Click on the company or penalty amount for more information on each case. Click on the current parent name to reach the summary page for that parent company.
| Company | Current Parent | Current Parent Industry  | Primary Offense Type | Year | Agency | Penalty Amount |
|---|---|---|---|---|---|---|
| Valley Forge Life Insurance Company | Prudential PLC | financial services | insurance violation | 2001 | MA-INS | $11,600 |
| Banner Life Insurance Company | Legal & General Group PLC | financial services | insurance violation | 2002 | MA-INS | $10,900 |
| Valley Forge Life Insurance Company | Prudential PLC | financial services | insurance violation | 2002 | MA-INS | $24,500 |
| Banner Life Insurance Co. | Legal & General Group PLC | financial services | insurance violation | 2011 | MD-INS | $8,300 |
| Elephant Insurance Co. | Admiral Group | financial services | insurance violation | 2014 | MD-INS | $5,000 |
| Elephant Insurance Co. | Admiral Group | financial services | insurance violation | 2014 | MD-INS | $5,000 |
| Elephant Insurance Co. | Admiral Group | financial services | insurance violation | 2018 | MD-INS | $75,000 |
| Household Finance Corpoation | HSBC | financial services | consumer protection violation | 2008 | NE-DBF | $55,000 |
| Royal Bank of Scotland | NatWest Group PLC | financial services | economic sanction violation | 2013 | NY-DFS | $50,000,000 |
| Standard Chartered Bank | Standard Chartered | financial services | anti-money-laundering deficiencies | 2014 | NY-DFS | $300,000,000 |
| William Penn Life Insurance Company | Legal & General Group PLC | financial services | insurance violation | 2018 | NY-DFS | $6,300,000 |
| Barclays Bank PLC | Barclays | financial services | workplace whistleblower retaliation | 2018 | NY-DFS | $15,000,000 |
| Standard Chartered Bank | Standard Chartered | financial services | economic sanction violation | 2019 | NY-DFS | $180,000,000 |
| Elephant Insurance Company | Admiral Group | financial services | insurance violation | 2020 | TX-INS | $80,000 |
| BANNER LIFE INSURANCE COMPANY | Legal & General Group PLC | financial services | insurance violation | 2007 | VA-INS | $5,000 |
| ELEPHANT INSURANCE COMPANY | Admiral Group | financial services | insurance violation | 2012 | VA-INS | $29,709 |
| ELEPHANT INSURANCE COMPANY | Admiral Group | financial services | insurance violation | 2013 | VA-INS | $6,154 |
| ELEPHANT INSURANCE COMPANY | Admiral Group | financial services | insurance violation | 2018 | VA-INS | $79,017 |
| Elephant Insurance Company | Admiral Group | financial services | insurance violation | 2019 | VA-INS | $47,619 |
| HSBC Securities USA Inc | HSBC | financial services | insurance violation | 2011 | WA-INS | $7,000 |
| Banner Life Insurance Company | Legal & General Group PLC | financial services | insurance violation | 2019 | WA-INS | $10,000 |
| HSBC Finance Corporation et al. | HSBC | financial services | discriminatory practices (non-employment) | 2010 | private lawsuit-federal | $6,050,000 |
| HSBC | HSBC | financial services | False Claims Act and related | 2020 | CA-AG | $7,000,000 |
| IFCO SYSTEMS NORTH AMERICA, INC. | Triton Investments Advisers | financial services | air pollution violation | 2008 | FL-DEP | $15,000 |
| RBS Financial Products, Inc. | NatWest Group PLC | financial services | toxic securities abuses | 2020 | MD-AG | $18,000,000 |
| RBS Securities, Inc. | NatWest Group PLC | financial services | investor protection violation | 2016 | FINRA | $2,000,000 |
| Barclays Capital Inc. | Barclays | financial services | investor protection violation | 2014 | FINRA | $1,000,000 |
| Barclays Capital Inc. | Barclays | financial services | investor protection violation | 2013 | FINRA | $3,750,000 |
| HSBC Securities (USA) | HSBC | financial services | investor protection violation | 2010 | FINRA | $1,500,000 |
| HSBC SECURITIES USA INC | HSBC | financial services | insurance violation | 2021 | WA-INS | $10,000 |
| HSBC | HSBC | financial services | employment discrimination | 2020 | NY-NYCCHR | $30,000 |
| Barclays Capital Inc. | Barclays | financial services | toxic securities abuses | 2021 | NM-AG | $4,642,857 |
| NatWest Markets Securities Inc. | NatWest Group PLC | financial services | toxic securities abuses | 2021 | NM-AG | $4,642,857 |
| William Penn Life Insurance Company of New York | Legal & General Group PLC | financial services | insurance violation | 2020 | NY-DFS | $110,000 |
| Banner Life Insurance Company | Legal & General Group PLC | financial services | insurance violation | 2022 | NY-DFS | $3,500,000 |
