JPMorgan Chase Bank | JPMorgan Chase | financial services | economic sanction violation | 2011 | OFAC | $88,300,000 |
State Street Bank and Trust Company | State Street Corp. | financial services | investor protection violation | 2016 | SEC | $382,400,000 |
Merrill Lynch | Bank of America | financial services | investor protection violation | 2016 | SEC | $10,000,000 |
Merrill Lynch | Bank of America | financial services | investor protection violation | 2016 | SEC | $415,000,000 |
Morgan Stanley Smith Barney LLC | Morgan Stanley | financial services | investor protection violation | 2016 | SEC | $1,000,000 |
INTL FCStone | StoneX Group | financial services | accounting fraud or deficiencies | 2016 | SEC | $150,000 |
KeyBanc Capital Markets Inc. | KeyCorp | financial services | accounting fraud or deficiencies | 2016 | SEC | $175,000 |
Ocwen Financial Corp. | Ocwen Financial | financial services | accounting fraud or deficiencies | 2016 | SEC | $2,000,000 |
Guggenheim Partners Investment Management LLC | Guggenheim Partners | financial services | investor protection violation | 2015 | SEC | $20,000,000 |
First Bancorp | First Bancorp (North Carolina) | financial services | accounting fraud or deficiencies | 2015 | SEC | $275,000 |
Nationwide Life Insurance Company | Nationwide | financial services | investor protection violation | 2015 | SEC | $8,000,000 |
Macquarie Capital (USA) Inc. | Macquarie | financial services | investor protection violation | 2015 | SEC | $15,000,000 |
Hampton Roads Bankshares | Atlantic Union Bankshares | financial services | accounting fraud or deficiencies | 2014 | SEC | $200,000 |
Wedbush Securities | Wedbush Securities | financial services | investor protection violation | 2014 | SEC | $2,440,000 |
Charles Schwab & Co. | Charles Schwab Corp. | financial services | investor protection violation | 2014 | SEC | $61,800 |
Interactive Brokers LLC | Interactive Brokers Group | financial services | investor protection violation | 2014 | SEC | $56,000 |
Investment Professionals Inc. | Ameriprise Financial | financial services | investor protection violation | 2014 | SEC | $67,800 |
J.P. Morgan Securities | JPMorgan Chase | financial services | investor protection violation | 2014 | SEC | $54,000 |
Oppenheimer & Co. | Oppenheimer Holdings | financial services | investor protection violation | 2014 | SEC | $61,200 |
Stifel Nicolaus & Co. | Stifel Financial | financial services | investor protection violation | 2014 | SEC | $60,000 |
TD Ameritrade | Charles Schwab Corp. | financial services | investor protection violation | 2014 | SEC | $100,800 |
UBS Financial Services | UBS | financial services | investor protection violation | 2014 | SEC | $56,400 |
Wedbush Securities Inc. | Wedbush Securities | financial services | investor protection violation | 2014 | SEC | $67,200 |
Wilmington Trust | M&T Bank | financial services | accounting fraud or deficiencies | 2014 | SEC | $18,500,000 |
LavaFlow Inc. | Citigroup | financial services | investor protection violation | 2014 | SEC | $5,000,000 |
Transamerica Financial Advisors | Aegon | financial services | investor protection violation | 2014 | SEC | $1,107,248 |
Western Asset Management Company | Franklin Resources | financial services | investor protection violation | 2014 | SEC | $19,400,000 |
ConvergEx Group | Toronto-Dominion Bank | financial services | investor protection violation | 2013 | SEC | $107,424,429 |
TD Bank | Toronto-Dominion Bank | financial services | investor protection violation | 2013 | SEC | $15,000,000 |
AXA Rosenberg | AXA | financial services | investor protection violation | 2011 | SEC | $242,000,000 |
Merrill Lynch | Bank of America | financial services | investor protection violation | 2011 | SEC | $10,000,000 |
Regions Bank | Regions Financial | financial services | investor protection violation | 2010 | SEC | $1,000,001 |
U.S. Pension Trust Corp. and U.S. College Trust Corp. | U.S. Pension Trust Corp. | financial services | investor protection violation | 2010 | SEC | $112,600,000 |
