EZCORP Inc. | EZCORP Inc. | consumer protection violation | 2015 | CFPB | $10,500,000 |
Fifth Third Bank | Fifth Third Bancorp | consumer protection violation | 2015 | CFPB | $21,500,000 |
Hudson City Savings Bank | M&T Bank | banking violation | 2015 | CFPB | $32,750,000 |
Encore Capital Group | Encore Capital Group | consumer protection violation | 2015 | CFPB | $52,000,000 |
Springstone Financial, LLC | LendingClub Corp. | consumer protection violation | 2015 | CFPB | $700,000 |
Citizens Bank, N.A. | Citizens Financial Group | consumer protection violation | 2015 | CFPB | $18,500,000 |
Discover Bank | Discover Financial Services | consumer protection violation | 2015 | CFPB | $18,500,000 |
Citibank N.A. | Citigroup | consumer protection violation | 2015 | CFPB | $733,800,000 |
JPMorgan Chase | JPMorgan Chase | consumer protection violation | 2015 | CFPB | $186,000,000 |
Affinion Group Holdings, Inc. | JPMorgan Chase | consumer protection violation | 2015 | CFPB | $8,700,000 |
Provident Funding Associates | Provident Funding Associates | consumer protection violation | 2015 | CFPB | $9,000,000 |
PayPal Inc. | PayPal Holdings | consumer protection violation | 2015 | CFPB | $25,000,000 |
Regions Bank | Regions Financial | consumer protection violation | 2015 | CFPB | $7,500,000 |
Wells Fargo | Wells Fargo | consumer protection violation | 2015 | CFPB | $34,800,000 |
JPMorgan Chase | JPMorgan Chase | consumer protection violation | 2015 | CFPB | $900,000 |
M&T Bank | M&T Bank | consumer protection violation | 2014 | CFPB | $3,100,000 |
Flagstar Bank | New York Community Bancorp | consumer protection violation | 2014 | CFPB | $37,500,000 |
U.S. Bank | U.S. Bancorp | consumer protection violation | 2014 | CFPB | $53,000,000 |
Amerisave Mortgage Corporation and Novo Appraisal Management Company | AmeriSave Mortgage | consumer protection violation | 2014 | CFPB | $19,300,000 |
ACE Cash Express | ACE Cash Express | consumer protection violation | 2014 | CFPB | $15,000,000 |
GE Capital Retail Bank, now known as Synchrony Bank | Synchrony Financial | consumer protection violation | 2014 | CFPB | $225,000,000 |
SunTrust Mortgage, Inc. | Truist Financial | consumer protection violation | 2014 | CFPB | $550,000,000 |
Bank of America, N.A. | Bank of America | consumer protection violation | 2014 | CFPB | $747,000,000 |
American Express | American Express | consumer protection violation | 2013 | CFPB | $69,100,000 |
National City Bank and its successor PNC Bank | PNC Financial Services | banking violation | 2013 | CFPB | $35,000,000 |
Ally Financial Inc. and Ally Bank | Ally Financial | consumer protection violation | 2013 | CFPB | $98,000,000 |
Ocwen Financial Corporation and Ocwen Loan Servicing | Ocwen Financial | consumer protection violation | 2013 | CFPB | $2,125,000,000 |
GE Capital Retail Bank and CareCredit | Synchrony Financial | consumer protection violation | 2013 | CFPB | $34,100,000 |
Cash America International Inc. | FirstCash | payday lending violation | 2013 | CFPB | $19,000,000 |
Republic Mortgage Insurance Corporation | Old Republic International | consumer protection violation | 2013 | CFPB | $100,000 |
Washington Federal | Washington Federal Inc. | consumer protection violation | 2013 | CFPB | $34,000 |
Chase Bank USA, N.A. and JPMorgan Chase Bank, N.A. | JPMorgan Chase | consumer protection violation | 2013 | CFPB | $329,000,000 |
U.S. Bank | U.S. Bancorp | banking violation | 2013 | CFPB | $3,200,000 |
American Express | American Express | consumer protection violation | 2012 | CFPB | $99,100,000 |
Discover Bank | Discover Financial Services | consumer protection violation | 2012 | CFPB | $214,000,000 |
Capital One Bank (U.S.A.), N.A. | Capital One Financial | consumer protection violation | 2012 | CFPB | $165,000,000 |
Santander Bank, N.A. | Banco Santander | consumer protection violation | 2016 | CFPB | $10,000,000 |
BancorpSouth Bank | Cadence Bank | mortgage abuses | 2016 | CFPB | $10,600,000 |
Wells Fargo Bank | Wells Fargo | consumer protection violation | 2016 | CFPB | $4,010,000 |
First National Bank of Omaha | First National of Nebraska | consumer protection violation | 2016 | CFPB | $32,250,000 |
Wells Fargo Bank | Wells Fargo | banking violation | 2016 | CFPB | $100,000,000 |
TMX Finance LLC | TMX Finance | consumer protection violation | 2016 | CFPB | $9,000,000 |
Navy Federal Credit Union | Navy Federal Credit Union | consumer protection violation | 2016 | CFPB | $28,500,000 |
CitiFinancial Servicing and CitiMortgage, Inc. | Citigroup | consumer protection violation | 2017 | CFPB | $28,800,000 |
Prospect Mortgage, LLC | Homebridge Financial Services | consumer protection violation | 2017 | CFPB | $3,500,000 |
Mastercard International Inc. | MasterCard | consumer protection violation | 2017 | CFPB | $13,000,000 |