Capital City Bank | Capital City Bank Group | banking violation | 2007 | FED | $85,045 |
Hanmi Bank | Hanmi Financial Corp. | banking violation | 2007 | FED | $8,835 |
East West Bank | East West Bancorp | banking violation | 2007 | FED | $16,245 |
First Interstate Bank | First Interstate Bancsystem | banking violation | 2005 | FED | $15,750 |
Citigroup Inc. | Citigroup | banking violation | 2004 | FED | $70,000,000 |
UBS AG | UBS | economic sanction violation | 2004 | FED | $100,000,000 |
Credit Agricole S.A. | Credit Agricole | banking violation | 2004 | FED | $8,000,000 |
U.S. Trust Corporation | Bank of America | banking violation | 2001 | FED | $5,000,000 |
JPMorgan Chase & Co. | JPMorgan Chase | banking violation | 2016 | FED | $61,900,000 |
Customers Bank | Customers Bancorp | banking violation | 2016 | FED | $960,000 |
Banco Bilbao Vizcaya Argentaria, S.A. | Banco Bilbao Vizcaya Argentaria | banking violation | 2016 | FED | $27,000,000 |
ServiceLink Holdings, LLC | Fidelity National Financial | banking violation | 2017 | FED | $65,000,000 |
Deutsche Bank AG | Deutsche Bank | anti-money-laundering deficiencies | 2017 | FED | $41,000,000 |
SunTrust Bank | Truist Financial | banking violation | 2017 | FED | $1,501,000 |
Deutsche Bank AG | Deutsche Bank | price-fixing or anti-competitive practices | 2017 | FED | $156,600,000 |
BNP Paribas S.A. | BNP Paribas | price-fixing or anti-competitive practices | 2017 | FED | $246,000,000 |
Bank of New York Mellon Corporation | Bank of New York Mellon | banking violation | 2017 | FED | $3,000,000 |
HSBC Holdings | HSBC | banking violation | 2017 | FED | $175,000,000 |
Goldman Sachs Bank USA | Goldman Sachs | banking violation | 2018 | FED | $90,000 |
Goldman Sachs | Goldman Sachs | mortgage abuses | 2018 | FED | $14,000,000 |
Morgan Stanley | Morgan Stanley | mortgage abuses | 2018 | FED | $8,000,000 |
CIT Group Inc. | First Citizens BancShares | mortgage abuses | 2018 | FED | $5,200,000 |
U.S. Bancorp | U.S. Bancorp | mortgage abuses | 2018 | FED | $4,400,000 |
PNC Financial Services Group | PNC Financial Services | mortgage abuses | 2018 | FED | $3,500,000 |
US Bancorp | U.S. Bancorp | banking violation | 2018 | FED | $15,000,000 |
Goldman Sachs Group, Inc. | Goldman Sachs | investor protection violation | 2018 | FED | $54,750,000 |
Citigroup | Citigroup | banking violation | 2018 | FED | $8,600,000 |
Societe Generale S.A. | Societe Generale | economic sanction violation | 2018 | FED | $81,300,000 |
Bank of New York Mellon | Bank of New York Mellon | banking violation | 2018 | FED | $16,000 |
Wintrust Financial Corporation | Wintrust Financial Corp. | banking violation | 2019 | FED | $1,012,500 |
UniCredit, S.p.A. | UniCredit | banking violation | 2019 | FED | $158,000,000 |
Standard Chartered plc | Standard Chartered | banking violation | 2019 | FED | $164,000,000 |
East West Bank | East West Bancorp | banking violation | 2020 | FED | $129,108 |
Bank Hapoalim B.M, | Bank Hapoalim | tax violations | 2020 | FED | $37,350,000 |
Goldman Sachs Group, Inc. | Goldman Sachs | banking violation | 2020 | FED | $154,000,000 |
M&T Bank | M&T Bank | banking violation | 2020 | FED | $546,000 |
Bryn Mawr Trust Company | WSFS Financial Corp. | banking violation | 2021 | FED | $105,000 |
