Barclays Capital Inc. | Barclays | financial services | toxic securities abuses | 2015 | NCUA | $325,000,000 |
Royal Bank of Scotland plc | NatWest Group PLC | financial services | toxic securities abuses | 2015 | NCUA | $129,600,000 |
HSBC | HSBC | financial services | toxic securities abuses | 2012 | NCUA | $5,250,000 |
Barclays | Barclays | financial services | price-fixing or anti-competitive practices | 2015 | CFTC | $400,000,000 |
Barclays | Barclays | financial services | price-fixing or anti-competitive practices | 2015 | CFTC | $115,000,000 |
HSBC Bank | HSBC | financial services | price-fixing or anti-competitive practices | 2014 | CFTC | $275,000,000 |
Royal Bank of Scotland plc | NatWest Group PLC | financial services | price-fixing or anti-competitive practices | 2014 | CFTC | $290,000,000 |
Lloyds Banking Group plc | Lloyds Banking Group | financial services | price-fixing or anti-competitive practices | 2014 | CFTC | $105,000,000 |
Royal Bank of Scotland plc | NatWest Group PLC | financial services | price-fixing or anti-competitive practices | 2013 | CFTC | $325,000,000 |
Barclays PLC | Barclays | financial services | price-fixing or anti-competitive practices | 2012 | CFTC | $200,000,000 |
Barclays Bank PLC | Barclays | financial services | price-fixing or anti-competitive practices | 2017 | FERC | $105,000,000 |
HSBC | HSBC | financial services | mortgage abuses | 2014 | USAO | $10,000,000 |
Coutts & Co Ltd | NatWest Group PLC | financial services | tax violations | 2015 | DOJ_TAX | $78,484,000 |
Standard Chartered Bank (Switzerland) SA, en liquidation | Standard Chartered | financial services | tax violations | 2015 | DOJ_TAX | $6,337,000 |
Barclays Bank PLC | Barclays | financial services | economic sanction violation | 2016 | OFAC | $2,485,890 |
Royal Bank of Scotland PLC | NatWest Group PLC | financial services | economic sanction violation | 2013 | OFAC | $33,000,000 |
Standard Chartered Bank | Standard Chartered | financial services | economic sanction violation | 2012 | OFAC | (*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $132,000,000 |
HSBC Holdings | HSBC | financial services | economic sanction violation | 2012 | OFAC | $375,000,000 |
Balli Aviation Ltd. and Balli Group PLC | Balli Group | financial services | export control violation | 2010 | BIS | $15,000,000 |
HSBC Finance Corporation | HSBC | financial services | consumer protection violation | 2016 | DOJ_RIGHTS | $434,500 |
Barclays Capital Inc. | Barclays | financial services | investor protection violation | 2016 | CFTC | $800,000 |
Barclays Bank PLC | Barclays | financial services | investor protection violation | 2016 | CFTC | $560,000 |
Republic New York Securities Corporation | HSBC | financial services | investor protection violation | 2001 | CFTC | $5,000,000 |
Lloyds TSB Bank PLC | Lloyds Banking Group | financial services | economic sanction violation | 2009 | DOJ_CRIMINAL | $175,000,000 |
Barclays Bank PLC | Barclays | financial services | economic sanction violation | 2004 | OFAC | $14,970 |
HSBC Bank USA | HSBC | financial services | economic sanction violation | 2004 | OFAC | $5,500 |
HSBC Bank USA | HSBC | financial services | economic sanction violation | 2004 | OFAC | $8,375 |
Barclays Bank PLC | Barclays | financial services | economic sanction violation | 2003 | OFAC | $10,107 |
HSBC Bank USA | HSBC | financial services | economic sanction violation | 2003 | OFAC | $5,500 |
HSBC Bank USA | HSBC | financial services | economic sanction violation | 2003 | OFAC | $11,000 |
HSBC Bank USA, N.A. | HSBC | financial services | investor protection violation | 2007 | SEC | $10,500,000 |
Barclays Bank PLC | Barclays | financial services | insider trading | 2007 | SEC | $10,943,561 |
Janus Capital Management LLC | Janus Henderson | financial services | investor protection violation | 2004 | SEC | $100,000,000 |
Barclays Bank PLC | Barclays | financial services | data submission deficiencies | 2016 | CFTC | $500,000 |
