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 |
Chicago Title Insurance Co. | Fidelity National Financial | insurance violation | 2020 | CT-INS | $28,000 |
American Family Life Assurance Company of Columbus | Aflac | insurance violation | 2020 | CT-INS | $8,500 |
National Union Fire Insurance Company of Pittsburgh, PA | American International Group | insurance violation | 2020 | CT-INS | $106,000 |
Nationwide Life Insurance Co. | Nationwide | insurance violation | 2020 | CT-INS | $10,000 |
Old Republic National Title Insurance Co. | Old Republic International | insurance violation | 2020 | CT-INS | $20,000 |
First American Title insurance Co. | First American Financial | insurance violation | 2020 | CT-INS | $40,000 |
Stewart Title Guaranty Co. | Stewart Information Services | insurance violation | 2020 | CT-INS | $47,000 |
Pacific Indemnity Co. | Chubb Limited | insurance violation | 2020 | CT-INS | $16,000 |
The Standard Insurance Co. | Meiji Yasuda Life Insurance | insurance violation | 2020 | CT-INS | $7,500 |
Minnesota Life Insurance Co. | Securian Financial | insurance violation | 2020 | CT-INS | $9,000 |
Merrill Lynch, Pierce, Fenner & Smith Inc. | Bank of America | investor protection violation | 2020 | CT-SEC | $400,000 |
Bank of Nova Scotia | Scotiabank | price-fixing or anti-competitive practices | 2020 | DOJ_CRIMINAL | $60,400,000 |
Bank of America, N.A. | Bank of America | Americans with Disabilities Act | 2020 | DOJ_RIGHTS | $300,000 |
Solium Financial Services LLC | Morgan Stanley | investor protection violation | 2020 | FL-OFR | $79,045 |
Hartford Life and Accident Insurance Co. | Hartford Financial Services | insurance violation | 2020 | MA-AG | $145,000 |
Freedom Mortgage Corp. | Freedom Mortgage | consumer protection violation | 2020 | MA-BKG | $25,000 |
Wells Fargo & Co. | Wells Fargo | investor protection violation | 2020 | MD-AG | $20,000,000 |
Fidelity National Title Insurance Co. | Fidelity National Financial | insurance violation | 2020 | MD-INS | $64,600 |
USAA General Indemnity Co. et al. | USAA | insurance violation | 2020 | MD-INS | $67,500 |
Lincoln National Life Insurance Co. | Lincoln National | insurance violation | 2020 | MO-INS | $15,000 |
Chicago Title Insurance Co. | Fidelity National Financial | insurance violation | 2020 | MO-INS | $48,500 |
Fidelity National Title Insurance Co. | Fidelity National Financial | insurance violation | 2020 | MO-INS | $45,900 |
Permanent General Assurance Corp. | American Family Insurance | insurance violation | 2020 | MO-INS | $15,000 |
Stewart Title Guaranty Co. | Stewart Information Services | insurance violation | 2020 | MO-INS | $100,000 |
Principal Life Insurance Company | Principal Financial | insurance violation | 2020 | MULTI-FIN | $145,000 |
Gerber Life Insurance Co. | Western & Southern Financial Group | insurance violation | 2020 | NC-INS | $3,635,665 |
Mid-Century Insurance Company | Zurich Insurance | insurance violation | 2020 | NY-DFS | $200,000 |
Praetorian Insurance Company | QBE Insurance | insurance violation | 2020 | NY-DFS | $20,000 |
The Signal, LP, an Assurant Company | Assurant | insurance violation | 2020 | NY-DFS | $2,800,000 |
Deutsche Bank AG and Deutsche Bank Trust Co. America | Deutsche Bank | banking violation | 2020 | NY-DFS | $150,000,000 |
Capital One Bank (USA), National Association | Capital One Financial | banking violation | 2020 | OCC | $80,000,000 |
Deutsche Bank Trust Company Americas | Deutsche Bank | economic sanction violation | 2020 | OFAC | $583,100 |
Teachers Insurance and Annuity Association | TIAA | employment discrimination | 2020 | OFCCP | $1,500,000 |
Wells Fargo Bank, N.A. | Wells Fargo | employment discrimination | 2020 | OFCCP | $7,800,000 |
USAA Casualty Insurance Co. | USAA | insurance violation | 2020 | OR-FIN | $50,000 |
Mutual of Omaha Mortgage, Inc. | Mutual of Omaha | consumer protection violation | 2020 | PA-BKG | $7,000 |
Solium Financial Services LLC | Morgan Stanley | investor protection violation | 2020 | PA-BKG | $52,372 |
Federal Insurance Co. | Chubb Limited | insurance violation | 2020 | SD-INS | $25,000 |
Solium Financial Services LLC | Morgan Stanley | investor protection violation | 2020 | SD-SEC | $5,750 |
Northern Trust Hedge Fund Services LLC | Northern Trust | investor protection violation | 2020 | SEC | $167,629 |
Interactive Brokers LLC | Interactive Brokers Group | investor protection violation | 2020 | SEC | $11,500,000 |
World Acceptance Corporation | World Acceptance Corporation | Foreign Corrupt Practices Act | 2020 | SEC | $21,700,000 |
VALIC Financial Advisors Inc. | American International Group | investor protection violation | 2020 | SEC | $39,900,000 |
UBS Financial Services Inc. | UBS | investor protection violation | 2020 | SEC | $10,000,000 |
Franklin Advisers and Inc. | Franklin Resources | investor protection violation | 2020 | SEC | $250,000 |