First Midwest Bank | Old National Bancorp | banking violation | 2022 | FED | $253,500 |
Deutsche Bank Trust Company Americas | Deutsche Bank | banking violation | 2022 | FED | $105,500 |
Wells Fargo & Co. | Wells Fargo | banking violation | 2023 | FED | $67,762,500 |
Deutsche Bank AG | Deutsche Bank | anti-money-laundering deficiencies | 2023 | FED | $186,000,000 |
UBS Group AG | UBS | banking violation | 2023 | FED | $268,500,000 |
Regions Bank | Regions Financial | banking violation | 2023 | FED | $2,950,000 |
Industrial and Commercial Bank of China Ltd. | Industrial and Commercial Bank of China | banking violation | 2024 | FED | $2,400,000 |
JPMorgan Chase & Co. | JPMorgan Chase | banking violation | 2024 | FED | $98,200,000 |
Deutsche Bank Energy Trading LL | Deutsche Bank | price-fixing or anti-competitive practices | 2013 | FERC | $1,670,000 |
JP Morgan Ventures Energy Corporation | JPMorgan Chase | price-fixing or anti-competitive practices | 2013 | FERC | $410,000,000 |
Barclays Bank PLC | Barclays | price-fixing or anti-competitive practices | 2017 | FERC | $105,000,000 |
Cleco Power, LLC | Macquarie | energy market violation | 2007 | FERC | $2,000,000 |
Cleco Corporation | Macquarie | energy market violation | 2003 | FERC | $2,850,000 |
El Paso Electric Corporation | JPMorgan Chase | energy market violation | 2003 | FERC | $15,500,000 |
Louis Dreyfus Energy Service | Louis Dreyfus | energy market violation | 2014 | FERC | $7,406,257 |
Wheelabrator Claremont Company, L.P. | Macquarie | energy market violation | 2018 | FERC | $357,231 |
Vitol Inc. | Vitol | energy market violation | 2019 | FERC | $2,742,881 |
Vitol Inc. | Vitol | energy market violation | 2024 | FERC | $2,225,000 |
HSBC North America Holdings Inc. | HSBC | toxic securities abuses | 2014 | FHFA | $550,000,000 |
Goldman Sachs & Co. | Goldman Sachs | toxic securities abuses | 2014 | FHFA | $3,150,000,000 |
RBS Securities Inc. | NatWest Group PLC | toxic securities abuses | 2014 | FHFA | $99,500,000 |
First Horizon National Corporation | First Horizon National | toxic securities abuses | 2014 | FHFA | $110,000,000 |
Barclays Bank PLC | Barclays | toxic securities abuses | 2014 | FHFA | $280,000,000 |
Bank of America Corporation | Bank of America | toxic securities abuses | 2014 | FHFA | $9,300,000,000 |
Credit Suisse | UBS | toxic securities abuses | 2014 | FHFA | $885,000,000 |
Societe Generale | Societe Generale | toxic securities abuses | 2014 | FHFA | $122,000,000 |
Morgan Stanley | Morgan Stanley | toxic securities abuses | 2014 | FHFA | $1,250,000,000 |
Deutsche Bank AG | Deutsche Bank | toxic securities abuses | 2013 | FHFA | $1,925,000,000 |
UBS Americas Inc. | UBS | toxic securities abuses | 2013 | FHFA | $885,000,000 |
Wells Fargo | Wells Fargo | toxic securities abuses | 2013 | FHFA | $591,000,000 |
Bank of America | Bank of America | toxic securities abuses | 2013 | FHFA | $404,000,000 |
Wells Fargo Bank, National Association | Wells Fargo | toxic securities abuses | 2013 | FHFA | $869,000,000 |
Citimortgage Inc. and Citibank N.A. | Citigroup | toxic securities abuses | 2013 | FHFA | $395,000,000 |
SunTrust Mortgage, Inc. | Truist Financial | toxic securities abuses | 2013 | FHFA | $65,000,000 |
Bank of America | Bank of America | toxic securities abuses | 2011 | FHFA | $1,300,000,000 |
