AXA Art Insurance Corporation | AXA | insurance violation | 2012 | SC-INS | $8,000 |
AXA Equitable | Equitable Holdings | insurance violation | 2014 | NY-DFS | $20,000,000 |
AXA Equitable Life & Annuity Co. | Equitable Holdings | insurance violation | 2016 | MT-FIN | $5,000 |
AXA Equitable Life Insurance Co. | Equitable Holdings | insurance violation | 2018 | DE-INS | $5,000 |
AXA Equitable Life Insurance Co. | Equitable Holdings | insurance violation | 2016 | MN-FIN | $5,000 |
AXA Equitable Life Insurance Co. et al. | Equitable Holdings | insurance violation | 2016 | MN-FIN | $900,000 |
AXA Equitable Life Insurance Company | Equitable Holdings | wage and hour violation | 2006 | WHD | $29,534 |
AXA Equitable Life Insurance Company | Equitable Holdings | benefit plan administrator violation | 2011 | private lawsuit-federal | $2,500,000 |
AXA Equitable Life Insurance Company | Equitable Holdings | insurance violation | 2012 | NY-AG | $850,000 |
AXA Equitable Life Insurance Company | Equitable Holdings | insurance violation | 2010 | NY-DFS | $1,900,000 |
AXA Financial | Equitable Holdings | wage and hour violation | 2009 | private lawsuit-federal | $6,500,000 |
Axa Insurance Co. | AXA | insurance violation | 2019 | LA-INS | $6,000 |
AXA Insurance Company | AXA | insurance violation | 2007 | SC-INS | $8,000 |
Axa Re Property and Casualty Insurance Co. | AXA | insurance violation | 2005 | FL-OFR | $15,000 |
AXA Rosenberg | AXA | investor protection violation | 2011 | SEC | $242,000,000 |
Axa S.A. | AXA | insurance violation | 2015 | MULTI-AG | $3,280,000 |
BAC Home Loans Servicing LP fka Countrywide Home Loans Servicing LP | Bank of America | mortgage abuses | 2011 | DOJ_CIVIL | $20,000,000 |
Balli Aviation Ltd. | Balli Group | export control violation | 2010 | DOJ_NATSEC | $2,000,000 |
Balli Aviation Ltd. and Balli Group PLC | Balli Group | export control violation | 2010 | BIS | $15,000,000 |
Banamex USA | Citigroup | banking violation | 2015 | FDIC | $140,000,000 |
Banamex USA | Citigroup | anti-money-laundering deficiencies | 2017 | DOJ_CRIMINAL | $97,440,000 |
Banc of America Capital Management LLC et al. | Bank of America | investor protection violation | 2004 | 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. $375,000,000 |
Banc of America Capital Management LLC, BACAP Distributors LLC and Banc of America Securities LLC | Bank of America | investor protection violation | 2005 | SEC | $375,000,000 |
Banc of America Investment Services | Bank of America | employment discrimination | 2009 | private lawsuit-federal | $7,200,000 |
Banc of America Investment Services Inc. | Bank of America | anti-money-laundering deficiencies | 2007 | FINRA | $3,000,000 |
Banc of America Investment Services Inc. | Bank of America | investor protection violation | 2004 | FINRA | $200,000 |
Banc of America Investment Services, Inc. | Bank of America | investor protection violation | 2008 | SEC | $9,763,634 |
Banc of America Investment Services, Inc. | Bank of America | investor protection violation | 2009 | SEC | $150,000 |
Banc of America Investment Services, Inc. | Bank of America | investor protection violation | 2006 | IL-SEC | $250,000 |
Banc of America Investment Services, Inc. | Bank of America | investor protection violation | 2008 | MD-SEC | $10,000 |
Banc of America Investment Services, Inc. | Bank of America | investor protection violation | 2005 | FINRA | $90,000 |
Banc of America Investment Services, Inc., and Bacap Distributors, LLC | Bank of America | investor protection violation | 2005 | SEC | $1,500,000 |
Banc of America Securities LLC | Bank of America | fraud | 2007 | SEC | $26,000,000 |
Banc of America Securities LLC | Bank of America | investor protection violation | 2006 | SEC | $750,000 |
Banc of America Securities LLC | Bank of America | investor protection violation | 2004 | SEC | $10,000,000 |
Banc of America Securities LLC | Bank of America | price-fixing or anti-competitive practices | 2010 | SEC | $36,096,442 |
Banc of America Securities LLC | Bank of America | investor protection violation | 2008 | MULTI-AG | $4,550,000,000 |
Banc of America Securities LLC | Bank of America | investor protection violation | 2010 | NJ-AG | $1,268,393 |
Banc of America Securities LLC | Bank of America | investor protection violation | 2001 | FINRA | $40,000 |
Banc One Investment Advisors Corporation | JPMorgan Chase | investor protection violation | 2004 | SEC | $50,000,000 |
Banc One Investment Advisors Corporation | JPMorgan Chase | investor protection violation | 2004 | 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. $90,000,000 |
Banc One Securities Corporation | JPMorgan Chase | investor protection violation | 2008 | FINRA | $225,000 |
Banc One Securities Corporation | JPMorgan Chase | investor protection violation | 2005 | FINRA | $400,000 |
Banca IMI Securities Corp. | Intesa Sanpaolo | investor protection violation | 2017 | SEC | $35,300,000 |
Banca IMI Securities Corp. | Intesa Sanpaolo | price-fixing or anti-competitive practices | 2019 | DOJ_ANTITRUST | $2,000,000 |
BancFirst Insurance Services, Inc. | BancFirst | wage and hour violation | 2014 | WHD | $20,229 |
