STATE FARM MUTUAL AUTOMOBILE INSURANCE COMPANY | State Farm Insurance | insurance violation | 2023 | MN-FIN | $5,000 |
Globe Life and Accident Insurance Company | Globe Life Inc. | insurance violation | 2023 | MO-INS | $9,500 |
Raymond James & Associates, Inc. | Raymond James Financial | investor protection violation | 2023 | MO-SEC | $150,000 |
Raymond James & Associates, Inc. et al. | Raymond James Financial | investor protection violation | 2023 | MULTI-FIN | $12,450,000 |
Harleysville Insurance Company | Nationwide | insurance violation | 2023 | NY-DFS | $45,000 |
Nationwide Agribusiness Insurance Company | Nationwide | insurance violation | 2023 | NY-DFS | $50,000 |
Aon Risk Services Central Inc. | Aon | insurance violation | 2023 | NY-DFS | $12,000 |
Tokio Marine America Insurance Company | Tokio Marine | insurance violation | 2023 | NY-DFS | $360,000 |
Navient Corporation | Navient | employment discrimination | 2023 | OFCCP | $700,000 |
United States Fire Insurance Company | Fairfax Financial Holdings | insurance violation | 2023 | OR-FIN | $25,000 |
LPL Financial, LLC | LPL Financial | investor protection violation | 2023 | PA-BKG | $190,000 |
John Hancock Life Insurance Company | Manulife Financial | insurance violation | 2023 | RI-FIN | $95,000 |
Citigroup Global Markets Inc. | Citigroup | investor protection violation | 2023 | SEC | $2,900,000 |
Wells Fargo Clearing Services LLC | Wells Fargo | investor protection violation | 2023 | SEC | $35,000,000 |
Nomura Securities International | Nomura | fraud | 2023 | USAO | $35,000,000 |
STATE FARM LIFE INSURANCE COMPANY | State Farm Insurance | insurance violation | 2023 | WA-INS | $10,000 |
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 |
Wilmington Trust Investment Management, LLC | M&T Bank | investor protection violation | 2023 | SEC | $1,327,147 |
Interactive Brokers Corp. | Interactive Brokers Group | investor protection violation | 2023 | SEC | $35,000,000 |
Nuveen Securities LLC | TIAA | investor protection violation | 2023 | SEC | $8,500,000 |
Fifth Third Securities Inc. | Fifth Third Bancorp | investor protection violation | 2023 | SEC | $8,000,000 |
Citigroup Global Markets, Inc. | Citigroup | investor protection violation | 2023 | SEC | $1,975,000 |
DWS Investment Management Americas Inc. | Deutsche Bank | investor protection violation | 2023 | SEC | $25,000,000 |
Goldman Sachs & Co. LLC | Goldman Sachs | investor protection violation | 2023 | SEC | $6,000,000 |
TP ICAP plc | TP ICAP PLC | price-fixing or anti-competitive practices | 2023 | private lawsuit-federal | $2,100,000 |
Deutsche Bank AG | Deutsche Bank | price-fixing or anti-competitive practices | 2023 | private lawsuit-federal | $13,000,000 |
Credit Suisse AG | UBS | price-fixing or anti-competitive practices | 2023 | private lawsuit-federal | $13,750,000 |
JPMorgan Chase & Co. | JPMorgan Chase | price-fixing or anti-competitive practices | 2023 | private lawsuit-federal | $22,000,000 |
Bank of America N.A. | Bank of America | consumer protection violation | 2023 | private lawsuit-federal | $8,000,000 |
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 |
Enova International Inc. | Enova International | consumer protection violation | 2023 | CFPB | $15,000,000 |
Citibank N.A. | Citigroup | discriminatory practices (non-employment) | 2023 | CFPB | $25,900,000 |
Binance Holdings Limited | Binance Holdings | anti-money-laundering deficiencies | 2023 | DOJ_NATSEC | $4,316,126,163 |