Balli Aviation Ltd. | Balli Group | financial services | export control violation | 2010 | DOJ_NATSEC | $2,000,000 |
HSBC Bank USA, National Association | HSBC | financial services | banking violation | 2017 | OCC | $32,500,000 |
Barclays Capital Inc. | Barclays | financial services | wage and hour violation | 2009 | WHD | $9,707 |
IFCO Systems North America, Inc. | Triton Investments Advisers | financial services | wage and hour violation | 2009 | WHD | $22,377 |
HSBC | HSBC | financial services | wage and hour violation | 2007 | WHD | $16,545 |
HSBC North America Inc | HSBC | financial services | wage and hour violation | 2006 | WHD | $5,357 |
HSBC North America Inc. | HSBC | financial services | wage and hour violation | 2006 | WHD | $11,489 |
HSBC North America Inc. | HSBC | financial services | wage and hour violation | 2006 | WHD | $12,685 |
HSBC North America Inc. | HSBC | financial services | wage and hour violation | 2006 | WHD | $8,273 |
HSBC Bank | HSBC | financial services | wage and hour violation | 2006 | WHD | $7,599 |
IFCO Systems of North America Inc. | Triton Investments Advisers | financial services | wage and hour violation | 2006 | WHD | $82,085 |
IFCO Systems North America, Inc. | Triton Investments Advisers | financial services | wage and hour violation | 2006 | WHD | $1,712,712 |
IFCO Systems of North America, Inc. | Triton Investments Advisers | financial services | wage and hour violation | 2006 | WHD | $84,459 |
IFCO Systems North America, Inc. | Triton Investments Advisers | financial services | wage and hour violation | 2006 | WHD | $294,023 |
IFCO Systems North America, Inc. | Triton Investments Advisers | financial services | wage and hour violation | 2006 | WHD | $270,379 |
IFCO Systems of North America, Inc. | Triton Investments Advisers | financial services | wage and hour violation | 2006 | WHD | $13,399 |
IFCO Systems of North America, Inc. | Triton Investments Advisers | financial services | wage and hour violation | 2006 | WHD | $108,261 |
Towers Perrin | Willis Towers Watson | financial services | wage and hour violation | 2005 | WHD | $105,865 |
Towers, Perrin, Forrester & Crosby | Willis Towers Watson | financial services | wage and hour violation | 2005 | WHD | $294,279 |
Towers Perrin | Willis Towers Watson | financial services | wage and hour violation | 2004 | WHD | $376,093 |
Household International | HSBC | financial services | wage and hour violation | 2003 | WHD | $54,328 |
Royal Bank of Scotland plc | NatWest Group PLC | financial services | price-fixing or anti-competitive practices | 2017 | CFTC | $85,000,000 |
IFCO SYSTEMS | Triton Investments Advisers | financial services | labor relations violation | 2013 | NLRB | $91,866 |
Watson Wyatt & Co. | Willis Towers Watson | financial services | labor relations violation | 2005 | NLRB | $91,000 |
Barclays Capital | Barclays | financial services | investor protection violation | 2017 | SEC | $97,037,659 |
Royal Bank of Scotland PLC | NatWest Group PLC | financial services | toxic securities abuses | 2017 | FHFA | $5,500,000,000 |
HSBC Holdings | HSBC | financial services | banking violation | 2017 | FED | $175,000,000 |
RBS Securities Inc. | NatWest Group PLC | financial services | toxic securities abuses | 2017 | USAO | $44,000,000 |
HSBC Bank USA N.A. | HSBC | financial services | False Claims Act and related | 2017 | USAO | $2,118,861 |
IFCO Systems | Triton Investments Advisers | financial services | work visa violations | 2008 | USAO | $20,700,000 |
Republic New York Securities | HSBC | financial services | fraud | 2001 | USAO | $569,000,000 |
HSBC Holdings plc | HSBC | financial services | fraud | 2018 | DOJ_CRIMINAL | $100,000,000 |
Barclays Capital Inc. | Barclays | financial services | investor protection violation | 2017 | SEC | $12,710,040 |
Barclays Capital Inc. | Barclays | financial services | investor protection violation | 2016 | SEC | $500,000 |
