Nationstar Mortgage LLC |
Mr. Cooper Group |
consumer protection violation |
2017 |
CFPB |
$1,750,000 |
American Express |
American Express |
consumer protection violation |
2017 |
CFPB |
$96,000,000 |
JPMorgan Chase Bank, N.A. |
JPMorgan Chase |
consumer protection violation |
2017 |
CFPB |
$4,600,000 |
Citibank N.A. |
Citigroup |
consumer protection violation |
2017 |
CFPB |
$6,000,000 |
Wells Fargo Bank N.A. |
Wells Fargo |
consumer protection violation |
2018 |
CFPB |
$500,000,000 |
TCF National Bank |
TCF Financial Corp. |
consumer protection violation |
2018 |
CFPB |
$28,000,000 |
Citibank, N.A. |
Citigroup |
consumer protection violation |
2018 |
CFPB |
$335,000,000 |
Santander Consumer USA Inc. |
Banco Santander |
consumer protection violation |
2018 |
CFPB |
$11,790,000 |
Enova International, Inc. |
Enova International |
consumer protection violation |
2019 |
CFPB |
$3,200,000 |
USAA Federal Savings Bank |
USAA |
consumer protection violation |
2019 |
CFPB |
$15,500,000 |
Freedom Mortgage Corporation |
Freedom Mortgage |
mortgage abuses |
2019 |
CFPB |
$1,750,000 |
TD Bank, N.A. |
Toronto-Dominion Bank |
consumer protection violation |
2020 |
CFPB |
$122,000,000 |
Nationstar Mortgage, LLC dba Mr. Cooper |
Mr. Cooper Group |
consumer protection violation |
2020 |
CFPB |
$74,500,000 |
Washington Federal Bank, N.A. |
Washington Federal Inc. |
consumer protection violation |
2020 |
CFPB |
$200,000 |
Encore Capital Group, Inc. |
Encore Capital Group |
consumer protection violation |
2020 |
CFPB |
$15,079,308 |
Citigroup |
Citigroup |
interest rate benchmark manipulation |
2016 |
CFTC |
$175,000,000 |
Citibank |
Citigroup |
interest rate benchmark manipulation |
2016 |
CFTC |
$250,000,000 |
JPMorgan Chase |
JPMorgan Chase |
data submission deficiencies |
2016 |
CFTC |
$225,000 |
Credit Suisse |
Credit Suisse |
investor protection violation |
2016 |
CFTC |
$665,000 |
JPMorgan Chase Bank |
JPMorgan Chase |
data submission deficiencies |
2015 |
CFTC |
$100,000,000 |
BNP Paribas Securities |
BNP Paribas |
investor protection violation |
2015 |
CFTC |
$140,000 |
Deutsche Bank AG |
Deutsche Bank |
data submission deficiencies |
2015 |
CFTC |
$2,500,000 |
Morgan Stanley |
Morgan Stanley |
investor protection violation |
2015 |
CFTC |
$300,000 |
Barclays |
Barclays |
interest rate benchmark manipulation |
2015 |
CFTC |
$400,000,000 |
Barclays |
Barclays |
interest rate benchmark manipulation |
2015 |
CFTC |
$115,000,000 |
Deutsche Bank |
Deutsche Bank |
interest rate benchmark manipulation |
2015 |
CFTC |
$800,000,000 |
Deutsche Bank Securities |
Deutsche Bank |
accounting fraud or deficiencies |
2014 |
CFTC |
$3,000,000 |
Royal Bank of Canada |
Royal Bank of Canada |
investor protection violation |
2014 |
CFTC |
$35,000,000 |
Citibank |
Citigroup |
interest rate benchmark manipulation |
2014 |
CFTC |
$310,000,000 |
HSBC Bank |
HSBC |
interest rate benchmark manipulation |
2014 |
CFTC |
$275,000,000 |
JPMorgan Chase Bank |
JPMorgan Chase |
interest rate benchmark manipulation |
2014 |
CFTC |
$310,000,000 |
Royal Bank of Scotland plc |
Royal Bank of Scotland |
interest rate benchmark manipulation |
2014 |
CFTC |
$290,000,000 |
UBS AG |
UBS |
interest rate benchmark manipulation |
2014 |
CFTC |
$290,000,000 |
Morgan Stanley Smith Barney |
Morgan Stanley |
investor protection violation |
2014 |
CFTC |
$280,000 |
Merrill Lynch |
Bank of America |
