Barclays Capital Inc. | Barclays | wage and hour violation | 2009 | WHD | $9,707 |
Barclays Capital | Barclays | investor protection violation | 2017 | SEC | $97,037,659 |
Barclays Capital Inc. | Barclays | investor protection violation | 2017 | SEC | $12,710,040 |
Barclays Capital Inc. | Barclays | investor protection violation | 2016 | SEC | $500,000 |
Barclays Capital, Inc. | Barclays | toxic securities abuses | 2018 | USAO | $2,000,000,000 |
Barclays Bank PLC | Barclays | price-fixing or anti-competitive practices | 2016 | MULTI-AG | $100,000,000 |
Barclays Bank PLC | Barclays | toxic securities abuses | 2013 | MA-AG | $36,100,000 |
Barclays Capital Inc. | Barclays | investor protection violation | 2016 | NY-AG | $35,000,000 |
Barclays Capital Inc. | Barclays | toxic securities abuses | 2016 | VA-AG | $9,000,000 |
Barclays PLC | Barclays | price-fixing or anti-competitive practices | 2018 | DOJ_CRIMINAL | $12,896,011 |
Barclays PLC | Barclays | Foreign Corrupt Practices Act | 2019 | SEC | $6,308,726 |
Barclays plc | Barclays | economic sanction violation | 2010 | NY-MANDA | (*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $149,000,000 |
Barclays Bank PLC | Barclays | price-fixing or anti-competitive practices | 2015 | NY-DFS | $485,000,000 |
Barclays Bank PLC | Barclays | price-fixing or anti-competitive practices | 2015 | NY-DFS | $150,000,000 |
Barclays Bank PLC | Barclays | workplace whistleblower retaliation | 2018 | NY-DFS | $15,000,000 |
Barclays Capital Inc. | Barclays | investor protection violation | 2016 | FINRA | $1,300,000 |
Barclays Capital, Inc. | Barclays | investor protection violation | 2015 | FINRA | $13,750,000 |
Barclays Capital Inc. | Barclays | investor protection violation | 2014 | FINRA | $5,000,000 |
Barclays Capital Inc. | Barclays | investor protection violation | 2014 | FINRA | $1,000,000 |
Barclays Capital Inc. | Barclays | investor protection violation | 2013 | FINRA | $3,750,000 |
Barclays Capital Inc. | Barclays | investor protection violation | 2011 | FINRA | $3,000,000 |
Barclays Capital Inc. | Barclays | toxic securities abuses | 2021 | NM-AG | $4,642,857 |
Barclays Bank PLC | Barclays | investor protection violation | 2022 | CFTC | $75,000,000 |
Barclays Bank PLC | Barclays | investor protection violation | 2022 | SEC | $361,000,000 |
Barclays Capital Inc. | Barclays | investor protection violation | 2022 | SEC | $125,000,000 |
Barclays Bank PLC | Barclays | price-fixing or anti-competitive practices | 2020 | private lawsuit-federal | $7,100,000 |
Barclays Bank PLC | Barclays | price-fixing or anti-competitive practices | 2020 | private lawsuit-federal | $19,975,000 |
Barclays Bank PLC | Barclays | price-fixing or anti-competitive practices | 2018 | private lawsuit-federal | $120,000,000 |
Barclays Bank PLC | Barclays | price-fixing or anti-competitive practices | 2018 | private lawsuit-federal | $384,000,000 |
Barclays Bank PLC | Barclays | price-fixing or anti-competitive practices | 2018 | private lawsuit-federal | $30,000,000 |
Barclays Bank PLC | Barclays | price-fixing or anti-competitive practices | 2022 | private lawsuit-federal | $12,500,000 |
Barclays Bank PLC | Barclays | price-fixing or anti-competitive practices | 2018 | private lawsuit-federal | $29,000,000 |
Barclays Bank PLC | Barclays | price-fixing or anti-competitive practices | 2022 | private lawsuit-federal | $7,000,000 |
Barclays Capital Inc. | Barclays | price-fixing or anti-competitive practices | 2020 | private lawsuit-federal | $87,000,000 |
