Credit Suisse Securities (USA) LLC | UBS | investor protection violation | 2019 | FINRA | $6,500,000 |
Deutsche Bank Securities, Inc. | Deutsche Bank | investor protection violation | 2013 | FINRA | $6,500,000 |
Coinbase Inc. | Coinbase Global Inc. | investor protection violation | 2021 | CFTC | $6,500,000 |
Morgan Stanley & Co. LLC | Morgan Stanley | price-fixing or anti-competitive practices | 2011 | private lawsuit-federal | $6,500,000 |
Morgan Stanley Smith Barney LLC | Morgan Stanley | privacy violation | 2023 | MULTI-AG | $6,500,000 |
BNY Mellon | Bank of New York Mellon | investor protection violation | 2017 | SEC | $6,600,000 |
Bank of America | Bank of America | wage and hour violation | 2017 | private lawsuit-federal | $6,600,000 |
John Nuveen & Co., Inc. | TIAA | investor protection violation | 2000 | FINRA | $6,630,000 |
UBS Securities LLC | UBS | investor protection violation | 2010 | TX-SEC | $6,640,432 |
Wells Fargo | Wells Fargo | wage and hour violation | 2011 | private lawsuit-federal | $6,660,000 |
Warburg Dillon Read LLC | UBS | investor protection violation | 2000 | SEC | $6,680,000 |
Bank One, KY, N.A. | JPMorgan Chase | discriminatory practices (non-employment) | 2005 | private lawsuit-federal | $6,715,000 |
Wells Fargo | Wells Fargo | wage and hour violation | 2011 | private lawsuit-federal | $6,720,000 |
Wells Fargo Bank N.A. | Wells Fargo | consumer protection violation | 2012 | private lawsuit-federal | $6,778,000 |
Mizuho Capital Markets LLC | Mizuho Financial | investor protection violation | 2023 | CFTC | $6,847,182 |
Farmers Group, Inc. | Zurich Insurance | benefit plan administrator violation | 2012 | private lawsuit-federal | $6,850,000 |
Raymond James Financial Services Advisors, Inc. | Raymond James Financial | investor protection violation | 2019 | SEC | $6,877,048 |
Merrill Lynch | Bank of America | wage and hour violation | 2014 | private lawsuit-federal | $6,900,000 |
Wells Fargo | Wells Fargo | wage and hour violation | 2011 | private lawsuit-federal | $6,900,000 |
Citigroup, Inc. | Citigroup | benefit plan administrator violation | 2019 | private lawsuit-federal | $6,900,000 |
Morgan Stanley & Co. LLC | Morgan Stanley | toxic securities abuses | 2016 | VA-AG | $6,900,000 |
Wells Fargo Bank N.A. | Wells Fargo | consumer protection violation | 2021 | private lawsuit-federal | $6,945,095 |
HSBC | HSBC | wage and hour violation | 2016 | private lawsuit-federal | $6,982,000 |
Goldman Sachs & Co. | Goldman Sachs | investor protection violation | 2015 | SEC | $7,000,000 |
Goldman Sachs Execution & Clearing LP | Goldman Sachs | investor protection violation | 2012 | CFTC | $7,000,000 |
Citigroup Global Markets | Citigroup | data submission deficiencies | 2016 | SEC | $7,000,000 |
Merrill Lynch, Pierce, Fenner & Smith Inc. | Bank of America | investor protection violation | 2009 | SEC | $7,000,000 |
U.S. Bancorp | U.S. Bancorp | wage and hour violation | 2017 | private lawsuit-federal | $7,000,000 |
Bank of America | Bank of America | wage and hour violation | 2017 | private lawsuit-federal | $7,000,000 |
PNC Bank | PNC Financial Services | wage and hour violation | 2014 | private lawsuit-federal | $7,000,000 |
First American Title Insurance Company | First American Financial | consumer protection violation | 2002 | CA-AG | $7,000,000 |
Marsh and McLennan | Marsh & McLennan | price-fixing or anti-competitive practices | 2009 | MULTI-AG | $7,000,000 |
Zurich American Insurance Company | Zurich Insurance | price-fixing or anti-competitive practices | 2006 | OH-AG | $7,000,000 |
HSBC | HSBC | False Claims Act and related | 2020 | CA-AG | $7,000,000 |
ING America Insurance Holdings Inc. | Voya Financial | investor protection violation | 2006 | FINRA | $7,000,000 |
Wells Fargo Advisors | Wells Fargo | anti-money-laundering deficiencies | 2022 | SEC | $7,000,000 |
