Royal Bank of Scotland plc |
Royal Bank of Scotland |
interest rate benchmark manipulation |
2017 |
CFTC |
$85,000,000 |
INTL FCStone Financial Inc. |
INTL FCStone |
investor protection violation |
2017 |
CFTC |
$280,000 |
Morgan Stanley |
Morgan Stanley |
data submission deficiencies |
2017 |
CFTC |
$350,000 |
Morgan Stanley |
Morgan Stanley |
investor protection violation |
2017 |
CFTC |
$500,000 |
Citibank N.A. |
Citigroup |
data submission deficiencies |
2017 |
CFTC |
$550,000 |
Merrill Lynch |
Bank of America |
investor protection violation |
2017 |
CFTC |
$2,500,000 |
Deutsche Bank Securities Inc. |
Deutsche Bank |
interest rate benchmark manipulation |
2018 |
CFTC |
$70,000,000 |
HSBC Securities (USA) Inc. |
HSBC |
investor protection violation |
2018 |
CFTC |
$1,600,000 |
UBS AG |
UBS |
investor protection violation |
2018 |
CFTC |
$15,000,000 |
Deutsche Bank AG and Deutsche Bank Securities Inc. |
Deutsche Bank |
investor protection violation |
2018 |
CFTC |
$30,000,000 |
BNP Paribas Securities Corp. |
BNP Paribas |
interest rate benchmark manipulation |
2018 |
CFTC |
$90,000,000 |
Lansing Trade Group, LLC |
Lansing Trade Group |
investor protection violation |
2018 |
CFTC |
$3,400,000 |
JPMorgan Chase Bank, N.A. |
JPMorgan Chase |
interest rate benchmark manipulation |
2018 |
CFTC |
$65,000,000 |
Societe Generale S.A. |
Societe Generale |
interest rate benchmark manipulation |
2018 |
CFTC |
$475,000,000 |
Commerzbank AG |
Commerzbank |
investor protection violation |
2018 |
CFTC |
$12,000,000 |
Bank of Nova Scotia |
Scotiabank |
investor protection violation |
2018 |
CFTC |
$800,000 |
Mizuho Bank, Ltd. |
Mizuho Financial |
investor protection violation |
2018 |
CFTC |
$250,000 |
Bank of America, N.A. |
Bank of America |
interest rate benchmark manipulation |
2018 |
CFTC |
$30,000,000 |
ICAP Capital Markets LLC |
ICAP |
interest rate benchmark manipulation |
2018 |
CFTC |
$50,000,000 |
NatWest Markets Plc |
Royal Bank of Scotland |
investor protection violation |
2018 |
CFTC |
$750,000 |
ABN AMRO Clearing Chicago LLC |
ABN AMRO |
investor protection violation |
2018 |
CFTC |
$160,000 |
Merrill Lynch Commodities, Inc. |
Bank of America |
investor protection violation |
2019 |
CFTC |
(*) $24,900,000 |
BGC Financial, L.P. |
BGC Partners |
investor protection violation |
2019 |
CFTC |
$3,000,000 |
Wells Fargo Bank, N.A. |
Wells Fargo |
investor protection violation |
2019 |
CFTC |
$14,475,000 |
BGC Financial, LP |
BGC Partners |
investor protection violation |
2019 |
CFTC |
$15,000,000 |
GFI Securities, LLC |
BGC Partners |
investor protection violation |
2019 |
CFTC |
$10,000,000 |
Morgan Stanley Capital Group Inc. |
Morgan Stanley |
investor protection violation |
2019 |
CFTC |
$1,500,000 |
PNC Bank, National Association |
PNC Financial Services |
investor protection violation |
2019 |
CFTC |
$300,000 |
Bank of New York Mellon |
Bank of New York Mellon |
investor protection violation |
2019 |
CFTC |
$750,000 |
NatWest Markets Plc |
Royal Bank of Scotland |
investor protection violation |
2019 |
CFTC |
$850,000 |
Northern Trust Company |
Northern Trust |
investor protection violation |
2019 |
CFTC |
$1,000,000 |
Societe Generale International Limited |
Societe Generale |
investor protection violation |
2019 |
CFTC |
$2,500,000 |
HSBC Bank USA, N.A. |
HSBC |
investor protection violation |
2019 |
CFTC |
$650,000 |
RBC Capital Markets, LLC |
Royal Bank of Canada |
investor protection violation |
2019 |
CFTC |
$5,000,000 |
Merrill Lynch, Pierce, Fenner & Smith Incorporated |