Bank of America | Bank of America | toxic securities abuses | 2011 | FHFA | $1,520,000,000 |
Bank of America | Bank of America | toxic securities abuses | 2013 | FHFA | $10,350,000,000 |
Citigroup | Citigroup | toxic securities abuses | 2013 | FHFA | $968,000,000 |
Royal Bank of Scotland PLC | NatWest Group PLC | toxic securities abuses | 2017 | FHFA | $5,500,000,000 |
Oppenheimer & Co., Inc. | Oppenheimer Holdings | anti-money-laundering deficiencies | 2015 | FINCEN | $20,000,000 |
J.P. Morgan Chase Bank, N.A. | JPMorgan Chase | anti-money-laundering deficiencies | 2014 | FINCEN | $461,000,000 |
Wachovia Bank | Wells Fargo | anti-money-laundering deficiencies | 2010 | FINCEN | $110,000,000 |
Union Bank of California, N.A. | U.S. Bancorp | anti-money-laundering deficiencies | 2007 | FINCEN | $10,000,000 |
Israel Discount Bank | Israel Discount Bank | anti-money-laundering deficiencies | 2006 | FINCEN | $12,000,000 |
Oppenheimer & Company, Inc. | Oppenheimer Holdings | anti-money-laundering deficiencies | 2005 | FINCEN | $2,800,000 |
AmSouth | Regions Financial | anti-money-laundering deficiencies | 2004 | FINCEN | $10,000,000 |
U.S. Bank National Association | U.S. Bancorp | anti-money-laundering deficiencies | 2018 | FINCEN | $70,000,000 |
UBS Financial Services Inc. | UBS | anti-money-laundering deficiencies | 2018 | FINCEN | $5,000,000 |
Capital One, National Association | Capital One Financial | anti-money-laundering deficiencies | 2021 | FINCEN | $290,000,000 |
USAA Federal Savings Bank | USAA | anti-money-laundering deficiencies | 2022 | FINCEN | $80,000,000 |
Binance Holdings Limited, | Binance Holdings | anti-money-laundering deficiencies | 2023 | FINCEN | (*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $3,400,000,000 |
Transamerica Financial Advisors, Inc. | Aegon | investor protection violation | 2020 | FINRA | $8,800,000 |
Wells Fargo Clearing Services, LLC and Wells Fargo Advisors Financial Network, LLC | Wells Fargo | investor protection violation | 2020 | FINRA | $2,075,000 |
Interactive Brokers LLC | Interactive Brokers Group | anti-money-laundering deficiencies | 2020 | FINRA | $15,000,000 |
SG Americas Securities, LLC | Societe Generale | investor protection violation | 2020 | FINRA | $1,550,000 |
Merrill Lynch, Pierce, Fenner & Smith Inc. | Bank of America | investor protection violation | 2020 | FINRA | $7,200,000 |
Stifel, Nicolaus & Company, Incorporated | Stifel Financial | investor protection violation | 2020 | FINRA | $3,650,000 |
Oppenheimer & Co. Inc. | Oppenheimer Holdings | investor protection violation | 2019 | FINRA | $4,600,000 |
Citigroup Global Markets Inc. | Citigroup | investor protection violation | 2019 | FINRA | $280,000 |
J.P. Morgan Securities LLC | JPMorgan Chase | investor protection violation | 2019 | FINRA | $280,000 |
LPL Financial LLC | LPL Financial | investor protection violation | 2019 | FINRA | $280,000 |
Morgan Stanley Smith Barney LLC | Morgan Stanley | investor protection violation | 2019 | FINRA | $280,000 |
Merrill Lynch, Pierce, Fenner & Smith Incorporated | Bank of America | investor protection violation | 2019 | FINRA | $280,000 |
Credit Suisse Securities (USA) LLC | UBS | investor protection violation | 2019 | FINRA | $6,500,000 |