T. Rowe Price Group, Inc. | T. Rowe Price | benefit plan administrator violation | 2022 | private lawsuit-federal | $7,000,000 |
Australia and New Zealand Banking Group, Ltd. | Australia and New Zealand Banking Group | price-fixing or anti-competitive practices | 2022 | private lawsuit-federal | $7,000,000 |
Bank of America, N.A. | Bank of America | price-fixing or anti-competitive practices | 2022 | private lawsuit-federal | $7,000,000 |
Barclays Bank PLC | Barclays | price-fixing or anti-competitive practices | 2022 | private lawsuit-federal | $7,000,000 |
BNP Paribas, S.A. | BNP Paribas | price-fixing or anti-competitive practices | 2022 | private lawsuit-federal | $7,000,000 |
Commerzbank AG | Commerzbank | price-fixing or anti-competitive practices | 2022 | private lawsuit-federal | $7,000,000 |
Credit Agricole Corporate and Investment Bank | Credit Agricole | price-fixing or anti-competitive practices | 2022 | private lawsuit-federal | $7,000,000 |
JPMorgan Chase & Co. | JPMorgan Chase | price-fixing or anti-competitive practices | 2022 | private lawsuit-federal | $7,000,000 |
Morgan Stanley & Co. LLC | Morgan Stanley | price-fixing or anti-competitive practices | 2022 | private lawsuit-federal | $7,000,000 |
MUFG Bank, Ltd. | U.S. Bancorp | price-fixing or anti-competitive practices | 2022 | private lawsuit-federal | $7,000,000 |
OverseaChinese Banking Corporation Limited | Oversea-Chinese Banking | price-fixing or anti-competitive practices | 2022 | private lawsuit-federal | $7,000,000 |
Royal Bank of Scotland plc | NatWest Group PLC | price-fixing or anti-competitive practices | 2022 | private lawsuit-federal | $7,000,000 |
Standard Chartered Bank | Standard Chartered | price-fixing or anti-competitive practices | 2022 | private lawsuit-federal | $7,000,000 |
UBS AG | UBS | price-fixing or anti-competitive practices | 2022 | private lawsuit-federal | $7,000,000 |
Seterus Inc. | Mr. Cooper Group | consumer protection violation | 2021 | private lawsuit-federal | $7,000,000 |
Citibank N.A. | Citigroup | price-fixing or anti-competitive practices | 2020 | private lawsuit-federal | $7,025,000 |
Merrill Lynch, Pierce, Fenner & Smith Inc. | Bank of America | investor protection violation | 2016 | FINRA | $7,030,000 |
Prospect Mortgage LLC | Homebridge Financial Services | mortgage abuses | 2015 | MULTI-FIN | $7,035,300 |
PNC Bank N.A | PNC Financial Services | False Claims Act and related | 2013 | DOJ_CIVIL | $7,100,000 |
Barclays Bank PLC | Barclays | price-fixing or anti-competitive practices | 2020 | private lawsuit-federal | $7,100,000 |
Goldman Sachs Execution & Clearing, L.P. and SLK-Hull Derivatives LLC | Goldman Sachs | investor protection violation | 2009 | SEC | $7,200,000 |
Banc of America Investment Services | Bank of America | employment discrimination | 2009 | private lawsuit-federal | $7,200,000 |
National City Commercial Capital Company LLC | PNC Financial Services | consumer protection violation | 2008 | MULTI-AG | $7,200,000 |
Nationwide Mutual Insurance Company | Nationwide | insurance violation | 2012 | MULTI-AG | $7,200,000 |
Merrill Lynch, Pierce, Fenner & Smith Inc. | Bank of America | investor protection violation | 2020 | FINRA | $7,200,000 |
Morgan Stanley & Co. | Morgan Stanley | investor protection violation | 2009 | FINRA | $7,200,000 |
Fannie Mae | Fannie Mae | benefit plan administrator violation | 2010 | private lawsuit-federal | $7,250,000 |
Conseco Finance Servicing Corp. | CNO Financial | consumer protection violation | 2002 | KS-BKG | $7,275,000 |
CIT Group, Inc., and CIT Bank, N.A., dba OneWest Bank | First Citizens BancShares | discriminatory practices (non-employment) | 2019 | HUD | $7,300,000 |
Cantor Fitzgerald & Co. | Cantor Fitzgerald | investor protection violation | 2015 | FINRA | $7,300,000 |