investor protection violation |
2014 |
CFTC |
$1,200,000 |
JPMorgan Securities |
JPMorgan Chase |
data submission deficiencies |
2014 |
CFTC |
$650,000 |
Lloyds Banking Group plc |
Lloyds Banking Group |
interest rate benchmark manipulation |
2014 |
CFTC |
$105,000,000 |
Morgan Stanley Smith Barney |
Morgan Stanley |
investor protection violation |
2014 |
CFTC |
$490,000 |
Morgan Stanley Capital Group |
Morgan Stanley |
investor protection violation |
2014 |
CFTC |
$200,000 |
Rabobank |
Rabobank |
interest rate benchmark manipulation |
2013 |
CFTC |
$475,000,000 |
JPMorgan Chase |
JPMorgan Chase |
investor protection violation |
2013 |
CFTC |
$100,000,000 |
ABN AMRO Clearing Chicago LLC |
ABN AMRO |
investor protection violation |
2013 |
CFTC |
$1,000,000 |
Royal Bank of Scotland plc |
Royal Bank of Scotland |
interest rate benchmark manipulation |
2013 |
CFTC |
$325,000,000 |
Mizuho Securities USA Inc. |
Mizuho Financial |
data submission deficiencies |
2013 |
CFTC |
$175,000 |
UBS AG |
UBS |
interest rate benchmark manipulation |
2012 |
CFTC |
$700,000,000 |
Goldman Sachs |
Goldman Sachs |
investor protection violation |
2012 |
CFTC |
$1,500,000 |
Morgan Stanley Smith Barney |
Morgan Stanley |
investor protection violation |
2012 |
CFTC |
$200,000 |
JPMorgan Chase Bank |
JPMorgan Chase |
investor protection violation |
2012 |
CFTC |
$600,000 |
Citigroup |
Citigroup |
investor protection violation |
2012 |
CFTC |
$525,000 |
Barclays PLC |
Barclays |
interest rate benchmark manipulation |
2012 |
CFTC |
$200,000,000 |
Morgan Stanley |
Morgan Stanley |
investor protection violation |
2012 |
CFTC |
$5,000,000 |
JPMorgan Chase Bank |
JPMorgan Chase |
accounting fraud or deficiencies |
2012 |
CFTC |
$20,000,000 |
Goldman Sachs Execution & Clearing LP |
Goldman Sachs |
investor protection violation |
2012 |
CFTC |
$7,000,000 |
J.P. Morgan Securities LLC |
JPMorgan Chase |
investor protection violation |
2012 |
CFTC |
$140,000 |
BlackRock Institutional Trust Company NA |
BlackRock |
investor protection violation |
2012 |
CFTC |
$250,000 |
Merrill Lynch |
Bank of America |
investor protection violation |
2011 |
CFTC |
$350,000 |
Morgan Stanley Capital Group |
Morgan Stanley |
data submission deficiencies |
2010 |
CFTC |
$14,000,000 |
UBS Securities |
UBS |
data submission deficiencies |
2010 |
CFTC |
$200,000 |
Barclays Capital Inc. |
Barclays |
investor protection violation |
2016 |
CFTC |
$800,000 |
Barclays Bank PLC |
Barclays |
investor protection violation |
2016 |
CFTC |
$560,000 |
BC Capital Group S.A., BC Capital Group International Limited, and BC Capital Group Holdings S.A. |
BC Capital Group |
investor protection violation |
2016 |
CFTC |
$490,246,741 |
INTL FCStone Markets, LLC |
INTL FCStone |
investor protection violation |
2015 |
CFTC |
$200,000 |
FCStone, LLC |
INTL FCStone |
investor protection violation |
2015 |
CFTC |
$140,000 |
ICE Futures U.S. Inc. |
IntercontinentalExchange Group |
investor protection violation |
2015 |
CFTC |
$3,000,000 |
U.S. Bank National Association |
U.S. Bancorp |
investor protection violation |
2015 |
CFTC |
$18,000,000 |
MF Global Holdings Ltd. |
MF Global |
investor protection violation |
2014 |
CFTC |
$1,312,000,000 |
Hunter Wise |
Hunter Wise Commodities |
investor protection violation |
2014 |
CFTC |
$108,000,000 |
Global Futures & Forex, Ltd. |
GAIN Capital Holdings |
investor protection violation |