Barclays PLC | Barclays | price-fixing or anti-competitive practices | 2018 | private lawsuit-federal | $94,000,000 |
Barclays PLC | Barclays | price-fixing or anti-competitive practices | 2021 | private lawsuit-federal | $5,700,000 |
BarclaysPLC | Barclays | price-fixing or anti-competitive practices | 2016 | private lawsuit-federal | $155,333,333 |
Barclays Bank PLC | Barclays | price-fixing or anti-competitive practices | 2023 | private lawsuit-federal | $17,750,000 |
Banner Bank | Banner Corp. | wage and hour violation | 2024 | private lawsuit-federal | $15,000,000 |
THE BANK OF NEW YORK MELLON | Bank of New York Mellon | banking violation | 2012 | FED | $6,000,000 |
BNY Mellon | Bank of New York Mellon | Foreign Corrupt Practices Act | 2015 | SEC | $14,800,000 |
Bank of New York Mellon | Bank of New York Mellon | banking violation | 2015 | USAO | $714,000,000 |
BNY Mellon Capital Markets, LLC | Bank of New York Mellon | investor protection violation | 2015 | SEC | $120,000 |
Mellon Bank, N.A. | Bank of New York Mellon | False Claims Act and related | 2007 | DOJ_CIVIL | $16,500,000 |
The Bank of New York | Bank of New York Mellon | economic sanction violation | 2005 | OFAC | $5,844 |
Bank of New York | Bank of New York Mellon | economic sanction violation | 2004 | OFAC | $137,500 |
Bank of New York | Bank of New York Mellon | economic sanction violation | 2004 | OFAC | $34,623 |
Bank of New York | Bank of New York Mellon | economic sanction violation | 2004 | OFAC | $27,500 |
Bank of New York | Bank of New York Mellon | economic sanction violation | 2004 | OFAC | $5,500 |
Mellon Bank N.A. | Bank of New York Mellon | economic sanction violation | 2004 | OFAC | $10,400 |
Bank of New York | Bank of New York Mellon | economic sanction violation | 2003 | OFAC | $24,750 |
BNY Mellon | Bank of New York Mellon | investor protection violation | 2017 | SEC | $6,600,000 |
Bank of New York Mellon Corporation | Bank of New York Mellon | banking violation | 2017 | FED | $3,000,000 |
The Bank of New York | Bank of New York Mellon | anti-money-laundering deficiencies | 2005 | USAO | $38,000,000 |
Bank of New York Mellon (Shanghai Branch) | Bank of New York Mellon | export control violation | 2011 | BIS | $30,000 |
BNY Mellon Securities LLC | Bank of New York Mellon | investor protection violation | 2011 | SEC | $24,045,447 |
Bank of New York Mellon | Bank of New York Mellon | benefit plan administrator violation | 2015 | EBSA | $84,000,000 |
Bank of New York Mellon | Bank of New York Mellon | banking violation | 2018 | FED | $16,000 |
The Bank Of New York | Bank of New York Mellon | investor protection violation | 2007 | SEC | $750,000 |
Dreyfus Corporation | Bank of New York Mellon | investor protection violation | 2000 | SEC | $950,000 |
Bank of New York Mellon Corporation | Bank of New York Mellon | benefit plan administrator violation | 2015 | private lawsuit-federal | $335,000,000 |
Bank of New York Mellon Corporation | Bank of New York Mellon | benefit plan administrator violation | 2009 | private lawsuit-federal | $2,200,000 |
Bank of New York Mellon | Bank of New York Mellon | investor protection violation | 2018 | SEC | $54,000,000 |
Bank of New York Mellon | Bank of New York Mellon | investor protection violation | 2013 | FL-AG | $28,000,000 |
Bank of New York Mellon | Bank of New York Mellon | employment discrimination | 2010 | NJ-AG | $188,037 |
Bank of New York Mellon | Bank of New York Mellon | banking violation | 2015 | NY-AG | $167,500,000 |
Bank of New York Mellon Corp. | Bank of New York Mellon | investor protection violation | 2011 | MULTI-AG | $1,300,000 |