HSBC Securities (USA) Inc. | HSBC | financial services | investor protection violation | 2018 | CFTC | $1,600,000 |
Barclays Capital, Inc. | Barclays | financial services | toxic securities abuses | 2018 | USAO | $2,000,000,000 |
Royal Bank of Scotland Group plc | NatWest Group PLC | financial services | investor protection violation | 2014 | SEC | $120,000 |
HSBC | HSBC | financial services | wage and hour violation | 2016 | private lawsuit-federal | $6,982,000 |
HSBC Bank | HSBC | financial services | wage and hour violation | 2013 | private lawsuit-federal | $15,625,000 |
HSBC Auto Finance | HSBC | financial services | wage and hour violation | 2009 | private lawsuit-federal | $420,000 |
Royal Bank of Scotland Group plc | NatWest Group PLC | financial services | toxic securities abuses | 2018 | DOJ_CIVIL | $4,900,000,000 |
NatWest Markets Plc | NatWest Group PLC | financial services | investor protection violation | 2018 | CFTC | $750,000 |
HSBC | HSBC | financial services | toxic securities abuses | 2018 | USAO | $765,000,000 |
Willis Group | Willis Towers Watson | financial services | employment discrimination | 2011 | private lawsuit-federal | $11,595,038 |
Willis Group | Willis Towers Watson | financial services | employment discrimination | 2008 | private lawsuit-federal | $12,757,949 |
HSBC Bank USA | HSBC | financial services | benefit plan administrator violation | 2005 | private lawsuit-federal | $9,350,000 |
Household International | HSBC | financial services | benefit plan administrator violation | 2004 | private lawsuit-federal | $46,500,000 |
Standard Chartered Bank | Standard Chartered | financial services | economic sanction violation | 2019 | DOJ_CRIMINAL | $292,210,160 |
Standard Chartered plc | Standard Chartered | financial services | banking violation | 2019 | FED | $164,000,000 |
Standard Chartered Bank | Standard Chartered | financial services | economic sanction violation | 2019 | OFAC | (*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $657,040,033 |
Barclays Bank PLC | Barclays | financial services | price-fixing or anti-competitive practices | 2016 | MULTI-AG | $100,000,000 |
Barclays Bank PLC | Barclays | financial services | toxic securities abuses | 2013 | MA-AG | $36,100,000 |
Barclays Capital Inc. | Barclays | financial services | investor protection violation | 2016 | NY-AG | $35,000,000 |
Barclays Capital Inc. | Barclays | financial services | toxic securities abuses | 2016 | VA-AG | $9,000,000 |
Household Finance Corp. | HSBC | financial services | mortgage abuses | 2002 | MULTI-AG | $484,000,000 |
HSBC | HSBC | financial services | mortgage abuses | 2016 | MULTI-AG | (*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $59,500,000 |
HSBC | HSBC | financial services | consumer protection violation | 2016 | MA-AG | $4,000,000 |
HSBC | HSBC | financial services | consumer protection violation | 2015 | MO-AG | $825,000 |
HSBC Bank USA, N.A. | HSBC | financial services | environmental violation | 2007 | NY-AG | $918,000 |
HSBC Finance Corporation | HSBC | financial services | consumer protection violation | 2013 | WV-AG | $1,950,000 |
HSBC Securities | HSBC | financial services | mortgage abuses | 2018 | MA-AG | $26,800,000 |
HSBC Securities (USA) Inc. | HSBC | financial services | toxic securities abuses | 2016 | VA-AG | $2,500,000 |
Janus Capital Management | Janus Henderson | financial services | investor protection violation | 2004 | MULTI-AG | $225,000,000 |
RBS Financial Products | NatWest Group PLC | financial services | toxic securities abuses | 2012 | NV-AG | $42,000,000 |
RBS Financial Products Inc. | NatWest Group PLC | financial services | toxic securities abuses | 2011 | MA-AG | $52,000,000 |
RBS Securities Inc. | NatWest Group PLC | financial services | toxic securities abuses | 2016 | VA-AG | $10,000,000 |
RBS Securities, Inc. | NatWest Group PLC | financial services | toxic securities abuses | 2016 | CT-AG | $120,000,000 |