Bank of America |
investor protection violation |
2019 |
CFTC |
$300,000 |
Goldman Sachs & Co. LLC |
Goldman Sachs |
investor protection violation |
2019 |
CFTC |
$1,000,000 |
The Bank of Nova Scotia |
Scotiabank |
investor protection violation |
2020 |
CFTC |
$50,000,000 |
The Bank of Nova Scotia |
Scotiabank |
investor protection violation |
2020 |
CFTC |
$77,400,000 |
Interactive Brokers LLC |
Interactive Brokers Group |
anti-money-laundering deficiencies |
2020 |
CFTC |
$12,206,214 |
Deutsche Bank AG |
Deutsche Bank |
investor protection violation |
2020 |
CFTC |
$9,000,000 |
Deutsche Bank Securities Inc. |
Deutsche Bank |
investor protection violation |
2020 |
CFTC |
$1,250,000 |
Vitol Inc. |
Vitol |
fraud |
2020 |
CFTC |
(*) $95,700,000 |
Morgan Stanley Capital Services LLC |
Morgan Stanley |
investor protection violation |
2020 |
CFTC |
$5,000,000 |
JPMorgan Chase & Company |
JPMorgan Chase |
investor protection violation |
2020 |
CFTC |
$920,200,000 |
Citibank N.A. |
Citigroup |
investor protection violation |
2020 |
CFTC |
$4,500,000 |
Torchmark Corporation |
Globe Life Inc. |
Medicare Parts C and D Enforcement Action |
2014 |
CMS |
$40,000 |
Torchmark Corporation |
Globe Life Inc. |
Medicare Parts C and D Enforcement Action |
2013 |
CMS |
$150,000 |
Blue Shield of California Promise Health Plan |
California Physicians' Service |
Medicare Parts C and D Enforcement Action |
2020 |
CMS |
$148,506 |
ACE Cash Express, Inc. |
ACE Cash Express |
consumer protection violation |
2002 |
CO-AG |
$1,300,000 |
CashCall, Inc., WS Funding, LLC, and Delbert Services Corporation |
CashCall Inc. |
consumer protection violation |
2016 |
CO-AG |
$7,384,005 |
Countrywide Financial Corp. |
Bank of America |
mortgage abuses |
2009 |
CO-AG |
$6,000,000 |
Lender Processing Services, Inc. |
Fidelity National Financial |
mortgage abuses |
2012 |
CO-AG |
$1,800,000 |
Western Sky Financial, LLC et al. |
CashCall Inc. |
consumer protection violation |
2014 |
CO-AG |
$565,000 |
Stewart Title Guaranty Co. |
Stewart Information Services |
insurance violation |
2000 |
CO-INS |
$25,000 |
Commonwealth Land Title Insurance Co. |
Fidelity National Financial |
insurance violation |
2000 |
CO-INS |
$20,750 |
Federal Insurance Co. |
Chubb Limited |
insurance violation |
2005 |
CO-INS |
$16,000 |
Commerce and Industry Insurance Co. |
American International Group |
insurance violation |
2005 |
CO-INS |
$6,000 |
Allstate Insurance Co. |
Allstate |
insurance violation |
2005 |
CO-INS |
$10,500 |
Old Republic Insurance Co. |
Old Republic International |
insurance violation |
2006 |
CO-INS |
$6,000 |
Unitrin Auto and Home Insurance Co. |
Kemper |
insurance violation |
2006 |
CO-INS |
$7,500 |
American Family Mutual Insurance Co. |
American Family Insurance |
insurance violation |
2006 |
CO-INS |
$6,000 |
Farmers Insurance Exchange and Truck Insurance Exchange and Mid-Century Insurance Co. |
Farmers Insurance Exchange |
insurance violation |
2006 |
CO-INS |
$49,500 |
New England Life Insurance Co. |
Brighthouse Financial |
insurance violation |
2006 |
CO-INS |
$32,000 |
Allianz Life Insurance Company of North America |
Allianz |
insurance violation |
2006 |
CO-INS |
$34,800 |
Jackson National Life Insurance Co. |
Prudential (UK) |
insurance violation |
2007 |
CO-INS |
$10,000 |
Auto-Owners Insurance Co. |
Auto-Owners Insurance |
insurance violation |
2007 |
CO-INS |
$5,000 |
American Family Mutual Insurance Co. |
American Family Insurance |
insurance violation |
2007 |
CO-INS |
$5,500 |
