NEOVIA LOGISTICS DISTRIBUTION LP | Goldman Sachs | workplace safety or health violation | 2022 | OSHA | $24,435 |
SYNAGRO WEST, LLC | Goldman Sachs | workplace safety or health violation | 2022 | OSHA | $16,200 |
Nyrstar Tennessee Mines, Strawberry Plains LLC | Trafigura | workplace safety or health violation | 2022 | MSHA | $11,500 |
Nyrstar Tennessee Mines, Strawberry Plains LLC | Trafigura | workplace safety or health violation | 2022 | MSHA | $41,474 |
Nyrstar Tennessee Mines, Strawberry Plains LLC | Trafigura | workplace safety or health violation | 2022 | MSHA | $6,725 |
Nyrstar Tennessee Mines, Strawberry Plains LLC | Trafigura | workplace safety or health violation | 2022 | MSHA | $6,725 |
Nyrstar Tennessee Mines, Strawberry Plains LLC | Trafigura | workplace safety or health violation | 2022 | MSHA | $18,926 |
Nyrstar Tennessee Mines, Strawberry Plains LLC | Trafigura | workplace safety or health violation | 2022 | MSHA | $21,029 |
Solium Financial Services | Morgan Stanley | investor protection violation | 2021 | DC-DISB | $9,879 |
JPMorgan Chase Bank | JPMorgan Chase | discriminatory practices (non-employment) | 2021 | HUD | $50,000 |
New York Life Insurance & Annuity Corporation | New York Life Insurance | consumer protection violation | 2021 | NY-DFS | $10,929,000 |
First American Title Co. | First American Financial | insurance violation | 2021 | CA-INS | $50,000 |
Oscar Health Plan of California | Oscar Health Inc. | insurance violation | 2021 | CA-MHC | $75,000 |
John Hancock Life Insurance Co. | Manulife Financial | insurance violation | 2021 | DE-INS | $5,000 |
Deutsche Bank | Deutsche Bank | Foreign Corrupt Practices Act | 2021 | DOJ_CRIMINAL | $87,091,424 |
Capital One, National Association | Capital One Financial | anti-money-laundering deficiencies | 2021 | FINCEN | $290,000,000 |
Safeco Insurance Company of America | Liberty Mutual Insurance | insurance violation | 2021 | MN-FIN | $10,000 |
Citibank | Citigroup | consumer protection violation | 2021 | MULTI-AG | $4,200,000 |
E*Trade Securities LLC | Morgan Stanley | investor protection violation | 2021 | NH-BSR | $5,000 |
BUCKEYE PIPE LINE CO | IFM Investors | air pollution violation | 2021 | NJ-ENV | $16,000 |
American International Group | American International Group | insurance violation | 2021 | NY-DFS | $12,000,000 |
Liberty Northwest Insurance Corp. | Liberty Mutual Insurance | insurance violation | 2021 | OR-FIN | $5,000 |
Safeco Insurance Company of Oregon | Liberty Mutual Insurance | insurance violation | 2021 | OR-FIN | $5,000 |
Deutsche Bank AG | Deutsche Bank | Foreign Corrupt Practices Act | 2021 | SEC | $43,000,000 |
Nationwide Mutual Insurance Company et al. | Nationwide | insurance violation | 2021 | TX-INS | $75,000 |
Farmers Insurance Exchange and Truck Insurance Exchange | Farmers Insurance Exchange | insurance violation | 2021 | VA-INS | $15,950 |
CMFG Life Insurance Company | CUNA Mutual | insurance violation | 2021 | VA-INS | $7,500 |
Northwestern Mutual Life Insurance Co. | Northwestern Mutual | insurance violation | 2021 | VT-FIN | $287,000 |
Travelers Home and Marine Insurance Company | Travelers | insurance violation | 2021 | WA-INS | $10,000 |
Wells Fargo & Co. | Wells Fargo | employment discrimination | 2021 | private lawsuit-federal | $18,700,000 |
Aon Hewitt Health Market Insurance Solutions, Inc. | Aon | wage and hour violation | 2021 | private lawsuit-federal | $1,250,000 |
BB&T Equipment Finance LLC | Truist Financial | consumer protection violation | 2021 | CA-DFPI | $75,000 |
Oscar Health Plan of California | Oscar Health Inc. | insurance violation | 2021 | CA-MHC | $10,000 |