BNY Mellon Shareowner Services | Bank of New York Mellon | investor protection violation | 2010 | MA-AG | $30,000 |
Dreyfus Corporation | Bank of New York Mellon | investor protection violation | 2000 | NY-AG | $2,000,000 |
Bank of New York Mellon | Bank of New York Mellon | investor protection violation | 2019 | CFTC | $750,000 |
Mellon Bank N.A. | Bank of New York Mellon | False Claims Act and related | 2006 | USAO | $18,130,405 |
BNY Mellon Capital Markets LLC | Bank of New York Mellon | investor protection violation | 2011 | TX-SEC | $500,000 |
BNY Mellon Capital Markets, LLC | Bank of New York Mellon | investor protection violation | 2008 | FINRA | $250,000 |
BNY Mellon Investment Adviser, Inc. | Bank of New York Mellon | investor protection violation | 2022 | SEC | $1,500,000 |
BNY Mellon Capital Markets LLC | Bank of New York Mellon | investor protection violation | 2022 | SEC | $956,833 |
The Bank of New York Mellon Corporation | Bank of New York Mellon | employment discrimination | 2022 | OFCCP | $1,925,000 |
Bank of New York Mellon | Bank of New York Mellon | consumer protection violation | 2019 | private lawsuit-federal | $72,500,000 |
BNY Mellon | Bank of New York Mellon | consumer protection violation | 2019 | private lawsuit-federal | $10,000,000 |
Bank of the West | Bank of Montreal | employment discrimination | 2011 | EEOC | $48,000 |
BMO Harris Bank | Bank of Montreal | employment discrimination | 2013 | EEOC | $400,000 |
BMO Harris Bank N.A. | Bank of Montreal | Family and Medical Leave Act | 2015 | WHD | $11,304 |
Bank of the West | Bank of Montreal | wage and hour violation | 2015 | WHD | $33,750 |
BMO Financial | Bank of Montreal | wage and hour violation | 2016 | private lawsuit-federal | $700,000 |
BMO Financial | Bank of Montreal | wage and hour violation | 2015 | private lawsuit-federal | $3,900,000 |
Harris N.A. | Bank of Montreal | benefit plan administrator violation | 2007 | EBSA | $274,600 |
BMO Harris Bank, N.A. | Bank of Montreal | fraud | 2018 | USAO | $10,000,000 |
BMO Capital Markets Corporation | Bank of Montreal | investor protection violation | 2019 | SEC | $3,946,000 |
BANK OF THE WEST | Bank of Montreal | banking violation | 2011 | FDIC | $135,000 |
BANK OF THE WEST | Bank of Montreal | banking violation | 2010 | FDIC | $68,200 |
BMO Harris Financial Advisors Inc. and BMO Asset Management Corp. | Bank of Montreal | investor protection violation | 2019 | SEC | $37,980,000 |
BMO Capital Markets Corp. | Bank of Montreal | investor protection violation | 2019 | SEC | $1,950,000 |
BMO Capital Markets Corp. | Bank of Montreal | investor protection violation | 2008 | FINRA | $150,000 |
Bank of the West | Bank of Montreal | banking violation | 2021 | FDIC | $281,000 |
Bank Of The West | Bank of Montreal | wage and hour violation | 2020 | CA-LCO | $5,783 |
Bank of the West | Bank of Montreal | consumer protection violation | 2012 | private lawsuit-federal | $18,000,000 |
BMO Harris | Bank of Montreal | consumer protection violation | 2013 | private lawsuit-federal | $9,400,000 |
BMO Harris | Bank of Montreal | consumer protection violation | 2013 | private lawsuit-federal | $4,000,000 |
Bank of Montreal | Bank of Montreal | investor protection violation | 2023 | CFTC | $35,000,000 |
BMO Capital Markets Corp | Bank of Montreal | investor protection violation | 2023 | SEC | $25,000,000 |
Bank of Hawaii | Bank of Hawaii | benefit plan administrator violation | 2009 | EBSA | $2,500,000 |
Bank of Hawaii | Bank of Hawaii | wage and hour violation | 2018 | WHD | $7,631 |