Assurant Inc. | Assurant | financial services | accounting fraud or deficiencies | 2010 | SEC | $3,500,000 |
Goldman Sachs Group | Goldman Sachs | financial services | banking violation | 2016 | FED | $36,300,000 |
1ST FINANCIAL BANK USA | 1st Financial Bank USA | financial services | banking violation | 2009 | FDIC | (*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $140,000 |
AFB&T | Synovus Financial | financial services | banking violation | 2009 | FDIC | $7,040 |
BANK OF KENTUCKY, INC., THE | Truist Financial | financial services | banking violation | 2009 | FDIC | $30,415 |
American Express Centurion Bank | American Express | financial services | banking violation | 2009 | FDIC | $250,000 |
REPUBLIC BANK & TRUST COMPANY | Republic Bancorp | financial services | banking violation | 2009 | FDIC | $22,000 |
CITIZENS BUSINESS BANK | CVB Financial | financial services | banking violation | 2009 | FDIC | $16,200 |
WELLS FARGO FINANCIAL BANK | Wells Fargo | financial services | banking violation | 2009 | FDIC | $125,000 |
CompuCredit Corporation | Atlanticus Holdings | financial services | banking violation | 2008 | FDIC | $116,400,000 |
BANK OF THE CASCADES | First Interstate Bancsystem | financial services | banking violation | 2008 | FDIC | $43,550 |
UMPQUA BANK | Umpqua Holdings | financial services | banking violation | 2008 | FDIC | $90,240 |
CATHAY BANK | Cathay General Bancorp | financial services | banking violation | 2008 | FDIC | $55,500 |
BUSEY BANK | First Busey Corp. | financial services | banking violation | 2006 | FDIC | $5,200 |
THE RICHLAND TRUST COMPANY | Park National Corp. | financial services | banking violation | 2006 | FDIC | $11,100 |
FIRST BANK | First Bancorp (North Carolina) | financial services | banking violation | 2004 | FDIC | $12,000 |
NEW YORK COMMUNITY BANK | New York Community Bancorp | financial services | banking violation | 2004 | FDIC | $8,000 |
THE COLUMBIA BANK | Fulton Financial | financial services | banking violation | 2002 | FDIC | $7,000 |
Regions Bank | Regions Financial | financial services | banking violation | 2009 | FED | $135,000 |
Compass Bank | PNC Financial Services | financial services | banking violation | 2009 | FED | $70,625 |
Heritage Bank of Commerce | Heritage Commerce Corp. | financial services | banking violation | 2008 | FED | $6,840 |
Capital City Bank | Capital City Bank Group | financial services | banking violation | 2007 | FED | $85,045 |
Hanmi Bank | Hanmi Financial Corp. | financial services | banking violation | 2007 | FED | $8,835 |
East West Bank | East West Bancorp | financial services | banking violation | 2007 | FED | $16,245 |
First Interstate Bank | First Interstate Bancsystem | financial services | banking violation | 2005 | FED | $15,750 |
Citigroup Inc. | Citigroup | financial services | banking violation | 2004 | FED | $70,000,000 |
Credit Agricole S.A. | Credit Agricole | financial services | banking violation | 2004 | FED | $8,000,000 |
U.S. Trust Corporation | Bank of America | financial services | banking violation | 2001 | FED | $5,000,000 |
Credit Suisse AG | UBS | financial services | economic sanction violation | 2009 | DOJ_CRIMINAL | $268,000,000 |
Lloyds TSB Bank PLC | Lloyds Banking Group | financial services | economic sanction violation | 2009 | DOJ_CRIMINAL | $175,000,000 |
Union Bank of California, N.A. | U.S. Bancorp | financial services | anti-money-laundering deficiencies | 2007 | DOJ_CRIMINAL | $21,600,000 |
American Express Bank International | American Express | financial services | anti-money-laundering deficiencies | 2007 | DOJ_CRIMINAL | $55,000,000 |
BankAtlantic | Truist Financial | financial services | anti-money-laundering deficiencies | 2006 | DOJ_CRIMINAL | $10,000,000 |
American International Group, Inc. | American International Group | financial services | accounting fraud or deficiencies | 2006 | DOJ_CRIMINAL | $25,000,000 |