Franklin Templeton Investments Corp. | Franklin Resources | investor protection violation | 2020 | SEC | $75,000 |
BNP Paribas Securities Corp. | BNP Paribas | investor protection violation | 2020 | SEC | $250,000 |
SG Americas Securities LLC | Societe Generale | investor protection violation | 2020 | SEC | $1,550,000 |
New Hampshire Insurance Co. | American International Group | insurance violation | 2020 | TX-INS | $7,000 |
Old Republic Insurance Co. | Old Republic International | insurance violation | 2020 | TX-INS | $18,150 |
Zurich American Insurance Co. of Illinois | Zurich Insurance | insurance violation | 2020 | TX-INS | $10,800 |
Property and Casualty Insurance Co. of Hartford | Hartford Financial Services | insurance violation | 2020 | TX-INS | $20,000 |
Travelers Property Casualty Co. of America | Travelers | insurance violation | 2020 | TX-INS | $10,000 |
Old Republic Insurance Co. | Old Republic International | insurance violation | 2020 | TX-INS | $7,000 |
Twin City Fire Insurance Co. | Hartford Financial Services | insurance violation | 2020 | TX-INS | $6,000 |
New Hampshire Insurance Co. | American International Group | insurance violation | 2020 | TX-INS | $16,500 |
XL Specialty Insurance Co. | AXA | insurance violation | 2020 | TX-INS | $7,000 |
Ace American Insurance Co. | Chubb Limited | insurance violation | 2020 | TX-INS | $19,500 |
New Hampshire Insurance Co. | American International Group | insurance violation | 2020 | TX-INS | $9,500 |
New Hampshire Insurance Co. | American International Group | insurance violation | 2020 | TX-INS | $5,500 |
Amica Mutual Insurance Co. | Amica Mutual Insurance | insurance violation | 2020 | TX-INS | $120,000 |
Trumbull Insurance Co. | Hartford Financial Services | insurance violation | 2020 | TX-INS | $15,000 |
Sentinel Insurance Company, Ltd. | Hartford Financial Services | insurance violation | 2020 | TX-INS | $10,000 |
Solium Financial Services LLC | Morgan Stanley | investor protection violation | 2020 | TX-SEC | $46,073 |
Dairyland Insurance Co. and Peak Property and Casualty Insurance Corp. | Sentry Insurance | insurance violation | 2020 | VA-INS | $140,492 |
Santander Consumer USA Inc. | Banco Santander | consumer protection violation | 2020 | VT-AG | $105,000 |
State Farm Life Insurance Co. | State Farm Insurance | insurance violation | 2020 | VT-FIN | $204,000 |
Arch Insurance Co. | Arch Capital | insurance violation | 2020 | WA-INS | $10,000 |
Crestbrook Insurance Co. | Nationwide | insurance violation | 2020 | WA-INS | $5,000 |
Cincinnati Insurance Co. | Cincinnati Financial | insurance violation | 2020 | WA-INS | $5,000 |
National Union Fire Insurance Company of Pittsburgh, PA. et al. | American International Group | insurance violation | 2020 | WA-INS | $20,000 |
Guardian Life Insurance Company of America | Guardian Life Insurance | insurance violation | 2020 | WA-INS | $5,000 |
Northwestern Mutual Life Insurance Co. | Northwestern Mutual | insurance violation | 2020 | WA-INS | $50,000 |
Security National Insurance Co. | Zurich Insurance | insurance violation | 2020 | WA-INS | $5,000 |
Privilege Underwriters Reciprocal Exchange | Tokio Marine | insurance violation | 2020 | WA-INS | $5,000 |
Farmers Insurance Exchange | Farmers Insurance Exchange | wage and hour violation | 2020 | private lawsuit-federal | $5,400,000 |
U.S. Bank National Association | U.S. Bancorp | wage and hour violation | 2020 | private lawsuit-federal | $6,500,000 |
JPMorgan Chase Bank, N.A. | JPMorgan Chase | wage and hour violation | 2020 | private lawsuit-federal | $3,750,000 |
HSBC | HSBC | False Claims Act and related | 2020 | CA-AG | $7,000,000 |
Morgan Stanley Smith Barney FA Notes Holdings LLC | Morgan Stanley | consumer protection violation | 2020 | CA-DFPI | $1,000,000 |
PHH Mortgage Corporation | Ocwen Financial | consumer protection violation | 2020 | CA-DFPI | $62,000 |
Freedom Mortgage Corporation | Freedom Mortgage | consumer protection violation | 2020 | CA-DFPI | $75,000 |
Oscar Health Plan of California | Oscar Health Inc. | insurance violation | 2020 | CA-MHC | $15,000 |
Oscar Health Plan of California | Oscar Health Inc. | insurance violation | 2020 | CA-MHC | $15,000 |
Nationstar Mortgage, LLC dba Mr. Cooper | Mr. Cooper Group | consumer protection violation | 2020 | CFPB | $74,500,000 |
Washington Federal Bank, N.A. | Washington Federal Inc. | consumer protection violation | 2020 | CFPB | $200,000 |
Encore Capital Group, Inc. | Encore Capital Group | consumer protection violation | 2020 | CFPB | $15,079,308 |
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 |
Solium Financial Services LLC | Morgan Stanley | investor protection violation | 2020 | CO-SEC | $69,338 |
Janney Montgomery Scott, LLC | Penn Mutual | investor protection violation | 2020 | CT-BKG | $150,000 |
Schupp & Grochmal, LLC | Schupp & Grochmal | investor protection violation | 2020 | CT-BKG | $10,510 |
Highmark BCBSD Inc | Highmark Inc. | insurance violation | 2020 | DE-INS | $299,000 |