Banco Bilbao Vizcaya Argentaria, S.A. | Banco Bilbao Vizcaya Argentaria | banking violation | 2016 | FED | $27,000,000 |
Banco Bilbao Vizcaya Puerto Rico | Banco Bilbao Vizcaya Argentaria | wage and hour violation | 2006 | WHD | $31,571 |
Banco Popular | Popular Inc. | wage and hour violation | 2016 | private lawsuit-federal | $50,243 |
Banco Popular | Popular Inc. | wage and hour violation | 2009 | private lawsuit-federal | $1,050,000 |
Banco Popular de Puerto Rico | Popular Inc. | anti-money-laundering deficiencies | 2003 | DOJ_CRIMINAL | $21,600,000 |
Banco Popular de Puerto Rico | Popular Inc. | economic sanction violation | 2022 | OFAC | $255,938 |
Banco Popular North America, Inc. | Popular Inc. | wage and hour violation | 2004 | WHD | $17,363 |
BancorpSouth Bank | Cadence Bank | mortgage abuses | 2016 | CFPB | $10,600,000 |
BANCORPSOUTH BANK | Cadence Bank | banking violation | 2011 | FDIC | $46,500 |
BancorpSouth Bank | Cadence Bank | consumer protection violation | 2016 | private lawsuit-federal | $24,000,000 |
Bank Hapoalim B.M, | Bank Hapoalim | tax violations | 2020 | FED | $37,350,000 |
Bank Hapoalim B.M. | Bank Hapoalim | anti-money-laundering deficiencies | 2020 | DOJ_CRIMINAL | $30,063,317 |
Bank Hapoalim B.M. | Bank Hapoalim | tax violations | 2020 | NY-DFS | $220,000,000 |
Bank Hapoalim B.M. and Bank Hapoalim (Switzerland) Ltd. | Bank Hapoalim | tax violations | 2020 | DOJ_TAX | $616,910,000 |
Bank Julius Baer & Co. Ltd. | Julius Baer Group | tax violations | 2016 | DOJ_TAX | $547,000,000 |
Bank Julius Baer & Co. Ltd. | Julius Baer Group | money laundering | 2021 | DOJ_CRIMINAL | $79,000,000 |
Bank Leumi | Bank Leumi | investor protection violation | 2016 | SEC | $1,600,000 |
Bank Leumi | Bank Leumi | tax violations | 2014 | NY-DFS | $130,000,000 |
Bank Leumi Group | Bank Leumi | tax violations | 2014 | DOJ_TAX | $270,000,000 |
Bank of America | Bank of America | price-fixing or anti-competitive practices | 2010 | DOJ_ANTITRUST | $137,300,000 |
Bank of America | Bank of America | banking violation | 2013 | OCC | $2,886,578,478 |
Bank of America | Bank of America | investor protection violation | 2010 | SEC | $150,000,000 |
Bank of America | Bank of America | toxic securities abuses | 2013 | FHFA | $404,000,000 |
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 |
Bank of America | Bank of America | toxic securities abuses | 2013 | NCUA | $165,000,000 |
Bank of America | Bank of America | economic sanction violation | 2004 | OFAC | $13,573 |
Bank of America | Bank of America | economic sanction violation | 2003 | OFAC | $158,038 |
Bank of America | Bank of America | discriminatory practices (non-employment) | 2013 | HUD | $45,000 |
Bank of America | Bank of America | discriminatory practices (non-employment) | 2013 | HUD | $22,449 |
Bank of America | Bank of America | discriminatory practices (non-employment) | 2013 | HUD | $7,500 |
Bank of America | Bank of America | discriminatory practices (non-employment) | 2012 | HUD | $161,180 |
Bank of America | Bank of America | employment discrimination | 2014 | EEOC | $110,000 |
Bank of America | Bank of America | employment discrimination | 2016 | EEOC | $30,000 |
Bank of America | Bank of America | Family and Medical Leave Act | 2008 | WHD | $6,500 |
Bank of America | Bank of America | wage and hour violation | 2008 | WHD | $6,209 |
Bank of America | Bank of America | wage and hour violation | 2005 | WHD | $12,824 |
Bank of America | Bank of America | employment discrimination | 2017 | OFCCP | $1,000,000 |
Bank of America | Bank of America | investor protection violation | 2017 | USAO | $2,500,000 |
Bank of America | Bank of America | export control violation | 2017 | BIS | $44,625 |
Bank of America | Bank of America | Family and Medical Leave Act | 2017 | WHD | $14,528 |
Bank of America | Bank of America | wage and hour violation | 2017 | private lawsuit-federal | $6,000,000 |
Bank of America | Bank of America | wage and hour violation | 2017 | private lawsuit-federal | $7,000,000 |
Bank of America | Bank of America | wage and hour violation | 2017 | private lawsuit-federal | $1,900,000 |
Bank of America | Bank of America | wage and hour violation | 2017 | private lawsuit-federal | $6,600,000 |
Bank of America | Bank of America | wage and hour violation | 2016 | private lawsuit-state | $4,000,000 |
Bank of America | Bank of America | wage and hour violation | 2016 | private lawsuit-federal | $3,250,000 |
Bank of America | Bank of America | wage and hour violation | 2016 | private lawsuit-federal | $36,000,000 |
Bank of America | Bank of America | wage and hour violation | 2016 | private lawsuit-federal | $2,250,000 |
Bank of America | Bank of America | wage and hour violation | 2015 | private lawsuit-federal | $9,000,000 |
Bank of America | Bank of America | wage and hour violation | 2013 | private lawsuit-federal | $73,000,000 |
Bank of America | Bank of America | wage and hour violation | 2010 | private lawsuit-state | $16,650,000 |
Bank of America | Bank of America | wage and hour violation | 2010 | private lawsuit-federal | $661,392 |
Bank of America | Bank of America | wage and hour violation | 2007 | private lawsuit-state | $2,500,000 |