Nationwide Insurance Company of America |
Nationwide |
insurance violation |
2007 |
CO-INS |
$81,500 |
ING USA Annuity and Life Insurance Co. |
Voya Financial |
insurance violation |
2007 |
CO-INS |
$5,000 |
Stewart Title Guaranty Co. |
Stewart Information Services |
insurance violation |
2007 |
CO-INS |
$50,000 |
Nationwide Mutual Fire Insurance Co. |
Nationwide |
insurance violation |
2007 |
CO-INS |
$6,000 |
Nationwide Mutual Insurance Co. |
Nationwide |
insurance violation |
2007 |
CO-INS |
$8,500 |
Nationwide Property and Casualty Insurance Co. |
Nationwide |
insurance violation |
2007 |
CO-INS |
$6,000 |
National Western Life Insurance Co. |
National Western Life |
insurance violation |
2009 |
CO-INS |
$11,500 |
Time Insurance Co. |
Haven Holdings |
insurance violation |
2009 |
CO-INS |
$103,500 |
Permanent General Assurance Corp. |
American Family Insurance |
insurance violation |
2009 |
CO-INS |
$31,900 |
Esurance Insurance Co. |
Allstate |
insurance violation |
2010 |
CO-INS |
$154,500 |
Wedbush Securities Inc. |
Wedbush Securities |
insurance violation |
2011 |
CO-INS |
$14,300 |
Mid-Century Insurance Co. |
Zurich Insurance |
insurance violation |
2011 |
CO-INS |
$255,500 |
Farmers Insurance Exchange |
Farmers Insurance Exchange |
insurance violation |
2011 |
CO-INS |
$81,400 |
Mid-Century Insurance Co. |
Zurich Insurance |
insurance violation |
2011 |
CO-INS |
$66,000 |
Aviva Life and Annuity Co. |
Athene Holding |
insurance violation |
2011 |
CO-INS |
$25,300 |
Bristol West Insurance Co. |
Zurich Insurance |
insurance violation |
2011 |
CO-INS |
$161,500 |
Farmers Insurance Exchange |
Farmers Insurance Exchange |
insurance violation |
2012 |
CO-INS |
$218,000 |
United American Insurance Co. |
Globe Life Inc. |
insurance violation |
2012 |
CO-INS |
$86,500 |
Transamerica Life Insurance Co. |
Aegon |
insurance violation |
2012 |
CO-INS |
$6,270 |
John Alden Life Insurance Co. |
Assurant |
insurance violation |
2012 |
CO-INS |
$86,500 |
Stewart Title Guaranty Co. |
Stewart Information Services |
insurance violation |
2012 |
CO-INS |
$70,400 |
North River Insurance Co. |
Fairfax Financial Holdings |
insurance violation |
2012 |
CO-INS |
$62,700 |
United States Fire Insurance Co. |
Fairfax Financial Holdings |
insurance violation |
2012 |
CO-INS |
$111,500 |
First American Title Insurance Co. |
First American Financial |
insurance violation |
2013 |
CO-INS |
$177,500 |
Globe Life and Accident Insurance Co. |
Globe Life Inc. |
insurance violation |
2014 |
CO-INS |
$12,100 |
National Western Life Insurance Co. |
National Western Life |
insurance violation |
2014 |
CO-INS |
$11,500 |
Safeco Insurance Company of America |
Liberty Mutual Insurance |
insurance violation |
2015 |
CO-INS |
$140,500 |
Chicago Title Insurance Co. |
Fidelity National Financial |
insurance violation |
2015 |
CO-INS |
$66,000 |
Auto Owners Insurance Co. |
Auto-Owners Insurance |
insurance violation |
2017 |
CO-INS |
$25,875 |
National Western Life Insurance Co. |
National Western Life |
insurance violation |
2019 |
CO-INS |
$34,500 |
Companion Life Insurance Co. |
BlueCross BlueShield of South Carolina |
insurance violation |
2019 |
CO-INS |
$147,775 |
Permanent General Assurance Corp. |
American Family Insurance |
insurance violation |
2019 |
CO-INS |
$56,494 |
Permanent General Assurance Corporation of Ohio |
American Family Insurance |
insurance violation |
2019 |
CO-INS |
$50,974 |
Janney Montgomery Scott LLC |
Penn Mutual |
investor protection violation |
2005 |
CO-SEC |
$259,227 |