RBS Financial Products | NatWest Group PLC | financial services | toxic securities abuses | 2012 | NV-AG | $42,000,000 |
Deutsche Bank | Deutsche Bank | financial services | investor protection violation | 2012 | private lawsuit-federal | $32,500,000 |
Goldman Sachs | Goldman Sachs | financial services | consumer protection violation | 2012 | private lawsuit-federal | $26,612,500 |
Citigroup | Citigroup | financial services | toxic securities abuses | 2011 | SEC | $285,000,000 |
Morgan Keegan & Company | Raymond James Financial | financial services | toxic securities abuses | 2011 | SEC | $200,000,000 |
J.P. Morgan Securities LLC | JPMorgan Chase | financial services | toxic securities abuses | 2011 | SEC | $153,600,000 |
Bank of America | Bank of America | financial services | toxic securities abuses | 2011 | FHFA | $1,300,000,000 |
Bank of America | Bank of America | financial services | toxic securities abuses | 2011 | FHFA | $1,520,000,000 |
Deutsche Bank Securities | Deutsche Bank | financial services | toxic securities abuses | 2011 | NCUA | $145,000,000 |
RBS Financial Products Inc. | NatWest Group PLC | financial services | toxic securities abuses | 2011 | MA-AG | $52,000,000 |
Wells Fargo Bank N.A. | Wells Fargo | financial services | consumer protection violation | 2011 | private lawsuit-federal | $125,000,000 |
Citigroup Inc. | Citigroup | financial services | toxic securities abuses | 2010 | SEC | $75,000,000 |
Goldman Sachs & Co. | Goldman Sachs | financial services | toxic securities abuses | 2010 | SEC | $550,000,000 |
State Street Bank and Trust Company | State Street Corp. | financial services | investor protection violation | 2010 | SEC | $313,300,000 |
Morgan Stanley & Co. | Morgan Stanley | financial services | toxic securities abuses | 2010 | MA-AG | $102,000,000 |
Oppenheimer & Co. Inc. | Oppenheimer Holdings | financial services | investor protection violation | 2010 | MULTI-AG | $31,000,000 |
Citigroup Global Markets Inc. | Citigroup | financial services | investor protection violation | 2010 | MULTI-FIN | (*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $100,000,000 |
Evergreen Investment Management Company LLC | Wells Fargo | financial services | investor protection violation | 2009 | SEC | $40,000,000 |
Goldman Sachs & Co. | Goldman Sachs | financial services | mortgage abuses | 2009 | MA-AG | $60,000,000 |
Merrill Lynch | Bank of America | financial services | investor protection violation | 2009 | OH-AG | $475,000,000 |
TD Ameritrade, Inc. | Charles Schwab Corp. | financial services | investor protection violation | 2009 | MULTI-AG | $456,000,000 |
Wells Fargo | Wells Fargo | financial services | investor protection violation | 2009 | CA-AG | $1,400,000,000 |
RAIT Financial Trust | | | consumer protection violation | 2009 | private lawsuit-federal | $32,000,000 |
Banc of America Securities LLC | Bank of America | financial services | investor protection violation | 2008 | MULTI-AG | $4,550,000,000 |
Citigroup Global Markets, Inc. and Citi Smith Barney | Citigroup | financial services | investor protection violation | 2008 | MULTI-AG | $7,100,000,000 |
Deutsche Bank Securities, Inc. and Deutsche Bank AG | Deutsche Bank | financial services | investor protection violation | 2008 | MULTI-AG | $3,348,333,333 |
Goldman Sachs Group, Inc. | Goldman Sachs | financial services | investor protection violation | 2008 | MULTI-AG | $3,355,833,333 |
JP Morgan Chase & Co. | JPMorgan Chase | financial services | investor protection violation | 2008 | MULTI-AG | $3,525,000,000 |
Merrill Lynch & Co. | Bank of America | financial services | investor protection violation | 2008 | MULTI-AG | $3,458,333,333 |
Morgan Stanley | Morgan Stanley | financial services | investor protection violation | 2008 | MULTI-AG | $3,535,000,000 |
RBC Capital Markets Corporation | Royal Bank of Canada | financial services | investor protection violation | 2008 | MULTI-AG | $859,800,000 |
UBS Financial Services, Inc. and UBS Securities LLC | UBS | financial services | toxic securities abuses | 2008 | MA-AG | $35,000,000 |
UBS Securities LLC and UBS Financial Services, Inc. | UBS | financial services | investor protection violation | 2008 | MULTI-AG | $11,150,000,000 |
Wachovia Securities | Wells Fargo | financial services | investor protection violation | 2008 | MULTI-AG | $60,000,000 |
Bank of America | Bank of America | financial services | investor protection violation | 2008 | MULTI-FIN | (*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $50,000,000 |
JPMorgan Chase & Co. | JPMorgan Chase | financial services | investor protection violation | 2008 | MULTI-FIN | (*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $25,000,000 |
Merrill Lynch | Bank of America | financial services | investor protection violation | 2008 | MULTI-FIN | (*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $125,000,000 |
Morgan Stanley | Morgan Stanley | financial services | investor protection violation | 2008 | MULTI-FIN | (*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $35,000,000 |
UBS Securities LLC and UBS Financial Services Inc. | UBS | financial services | investor protection violation | 2008 | MULTI-FIN | (*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $150,000,000 |
Wachovia Securities LLC | Wells Fargo | financial services | investor protection violation | 2008 | MULTI-FIN | (*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $50,000,000 |