Binance Holdings Limited, | Binance Holdings | anti-money-laundering deficiencies | 2023 | FINCEN | (*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $3,400,000,000 |
Morgan Stanley Smith Barney LLC | Morgan Stanley | privacy violation | 2023 | MULTI-AG | $6,500,000 |
First American Financial Corporation | First American Financial | price-fixing or anti-competitive practices | 2023 | NY-AG | $4,500,000 |
Binance Holdings, Ltd | Binance Holdings | economic sanction violation | 2023 | OFAC | (*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $968,618,825 |
Royal Bank of Canada | Royal Bank of Canada | accounting fraud or deficiencies | 2023 | SEC | $6,000,000 |
BlackRock Advisors, LLC | BlackRock | investor protection violation | 2023 | SEC | $2,500,000 |
JPMorgan Chase | JPMorgan Chase | sexual exploitation of minors | 2023 | private lawsuit-federal | $290,000,000 |
TD Bank N.A. | Toronto-Dominion Bank | consumer protection violation | 2023 | private lawsuit-federal | $4,900,000 |
Goldman Sachs | Goldman Sachs | employment discrimination | 2023 | private lawsuit-federal | $215,000,000 |
Societe Generale | Societe Generale | price-fixing or anti-competitive practices | 2023 | private lawsuit-federal | $105,000,000 |
NatWest Markets PLC | NatWest Group PLC | price-fixing or anti-competitive practices | 2023 | private lawsuit-federal | $21,000,000 |
Lincoln National Corp. | Lincoln National | consumer protection violation | 2023 | private lawsuit-federal | $109,957,440 |
Deutsche Bank AG | Deutsche Bank | price-fixing or anti-competitive practices | 2023 | private lawsuit-federal | $5,000,000 |
NATIONWIDE LIFE AND ANNUITY INSURANCE COMPANY | Nationwide | insurance violation | 2023 | WA-INS | $140,273 |
Allstate Fire and Casualty Insurance Company et al. | Allstate | insurance violation | 2023 | TX-INS | $125,000 |
Aon Risk Services Northeast Inc. | Aon | insurance violation | 2023 | NY-DFS | $215,725 |
Fidelity Brokerage Services LLC | Fidelity Investments | investor protection violation | 2023 | MA-SEC | $750,000 |
First American Title Insurance Company | First American Financial | privacy violation | 2023 | NY-DFS | $1,000,000 |
LPL Financial, LLC | LPL Financial | investor protection violation | 2023 | MA-SEC | $250,000 |
Northwestern Mutual Investment Services, LLC | Northwestern Mutual | investor protection violation | 2023 | NH-BSR | $200,000 |
Northwestern Mutual Life Insurance Company | Northwestern Mutual | insurance violation | 2023 | NH-INS | $200,000 |
Transamerica Life Insurance Company | Aegon | insurance violation | 2023 | MD-INS | $102,000 |
Wells Fargo Clearing Services LLC | Wells Fargo | investor protection violation | 2023 | ME-SEC | $5,000 |
Morgan Stanley Smith Barney LLC | Morgan Stanley | investor protection violation | 2023 | ME-SEC | $5,000 |
USAA General Indemnity Company et al. | USAA | insurance violation | 2023 | MD-INS | $45,900 |
MML Investors Services, LLC | Massachusetts Mutual Life Insurance | investor protection violation | 2023 | MI-SEC | $10,000 |
BUCKEYE PERTH AMBOY TERMINAL LLC | IFM Investors | environmental violation | 2023 | NJ-ENV | $48,640 |
Durango Midstream, LLC | Morgan Stanley | environmental violation | 2023 | NM-ENV | $34,320 |
Arthur J Gallagher & Co. Insurance Brokers of California Inc. | Arthur J. Gallagher & Co. | insurance violation | 2023 | NY-DFS | $45,300 |
USAA General Indemnity Company | USAA | insurance violation | 2023 | OR-FIN | $50,200 |