PNC Investments LLC | PNC Financial Services | investor protection violation | 2018 | SEC | $7,307,770 |
Capital One N.A. | Capital One Financial | consumer protection violation | 2015 | private lawsuit-federal | $7,334,000 |
Travelers Personal Insurance Company et al. | Travelers | insurance violation | 2022 | TX-INS | $7,344,048 |
American Express Financial Advisors Inc. | Ameriprise Financial | investor protection violation | 2005 | NH-BSR | $7,375,000 |
CashCall, Inc., WS Funding, LLC, and Delbert Services Corporation | CashCall Inc. | consumer protection violation | 2016 | CO-AG | $7,384,005 |
MetLife | MetLife | wage and hour violation | 2009 | private lawsuit-federal | $7,400,000 |
Louis Dreyfus Energy Service | Louis Dreyfus | energy market violation | 2014 | FERC | $7,406,257 |
Wells Fargo & Company | Wells Fargo | benefit plan administrator violation | 2015 | private lawsuit-federal | $7,420,000 |
Regions Bank | Regions Financial | consumer protection violation | 2015 | CFPB | $7,500,000 |
American Express Bank, FSB | American Express | banking violation | 2013 | OCC | $7,500,000 |
RBS Citizens, National Association | Citizens Financial Group | banking violation | 2013 | OCC | $7,500,000 |
Huntington Bancshares, Inc. | Huntington Bancshares | accounting fraud or deficiencies | 2005 | SEC | $7,500,000 |
Morgan Stanley & Co. LLC | Morgan Stanley | investor protection violation | 2016 | SEC | $7,500,000 |
H&R Block | H&R Block | wage and hour violation | 2012 | private lawsuit-state | $7,500,000 |
Morgan Stanley & Co. Incorporated | Morgan Stanley | investor protection violation | 2007 | SEC | $7,500,000 |
Edward Jones & Co. | Jones Financial | investor protection violation | 2008 | CA-AG | $7,500,000 |
Old Second Bancorp, Inc. | Old Second Bancorp | benefit plan administrator violation | 2013 | private lawsuit-federal | $7,500,000 |
Wheelabrator Saugus, Wheelabrator Andover and Wheelabrator Millbury | Macquarie | environmental violation | 2011 | MA-AG | $7,500,000 |
BGC Financial LP | BGC Partners | price-fixing or anti-competitive practices | 2019 | NY-AG | $7,500,000 |
Bank of America Corp. | Bank of America | anti-money-laundering deficiencies | 2006 | NY-MANDA | $7,500,000 |
American General | American International Group | insurance violation | 2000 | MULTI-FIN | $7,500,000 |
Wells Fargo | Wells Fargo | discriminatory practices (non-employment) | 2012 | private lawsuit-federal | $7,500,000 |
Wells Fargo Bank, N.A. | Wells Fargo | discriminatory practices (non-employment) | 2012 | private lawsuit-federal | $7,500,000 |
Deutsche Bank Securities Inc. | Deutsche Bank | investor protection violation | 2010 | FINRA | $7,500,000 |
Highmark Inc. | Highmark Inc. | price-fixing or anti-competitive practices | 2020 | private lawsuit-federal | $7,500,000 |
Scotia Capital (USA) Inc. | Scotiabank | investor protection violation | 2023 | SEC | $7,500,000 |
National General Insurance Company | Allstate | consumer protection violation | 2019 | private lawsuit-federal | $7,500,000 |
Citibank N.A. | Citigroup | consumer protection violation | 2013 | private lawsuit-federal | $7,500,000 |
PNC Bank N.A. | PNC Financial Services | consumer protection violation | 2020 | private lawsuit-federal | $7,500,000 |
Robinhood Financial LLC | Robinhood Markets | investor protection violation | 2024 | MA-SEC | $7,500,000 |
Allianz Asset Management of America | Allianz | benefit plan administrator violation | 2024 | private lawsuit-federal | $7,500,000 |
Bank of America Corporation | Bank of America | investor protection violation | 2014 | SEC | $7,650,000 |
PayPal Inc. | PayPal Holdings | economic sanction violation | 2015 | OFAC | $7,658,300 |
Globe Life Insurance Company of New York | Globe Life Inc. | insurance violation | 2019 | NY-DFS | $7,769,000 |
CitiMortgage, Inc. | Citigroup | consumer protection violation | 2019 | CA-DFPI | $7,800,000 |