PNC ICLC Corp. | PNC Financial Services | financial services | accounting fraud or deficiencies | 2003 | DOJ_CRIMINAL | $115,000,000 |
UBS AG | UBS | financial services | tax violations | 2009 | DOJ_TAX | $780,000,000 |
Australia and New Zealand Bank Group, Ltd. | Australia and New Zealand Banking Group | financial services | economic sanction violation | 2009 | OFAC | $5,750,000 |
A.G. Edwards and Sons Inc. | Wells Fargo | financial services | economic sanction violation | 2008 | OFAC | $122,358 |
BankAtlantic | Truist Financial | financial services | economic sanction violation | 2008 | OFAC | $7,500 |
BB&T | Truist Financial | financial services | economic sanction violation | 2007 | OFAC | $10,000 |
Citigroup, N. A. | Citigroup | financial services | economic sanction violation | 2008 | OFAC | $16,250 |
Key Bank National Association | KeyCorp | financial services | economic sanction violation | 2008 | OFAC | $200,000 |
American Express Travel Related Services Co., Inc. | American Express | financial services | economic sanction violation | 2007 | OFAC | $16,625 |
National Australia Bank Ltd. | National Australia Bank | financial services | economic sanction violation | 2007 | OFAC | $100,000 |
Wachovia Bank | Wells Fargo | financial services | economic sanction violation | 2007 | OFAC | $11,000 |
ABN AMRO Bank, N.V. | ABN AMRO | financial services | economic sanction violation | 2006 | OFAC | $40,000,000 |
Bank of China | Bank of China | financial services | economic sanction violation | 2005 | OFAC | $11,000 |
Fidelity Brokerage Services, Inc. dba Fidelity Investments | Fidelity Investments | financial services | economic sanction violation | 2005 | OFAC | $63,853 |
PNC Bank | PNC Financial Services | financial services | economic sanction violation | 2005 | OFAC | $8,200 |
Seabury & Smith Inc. | Marsh & McLennan | financial services | economic sanction violation | 2005 | OFAC | $46,341 |
SunTrust Bank | Truist Financial | financial services | economic sanction violation | 2005 | OFAC | $40,423 |
SunTrust Bank | Truist Financial | financial services | economic sanction violation | 2005 | OFAC | $30,800 |
The Bank of New York | Bank of New York Mellon | financial services | economic sanction violation | 2005 | OFAC | $5,844 |
Union Bank of California | U.S. Bancorp | financial services | economic sanction violation | 2005 | OFAC | $5,500 |
Wachovia Bank | Wells Fargo | financial services | economic sanction violation | 2005 | OFAC | $5,500 |
Wells Fargo Bank | Wells Fargo | financial services | economic sanction violation | 2005 | OFAC | $42,833 |
ABN AMRO Bank, Inc | ABN AMRO | financial services | economic sanction violation | 2004 | OFAC | $25,847 |
American Express | American Express | financial services | economic sanction violation | 2004 | OFAC | $18,391 |
American Express Bank Ltd. | American Express | financial services | economic sanction violation | 2004 | OFAC | $5,041 |
American Express Company | American Express | financial services | economic sanction violation | 2004 | OFAC | $5,500 |
Arab Banking Corp. | Arab Banking Corp. | financial services | economic sanction violation | 2004 | OFAC | $5,500 |
Bank of America | Bank of America | financial services | economic sanction violation | 2004 | OFAC | $13,573 |
Bank of China | Bank of China | financial services | economic sanction violation | 2004 | OFAC | $10,000 |
Bank of New York | Bank of New York Mellon | financial services | economic sanction violation | 2004 | OFAC | $137,500 |
Bank of New York | Bank of New York Mellon | financial services | economic sanction violation | 2004 | OFAC | $34,623 |
Bank of New York | Bank of New York Mellon | financial services | economic sanction violation | 2004 | OFAC | $27,500 |
Bank of New York | Bank of New York Mellon | financial services | economic sanction violation | 2004 | OFAC | $5,500 |
Bank One | JPMorgan Chase | financial services | economic sanction violation | 2004 | OFAC | $5,500 |