2014 |
CFTC |
$200,000 |
Macquarie Futures USA LLC |
Macquarie |
investor protection violation |
2013 |
CFTC |
$150,000 |
FCStone LLC |
INTL FCStone |
investor protection violation |
2013 |
CFTC |
$1,500,000 |
Interactive Brokers LLC |
Interactive Brokers Group |
investor protection violation |
2013 |
CFTC |
$225,000 |
Cantor Fitzgerald |
Cantor Fitzgerald |
investor protection violation |
2012 |
CFTC |
$700,000 |
Interactive Brokers LLC |
Interactive Brokers Group |
investor protection violation |
2012 |
CFTC |
$700,000 |
FCStone, LLC and Commodity Operations Inc. |
INTL FCStone |
investor protection violation |
2012 |
CFTC |
$260,000 |
Cantor Fitzgerald & Co. |
Cantor Fitzgerald |
investor protection violation |
2011 |
CFTC |
$100,000 |
Vitol Inc. and Vitol Capital Management Ltd. |
Vitol |
investor protection violation |
2010 |
CFTC |
$6,000,000 |
Noble Americas Corp. |
Vitol |
investor protection violation |
2010 |
CFTC |
$130,000 |
UBS AG |
UBS |
investor protection violation |
2010 |
CFTC |
$130,000 |
Scotia Capital Inc. |
Scotiabank |
investor protection violation |
2010 |
CFTC |
$250,000 |
MF Global Inc. |
MF Global |
investor protection violation |
2009 |
CFTC |
$10,000,000 |
Citigroup Private Bank GP, Inc. |
Citigroup |
data submission deficiencies |
2009 |
CFTC |
$100,000 |
J.P. Morgan Futures, Inc. |
JPMorgan Chase |
data submission deficiencies |
2009 |
CFTC |
$300,000 |
UBS Fund Advisor, LLC |
UBS |
data submission deficiencies |
2009 |
CFTC |
$50,000 |
BNP Paribas Commodity Futures, Ltd. |
BNP Paribas |
data submission deficiencies |
2008 |
CFTC |
$25,000 |
MF Global Inc. |
MF Global |
investor protection violation |
2007 |
CFTC |
$2,000,000 |
Merrill Lynch Investment Managers, LLC and Merrill Lynch Alternative Investments, LLC |
Bank of America |
data submission deficiencies |
2007 |
CFTC |
$500,000 |
Interactive Brokers LLC |
Interactive Brokers Group |
investor protection violation |
2007 |
CFTC |
$175,000 |
Credit Lyonnais Rouse Limited |
Credit Agricole |
investor protection violation |
2005 |
CFTC |
$85,000 |
Credit Lyonnais Rouse Limited |
Credit Agricole |
investor protection violation |
2004 |
CFTC |
$25,000 |
A.G. Edwards & Sons, Inc. |
Wells Fargo |
data submission deficiencies |
2003 |
CFTC |
$45,000 |
Prudential Securities, Inc. |
Wells Fargo |
data submission deficiencies |
2002 |
CFTC |
$65,000 |
Republic New York Securities Corporation |
HSBC |
investor protection violation |
2001 |
CFTC |
$5,000,000 |
Barclays Bank PLC |
Barclays |
data submission deficiencies |
2016 |
CFTC |
$500,000 |
Wells Fargo Bank, N.A. |
Wells Fargo |
data submission deficiencies |
2016 |
CFTC |
$400,000 |
SG Americas Securities, LLC |
Societe Generale |
investor protection violation |
2016 |
CFTC |
$750,000 |
Societe Generale |
Societe Generale |
data submission deficiencies |
2016 |
CFTC |
$450,000 |
Goldman Sachs |
Goldman Sachs |
foreign exchange market manipulation |
2016 |
CFTC |
$120,000,000 |
J.P. Morgan Securities LLC |
JPMorgan Chase |
investor protection violation |
2017 |
CFTC |
$900,000 |
Citigroup Global Markets Inc. |
Citigroup |
investor protection violation |
2017 |
CFTC |
$25,000,000 |
E*TRADE Securities LLC |
Morgan Stanley |
investor protection violation |
2017 |
CFTC |
$280,000 |
Royal Bank of Scotland plc |
Royal Bank of Scotland |
interest rate benchmark manipulation |
2017 |
CFTC |
$85,000,000 |