Knight Securities L.P. | Virtu Financial | investor protection violation | 2002 | FINRA | $1,500,000 |
CUNA Brokerage Services, Inc. | CUNA Mutual | investor protection violation | 2001 | FINRA | $100,000 |
Prudential Securities Incorporated | Wells Fargo | investor protection violation | 2001 | FINRA | $20,000 |
J.P. Morgan Securities, Inc. | JPMorgan Chase | investor protection violation | 2001 | FINRA | $10,000 |
Schwab Capital Markets | UBS | investor protection violation | 2001 | FINRA | $12,000 |
Spear, Leeds & Kellogg | Goldman Sachs | investor protection violation | 2001 | FINRA | $10,000 |
E-Trade Securities | Morgan Stanley | investor protection violation | 2001 | FINRA | $90,000 |
Banc of America Securities LLC | Bank of America | investor protection violation | 2001 | FINRA | $40,000 |
Credit Suisse First Boston Corporation | UBS | investor protection violation | 2001 | FINRA | $25,000 |
Merrill Lynch, Pierce, Fenner & Smith, Inc. | Bank of America | investor protection violation | 2001 | FINRA | $15,000 |
Chase Securities, Inc. | JPMorgan Chase | investor protection violation | 2001 | FINRA | $10,000 |
Josephthal & Co., Inc. | Oppenheimer Holdings | investor protection violation | 2001 | FINRA | $2,300,000 |
Stifel, Nicolaus & Company, Inc. | Stifel Financial | investor protection violation | 2001 | FINRA | $225,000 |
Prudential Securities, Inc. | Wells Fargo | investor protection violation | 2001 | FINRA | $10,000 |
First Union Brokerage Services, Inc. | Wells Fargo | investor protection violation | 2001 | FINRA | $32,500 |
Morgan Stanley & Co. Inc. | Morgan Stanley | investor protection violation | 2000 | FINRA | $200,000 |
Merrill Lynch, Pierce, Fenner & Smith, Inc. | Bank of America | investor protection violation | 2000 | FINRA | $97,000 |
E-TRADE Securities, Inc. | Morgan Stanley | investor protection violation | 2000 | FINRA | $20,000 |
John Nuveen & Co., Inc. | TIAA | investor protection violation | 2000 | FINRA | $6,630,000 |
First Union Securities, Inc. | Wells Fargo | investor protection violation | 2000 | FINRA | $350,000 |
J. P. Morgan Securities Inc. | JPMorgan Chase | investor protection violation | 2000 | FINRA | $200,000 |
Kemper Distributors, Inc. | Kemper | investor protection violation | 2000 | FINRA | $100,000 |
E-TRADE Securities, Inc. | Morgan Stanley | investor protection violation | 2000 | FINRA | $20,000 |
A.G. Edwards & Sons, Inc. | Wells Fargo | investor protection violation | 2000 | FINRA | $5,890,000 |
Raymond James & Associates Inc. | Raymond James Financial | investor protection violation | 2000 | FINRA | $3,410,000 |
CS First Boston Corp. | UBS | investor protection violation | 2000 | FINRA | $1,240,000 |
Piper Jaffray Inc. | Piper Sandler | investor protection violation | 2000 | FINRA | $933,000 |
Southwest Securities Inc. | Hilltop Holdings | investor protection violation | 2000 | FINRA | $500,000 |
Prudential Securities, Inc. | Wells Fargo | investor protection violation | 2000 | FINRA | $100,000 |
Morgan Stanley & Co., Inc. | Morgan Stanley | investor protection violation | 2000 | FINRA | $495,000 |
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 |
Credit Suisse Securities | UBS | investor protection violation | 2022 | FINRA | $9,000,000 |
Merrill Lynch, Pierce, Fenner & Smith, Inc. | Bank of America | investor protection violation | 2022 | FINRA | $15,200,000 |
UBS Securities LLC | UBS | investor protection violation | 2022 | FINRA | $2,500,000 |
BofA Securities, Inc. | Bank of America | investor protection violation | 2022 | FINRA | $5,000,000 |
Merrill Lynch, Pierce, Fenner & Smith Inc. | Bank of America | anti-money-laundering deficiencies | 2023 | FINRA | $6,000,000 |
BofA Securities, Inc. | Bank of America | investor protection violation | 2023 | FINRA | $24,000,000 |
Morgan Stanley Smith Barney LLC | Morgan Stanley | investor protection violation | 2024 | FINRA | $1,600,000 |
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 |
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 |
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 | banking violation | 2016 | FED | $131,000,000 |
Deutsche Bank AG | Deutsche Bank | economic sanction violation | 2015 | FED | $58,000,000 |
Credit Agricole S.A. | Credit Agricole | economic sanction violation | 2015 | FED | $90,300,000 |
INDEPENDENT BANK | Independent Bank Corp. (Michigan) | banking violation | 2015 | FED | $56,205 |
BANK OF AMERICA CORPORATION | Bank of America | banking violation | 2015 | FED | $205,000,000 |
ROYAL BANK OF SCOTLAND PLC | NatWest Group PLC | banking violation | 2015 | FED | $274,000,000 |
UBS AG | UBS | banking violation | 2015 | FED | $342,000,000 |
BARCLAYS BANK PLC | Barclays | price-fixing or anti-competitive practices | 2015 | FED | $342,000,000 |
CITIGROUP INC. | Citigroup | banking violation | 2015 | FED | $342,000,000 |
JPMORGAN CHASE & CO. | JPMorgan Chase | banking violation | 2015 | FED | $342,000,000 |
COMMERZBANK AG | Commerzbank | banking violation | 2015 | FED | $200,000,000 |
SunTrust Banks, Inc. | Truist Financial | banking violation | 2014 | FED | $160,000,000 |
Cole Taylor Bank | Fifth Third Bancorp | banking violation | 2014 | FED | $3,510,000 |
Regions Bank | Regions Financial | banking violation | 2014 | FED | $46,000,000 |
Credit Suisse AG | UBS | banking violation | 2014 | FED | $100,000,000 |
THE ROYAL BANK OF SCOTLAND GROUP PLC | NatWest Group PLC | banking violation | 2013 | FED | $50,000,000 |
Midland States Bank | Midland States Bancorp | banking violation | 2013 | FED | $5,645 |
JPMORGAN CHASE & CO. | JPMorgan Chase | banking violation | 2013 | FED | $200,000,000 |
Goldman Sachs | Goldman Sachs | mortgage abuses | 2013 | FED | $330,000,000 |