American Memorial Life Insurance Company | Assurant | insurance violation | 2023 | SD-INS | $5,000 |
Washington National Insurance Co. | CNO Financial | insurance violation | 2023 | SD-INS | $15,000 |
Indemnity Insurance Company of North America | Chubb Limited | insurance violation | 2023 | TX-INS | $12,750 |
Old Republic Insurance Company | Old Republic International | insurance violation | 2023 | TX-INS | $9,250 |
Accident Fund General Insurance Company | AF Group | insurance violation | 2023 | TX-INS | $12,000 |
Accident Fund General Insurance Company | AF Group | insurance violation | 2023 | TX-INS | $8,000 |
LM Insurance Corporation | Liberty Mutual Insurance | insurance violation | 2023 | TX-INS | $7,000 |
Hanover Insurance Company | Hanover Insurance | insurance violation | 2023 | TX-INS | $8,000 |
Arch Indemnity Insurance Company | Arch Capital | insurance violation | 2023 | TX-INS | $8,500 |
Accident Fund Insurance Company of America | AF Group | insurance violation | 2023 | TX-INS | $11,000 |
Travelers Property Casualty Company of America | Travelers | insurance violation | 2023 | TX-INS | $6,000 |
Aon Risk Services Southwest Inc | Aon | insurance violation | 2023 | TX-INS | $7,575 |
Security National Insurance Company | Zurich Insurance | insurance violation | 2023 | TX-INS | $6,500 |
Ace American Insurance Company | Chubb Limited | insurance violation | 2023 | TX-INS | $9,500 |
National Union Fire Insurance Company of Pittsburgh, PA | American International Group | insurance violation | 2023 | TX-INS | $5,000 |
National Union Fire Insurance Company of Pittsburgh, PA | American International Group | insurance violation | 2023 | TX-INS | $19,000 |
Arthur J. Gallagher Risk Management Services, LLC | Arthur J. Gallagher & Co. | insurance violation | 2023 | TX-INS | $11,875 |
Indemnity Insurance Company of North America | Chubb Limited | insurance violation | 2023 | TX-INS | $42,000 |
Travelers Indemnity Company of America | Travelers | insurance violation | 2023 | TX-INS | $6,000 |
Hartford Accident and Indemnity Company | Hartford Financial Services | insurance violation | 2023 | TX-INS | $6,300 |
Indemnity Insurance Company of North America | Chubb Limited | insurance violation | 2023 | TX-INS | $12,000 |
Indemnity Insurance Company of North America | Chubb Limited | insurance violation | 2023 | TX-INS | $90,950 |
Zurich American Insurance Company | Zurich Insurance | insurance violation | 2023 | TX-INS | $17,000 |
Ace American Insurance Company | Chubb Limited | insurance violation | 2023 | TX-INS | $5,500 |
Indemnity Insurance Company of North America | Chubb Limited | insurance violation | 2023 | TX-INS | $19,000 |
State Farm Fire and Casualty Company et al. | State Farm Insurance | insurance violation | 2023 | TX-INS | $75,000 |
Arch Indemnity Insurance Company | Arch Capital | insurance violation | 2023 | TX-INS | $11,000 |
Ace American Insurance Company | Chubb Limited | insurance violation | 2023 | TX-INS | $13,500 |
Arch Insurance Company | Arch Capital | insurance violation | 2023 | TX-INS | $25,000 |
AIU Insurance Company | American International Group | insurance violation | 2023 | TX-INS | $14,000 |
American Zurich Insurance Company | Zurich Insurance | insurance violation | 2023 | TX-INS | $27,000 |
Old Republic Insurance Company | Old Republic International | insurance violation | 2023 | TX-INS | $19,500 |
Hanover Insurance Company | Hanover Insurance | insurance violation | 2023 | TX-INS | $30,000 |