Oscar Health Plan of California | Oscar Health Inc. | insurance violation | 2021 | CA-MHC | $30,000 |
E-Trade Financial Corporate Services, Inc. | Morgan Stanley | consumer protection violation | 2021 | CT-BKG | $10,000 |
Prudential Retirement Insurance and Annuity Company | Prudential Financial | insurance violation | 2021 | CT-INS | $300,000 |
AMERICAN HEALTH AND LIFE INSURANCE COMPANY | OneMain Holdings | insurance violation | 2021 | MO-INS | $7,500 |
TRANSAMERICA LIFE INSURANCE COMPANY | Aegon | insurance violation | 2021 | MO-INS | $11,000 |
FIDELITY NATIONAL TITLE INSURANCE COMPANY | Fidelity National Financial | insurance violation | 2021 | MO-INS | $45,900 |
USAA Casualty Insurance Company et al. | USAA | insurance violation | 2021 | NH-INS | $25,000 |
First Unum Life Insurance Company of America and Paul Revere Life Insurance Company | Unum | privacy violation | 2021 | NY-DFS | $1,800,000 |
American Family Connect Insurance Company | American Family Insurance | insurance violation | 2021 | NY-DFS | $23,000 |
Erie Insurance Company of New York | Erie Indemnity | insurance violation | 2021 | NY-DFS | $22,000 |
Farmers Insurance | Zurich Insurance | insurance violation | 2021 | OK-AG | $25,000,000 |
Ameritas Investment Corp. | Ameritas Mutual Holding Company | investor protection violation | 2021 | SD-SEC | $20,000 |
Ace American Insurance Company | Chubb Limited | insurance violation | 2021 | UT-INS | $41,500 |
Transamerica Premier Life Insurance Company | Aegon | insurance violation | 2021 | VT-FIN | $84,000 |
Metropolitan Property and Casualty Insurance Company | Zurich Insurance | insurance violation | 2021 | VT-FIN | $13,000 |
United Services Automobile Association et al. | USAA | insurance violation | 2021 | VA-INS | $10,000 |
AMERICAN FAMILY INSURANCE COMPANY | American Family Insurance | insurance violation | 2021 | WA-INS | $50,000 |
HSBC SECURITIES USA INC | HSBC | insurance violation | 2021 | WA-INS | $10,000 |
STANDARD FIRE INSURANCE COMPANY | Travelers | insurance violation | 2021 | WA-INS | $5,000 |
ALLIED PROPERTY AND CASUALTY INSURANCE COMPANY ET AL. | Nationwide | insurance violation | 2021 | WA-INS | $20,000 |
NATIONAL CASUALTY COMPANY | Nationwide | insurance violation | 2021 | WA-INS | $50,000 |
State Farm Fire & Casualty Co | State Farm Insurance | insurance violation | 2021 | WI-INS | $10,000 |
Coinbase Inc. | Coinbase Global Inc. | investor protection violation | 2021 | CFTC | $6,500,000 |
OCWEN FINANCIAL CORPORATION | Ocwen Financial | benefit plan administrator violation | 2021 | EBSA | $50,000 |
Bank of the West | Bank of Montreal | banking violation | 2021 | FDIC | $281,000 |
Bryn Mawr Trust Company | WSFS Financial Corp. | banking violation | 2021 | FED | $105,000 |
Wells Fargo Bank | Wells Fargo | discriminatory practices (non-employment) | 2021 | HUD | $125,000 |
Bank Julius Baer & Co. Ltd. | Julius Baer Group | money laundering | 2021 | DOJ_CRIMINAL | $79,000,000 |
Swiss Life Holding AG et al. | Swiss Life Group | tax violations | 2021 | DOJ_TAX | $77,374,337 |
State Street Corporation | State Street Corp. | fraud | 2021 | USAO | $115,000,000 |
American Express Travel Related Services Co. | American Express | wage and hour violation | 2021 | WHD | $5,663 |
First American Title Co. | First American Financial | insurance violation | 2021 | CA-INS | $1,185,000 |
First American Title Co. | First American Financial | insurance violation | 2021 | CA-INS | $55,000 |
Jefferson National Life Insurance Co. | Nationwide | insurance violation | 2021 | CA-INS | $165,342 |