| Janus Henderson Investors US LLC | Janus Henderson | financial services | investor protection violation | 2022 | SEC | $150,000 |
| Barclays Capital Inc. | Barclays | financial services | investor protection violation | 2022 | SEC | $125,000,000 |
| Barclays Bank PLC | Barclays | financial services | price-fixing or anti-competitive practices | 2020 | private lawsuit-federal | $7,100,000 |
| Barclays Bank PLC | Barclays | financial services | price-fixing or anti-competitive practices | 2020 | private lawsuit-federal | $19,975,000 |
| Barclays Bank PLC | Barclays | financial services | price-fixing or anti-competitive practices | 2022 | private lawsuit-federal | $12,500,000 |
| Barclays Bank PLC | Barclays | financial services | price-fixing or anti-competitive practices | 2022 | private lawsuit-federal | $7,000,000 |
| Barclays Capital Inc. | Barclays | financial services | price-fixing or anti-competitive practices | 2020 | private lawsuit-federal | $87,000,000 |
| Barclays PLC | Barclays | financial services | price-fixing or anti-competitive practices | 2021 | private lawsuit-federal | $5,700,000 |
| BarclaysPLC | Barclays | financial services | price-fixing or anti-competitive practices | 2016 | private lawsuit-federal | $155,333,333 |
| HSBC | HSBC | financial services | price-fixing or anti-competitive practices | 2022 | private lawsuit-federal | $11,000,000 |
| HSBC Bank PLC | HSBC | financial services | price-fixing or anti-competitive practices | 2020 | private lawsuit-federal | $4,750,000 |
| HSBC Bank PLC | HSBC | financial services | price-fixing or anti-competitive practices | 2020 | private lawsuit-federal | $11,100,000 |
| HSBC Bank PLC | HSBC | financial services | price-fixing or anti-competitive practices | 2020 | private lawsuit-federal | $18,500,000 |
| HSBC Bank PLC | HSBC | financial services | price-fixing or anti-competitive practices | 2022 | private lawsuit-federal | $42,000,000 |
| HSBC Bank USA N.A. | HSBC | financial services | price-fixing or anti-competitive practices | 2018 | private lawsuit-federal | $14,000,000 |
| HSBC HoldingsPLC | HSBC | financial services | price-fixing or anti-competitive practices | 2016 | private lawsuit-federal | $155,333,333 |
| HSBC Securities (USA) Inc. | HSBC | financial services | price-fixing or anti-competitive practices | 2021 | private lawsuit-federal | $30,000,000 |
| HSBC Securities (USA) Inc. | HSBC | financial services | price-fixing or anti-competitive practices | 2020 | private lawsuit-federal | $20,833,333 |
| National Westminster Bank plc | NatWest Group PLC | financial services | price-fixing or anti-competitive practices | 2016 | private lawsuit-federal | $3,500,000 |
| Royal Bank of Scotland Group | NatWest Group PLC | financial services | price-fixing or anti-competitive practices | 2020 | private lawsuit-federal | $13,000,000 |
| Royal Bank of Scotland Group | NatWest Group PLC | financial services | price-fixing or anti-competitive practices | 2018 | private lawsuit-federal | $255,000,000 |
| Royal Bank of Scotland GroupPLC | NatWest Group PLC | financial services | price-fixing or anti-competitive practices | 2016 | private lawsuit-federal | $155,333,333 |
| Royal Bank of Scotland plc | NatWest Group PLC | financial services | price-fixing or anti-competitive practices | 2022 | private lawsuit-federal | $7,000,000 |
| Royal Bank of Scotland PLC | NatWest Group PLC | financial services | price-fixing or anti-competitive practices | 2022 | private lawsuit-federal | $8,000,000 |
| Standard Chartered Bank | Standard Chartered | financial services | price-fixing or anti-competitive practices | 2018 | private lawsuit-federal | $17,200,000 |
| Standard Chartered Bank | Standard Chartered | financial services | price-fixing or anti-competitive practices | 2022 | private lawsuit-federal | $7,000,000 |
| Standard Chartered Bank | Standard Chartered | financial services | price-fixing or anti-competitive practices | 2020 | private lawsuit-federal | $1,720,000 |
| Willis Group Holdings Ltd. | Willis Towers Watson | financial services | price-fixing or anti-competitive practices | 2012 | private lawsuit-federal | $3,727,272 |
| HSBC Securities (USA) Inc. | HSBC | financial services | investor protection violation | 2023 | SEC | $15,000,000 |
| Barclays Bank PLC | Barclays | financial services | price-fixing or anti-competitive practices | 2023 | private lawsuit-federal | $17,750,000 |
| IFCO SYSTEMS NORTH AMERICA | Triton Investments Advisers | financial services | workplace safety or health violation | 2004 | OSHA | $5,250 |
| IFCO SYSTEMS N.A., INC. | Triton Investments Advisers | financial services | workplace safety or health violation | 2006 | OSHA | $20,000 |