Oscar Health Plan of California | Oscar Health Inc. | insurance violation | 2021 | CA-MHC | $15,000 |
Santander Consumer USA, Inc. | Banco Santander | consumer protection violation | 2021 | CO-AG | $3,065,000 |
United States Fire Insurance Co. | Fairfax Financial Holdings | consumer protection violation | 2021 | CO-AG | $50,000 |
Credit Suisse | UBS | investor protection violation | 2021 | CFTC | $1,500,000 |
Provident Life and Accident Insurance Co. | Unum | insurance violation | 2021 | CT-INS | $7,500 |
UNUM Life Insurance Company of America | Unum | insurance violation | 2021 | CT-INS | $12,500 |
United Services Automobile Association | USAA | insurance violation | 2021 | CT-INS | $32,500 |
USAA Casualty Insurance Co. | USAA | insurance violation | 2021 | CT-INS | $36,500 |
USAA Indemnity Co. | USAA | insurance violation | 2021 | CT-INS | $32,500 |
GreenSky, LLC | Goldman Sachs | consumer protection violation | 2021 | CFPB | $11,500,000 |
Lincoln National Life Insurance Co. | Lincoln National | insurance violation | 2021 | DE-INS | $91,000 |
Principal Life Insurance Co. | Principal Financial | insurance violation | 2021 | DE-INS | $23,000 |
Umpqua Bank | Umpqua Holdings | banking violation | 2021 | FDIC | $1,800,000 |
LendingClub Corp. | LendingClub Corp. | consumer protection violation | 2021 | FTC | $18,000,000 |
Robinhood Financial LLC | Robinhood Markets | investor protection violation | 2021 | FINRA | $69,600,000 |
Merrill Lynch, Pierce, Fenner & Smith, Inc. | Bank of America | investor protection violation | 2021 | FINRA | $11,650,000 |
Wheelabrator South Broward, Inc. | Macquarie | environmental violation | 2021 | FL-DEP | $78,000 |
Coinbase, Inc. | Coinbase Global Inc. | consumer protection violation | 2021 | FL-OFR | $6,500 |
Cadence Bank N.A. | Cadence Bank | discriminatory practices (non-employment) | 2021 | DOJ_RIGHTS | $5,545,000 |
National Union Fire Insurance Company of Pittsburgh, Pa | American International Group | insurance violation | 2021 | KS-INS | $5,000 |
Ace American Insurance Co. and Indemnity Insurance Company of North America | Chubb Limited | insurance violation | 2021 | MD-INS | $7,000 |
Credit Acceptance Corporation | Credit Acceptance Corp. | consumer protection violation | 2021 | MA-AG | $27,200,000 |
U.S. Bank | U.S. Bancorp | consumer protection violation | 2021 | MA-AG | $230,000 |
MML Investors Services, LLC | Massachusetts Mutual Life Insurance | investor protection violation | 2021 | MA-SEC | $4,000,000 |
State Farm Mutual Automobile Insurance Company | State Farm Insurance | insurance violation | 2021 | MN-FIN | $6,000 |
Santander | Banco Santander | consumer protection violation | 2021 | MS-AG | $3,700,000 |
Companion Life Insurance Co. | BlueCross BlueShield of South Carolina | insurance violation | 2021 | MULTI-FIN | $5,000,000 |
Scottsdale Insurance Co. | Nationwide | insurance violation | 2021 | NH-INS | $10,579 |
Old Republic National Title Insurance Company | Old Republic International | wage and hour violation | 2021 | NY-AG | $1,000,000 |
TIAA-CREF Individual & Institutional Services, LLC | TIAA | benefit plan administrator violation | 2021 | NY-AG | (*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $97,000,000 |
Bank of China (UK) Limited | Bank of China | economic sanction violation | 2021 | OFAC | $2,329,991 |
Wells Fargo Bank, National Association | Wells Fargo | banking violation | 2021 | OCC | $250,000,000 |
Cadence Bank, National Association | Cadence Bank | banking violation | 2021 | OCC | $3,000,000 |
Foremost Insurance Company Grand Rapids, Michigan | Zurich Insurance | insurance violation | 2021 | OR-FIN | $15,000 |