| IFCO SYSTEMS NORTH AMERICA INC | Triton Investments Advisers | financial services | workplace safety or health violation | 2008 | OSHA | $5,400 |
| IFCO SYSTEMS DBA VALLEY WOOD PRODUCTS, INC. | Triton Investments Advisers | financial services | workplace safety or health violation | 2006 | OSHA | $5,226 |
| IFCO SYSTEMS NORTH AMERICA, INC. | Triton Investments Advisers | financial services | workplace safety or health violation | 2007 | OSHA | $9,210 |
| IFCO SYSTEMS | Triton Investments Advisers | financial services | workplace safety or health violation | 2006 | OSHA | $9,450 |
| IFCO SYSTEMS | Triton Investments Advisers | financial services | workplace safety or health violation | 2007 | OSHA | $5,550 |
| IFCO SYSTEMS NORTH AMERICA, INC. | Triton Investments Advisers | financial services | workplace safety or health violation | 2007 | OSHA | $27,690 |
| IFCO SYSTEMS | Triton Investments Advisers | financial services | workplace safety or health violation | 2008 | OSHA | $18,500 |
| IFCO SYSTEMS | Triton Investments Advisers | financial services | workplace safety or health violation | 2008 | OSHA | $7,500 |
| IFCO SYSTEMS NORTH AMERICA INC | Triton Investments Advisers | financial services | workplace safety or health violation | 2010 | OSHA | $11,200 |
| IFCO SYSTEMS N.A., INC. | Triton Investments Advisers | financial services | workplace safety or health violation | 2009 | OSHA | $11,100 |
| IFCO SYSTEMS | Triton Investments Advisers | financial services | workplace safety or health violation | 2010 | OSHA | $8,000 |
| IFCO SYSTEMS N.A., INC. | Triton Investments Advisers | financial services | workplace safety or health violation | 2010 | OSHA | $7,000 |
| IFCO SYSTEMS NA INC DBA PALLET COMPANIES INC | Triton Investments Advisers | financial services | workplace safety or health violation | 2010 | OSHA | $44,000 |
| IFCO SYSTEMS NORTH AMERICA, INC. | Triton Investments Advisers | financial services | workplace safety or health violation | 2011 | OSHA | $5,950 |
| IFCO SYSTEMS NORTH AMERICA INC. | Triton Investments Advisers | financial services | workplace safety or health violation | 2011 | OSHA | $73,950 |
| IFCO SYSTEMS NORTH AMERICA INC | Triton Investments Advisers | financial services | workplace safety or health violation | 2011 | OSHA | $8,000 |
| IFCO SYSTEMS | Triton Investments Advisers | financial services | workplace safety or health violation | 2011 | OSHA | $5,000 |
| IFCO SYSTEMS, NORTH AMERICA | Triton Investments Advisers | financial services | workplace safety or health violation | 2012 | OSHA | $6,720 |
| IFCO SYSTEMS US, LLC SITE146 | Triton Investments Advisers | financial services | workplace safety or health violation | 2013 | OSHA | $23,099 |
| IFCO SYSTEMS N.A. INC. | Triton Investments Advisers | financial services | workplace safety or health violation | 2013 | OSHA | $5,082 |
| IFCO SYSTEMS N.A., INC. | Triton Investments Advisers | financial services | workplace safety or health violation | 2014 | OSHA | $13,500 |
| IFCO SYSTEMS NORTH AMERICA, INC - SITE 711 | Triton Investments Advisers | financial services | workplace safety or health violation | 2014 | OSHA | $7,040 |
| IFCO SYSTEMS US, LLC | Triton Investments Advisers | financial services | workplace safety or health violation | 2014 | OSHA | $13,073 |
| IFCO SYSTEMS, NORTH AMERICA #409 | Triton Investments Advisers | financial services | workplace safety or health violation | 2014 | OSHA | $6,000 |
| IFCO SYSTEMS NORTH AMERICA, INC. | Triton Investments Advisers | financial services | workplace safety or health violation | 2014 | OSHA | $18,400 |
| HSBC North America | HSBC | financial services | environmental violation | 2010 | EPA | $36,083 |
| Conopco Inc. dba Unilever Home and Personal Care | Unilever | food products | water pollution violation | 2014 | EPA | $4,500,000 |
| Seventh Generation | Unilever | food products | motor vehicle safety violation | 2014 | FMCSA | $27,000 |
| Nestle Dreyer's Ice Cream Company | Froneri | food products | labor relations violation | 2016 | NLRB | $66,400 |
| Unilever Home & Personal Care | Unilever | food products | railroad safety violation | 2004 | FRA | $12,250 |
| Unilever Home & Personal Care | Unilever | food products | railroad safety violation | 2004 | FRA | $8,000 |
| UNILEVER | Unilever | food products | aviation safety violation | 2010 | FAA | $18,000 |
| UNILEVER | Unilever | food products | aviation safety violation | 2013 | FAA | $6,000 |
| UNILEVER BEST FOODS | Unilever | food products | aviation safety violation | 2014 | FAA | $57,750 |
