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 |
BCS Insurance Company |
BCS Financial Corporation |
insurance violation |
2016 |
NY-DFS |
$100,000 |
BCS Insurance Company |
BCS Financial Corporation |
insurance violation |
2017 |
MULTI-FIN |
$1,000,000 |
Bear Stearns |
JPMorgan Chase |
wage and hour violation |
2010 |
private lawsuit-federal |
$675,000 |
Bear Stearns |
JPMorgan Chase |
investor protection violation |
2012 |
MI-AG |
$275,000,000 |
Bear Stearns & Co. LLC |
JPMorgan Chase |
investor protection violation |
2002 |
MULTI-AG |
(*) $80,000,000 |
Bear Stearns Companies Inc. |
JPMorgan Chase |
wage and hour violation |
2003 |
WHD |
$358,974 |
Bear Stearns Companies, Inc. |
JPMorgan Chase |
benefit plan administrator violation |
2012 |
private lawsuit-federal |
$10,000,000 |
Bear Stearns Companies, LLC |
JPMorgan Chase |
mortgage abuses |
2008 |
FTC |
$28,000,000 |
Bear, Stearns & Co. Inc. |
JPMorgan Chase |
investor protection violation |
2003 |
SEC |
$80,000,000 |
Bear, Stearns & Co. Inc. |
JPMorgan Chase |
investor protection violation |
2003 |
MULTI-FIN |
(*) $25,000,000 |
Bear, Stearns & Co., Inc. |
JPMorgan Chase |
investor protection violation |
2006 |
SEC |
$1,500,000 |
Bear, Stearns & Co., Inc. |
JPMorgan Chase |
investor protection violation |
2006 |
SEC |
$250,000,000 |
Bear, Stearns & Co., Inc. |
JPMorgan Chase |
investor protection violation |
2005 |
IL-SEC |
$10,000 |
Berkley National Insurance Company |
W.R. Berkley |
insurance violation |
2016 |
TX-INS |
$8,000 |
Berkley National Insurance Company |
W.R. Berkley |
insurance violation |
2018 |
WA-INS |
$10,000 |
Berkshire Life Insurance Company of America |
Guardian Life Insurance |
insurance violation |
2019 |
CT-INS |
$7,500 |
Berthel Fisher & Company |
Berthel Fisher |
investor protection violation |
2003 |
MN-FIN |
$10,000 |
Berthel Fisher & Company Financial Services, Inc |
Berthel Fisher |
investor protection violation |
2019 |
NH-BSR |
$415,407 |
Berthel Fisher & Company Financial Services, Inc. |
Berthel Fisher |
investor protection violation |
2007 |
MO-SEC |
$230,469 |
Berthel Fisher & Company Financial Services, Inc. |
Berthel Fisher |
investor protection violation |
2011 |
MO-SEC |
$5,000 |
Berthel Fisher & Company Financial Services, Inc. |
Berthel Fisher |
investor protection violation |
2013 |
MO-SEC |
$80,000 |
Berthel Fisher and Company Financial Services Inc. |
Berthel Fisher |
investor protection violation |
2003 |
ND-SEC |
$12,303 |
Berthel Fisher and Company Financial Services Inc. |
Berthel Fisher |
investor protection violation |
2004 |
ND-SEC |
$20,000 |
Berthel Fisher and Company Financial Services Inc. |
Berthel Fisher |
investor protection violation |
2006 |
ND-SEC |
$8,000 |
Berthel, Fisher & Company Financial Services, Inc. |
Berthel Fisher |
investor protection violation |
2007 |
NE-DBF |
$5,000 |
BGC Financial LP |
BGC Partners |
foreign exchange market manipulation |
2019 |
NY-AG |
$7,500,000 |
BGC Financial, L.P. |
BGC Partners |
investor protection violation |
2019 |
CFTC |
$3,000,000 |
BGC Financial, LP |
BGC Partners |
investor protection violation |
2019 |
CFTC |
$15,000,000 |
BGC Partners, Inc. |
BGC Partners |
investor protection violation |
2020 |
SEC |
$1,400,000 |
BlackRock Advisors LLC |
BlackRock |
investor protection violation |
2015 |
SEC |
$12,000,000 |
Blackrock Fund Advisors |
BlackRock |
investor protection violation |
2017 |
SEC |
$1,500,000 |
BlackRock Inc. |
BlackRock |
investor protection violation |
2017 |
SEC |
$340,000 |
BlackRock Institutional Trust Company |
BlackRock |
investor protection violation |
2014 |
SEC |
$1,675,350 |
BlackRock Institutional Trust Company NA |
BlackRock |
investor protection violation |
2012 |
CFTC |
$250,000 |
Blue Shield of California |
California Physicians' Service |
insurance violation |
2008 |
CA-MHC |
$5,000,000 |
Blue Shield of California |
California Physicians' Service |
insurance violation |
2010 |
CA-MHC |
$900,000 |
Blue Shield of California |
California Physicians' Service |
insurance violation |
2015 |
CA-MHC |
$350,000 |
Blue Shield of California Life & Health Insurance Co. |
California Physicians' Service |
insurance violation |
2009 |
CA-INS |
$285,000 |
Blue Shield of California Promise Health Plan |
California Physicians' Service |
Medicare Parts C and D Enforcement Action |
2020 |
CMS |
$148,506 |
Blue Shield of California Promise Health Plan |
California Physicians' Service |
insurance violation |
2012 |
CA-MHC |
$50,000 |
Blue Shield of California Promise Health Plan |
California Physicians' Service |
insurance violation |
2013 |
CA-MHC |
$120,000 |
Blue Shield of California Promise Health Plan |
California Physicians' Service |
insurance violation |
2013 |
CA-MHC |
$5,000 |
Blue Shield of California Promise Health Plan |
California Physicians' Service |
insurance violation |
2014 |
CA-MHC |
$75,000 |
Blue Shield of California Promise Health Plan |
California Physicians' Service |
insurance violation |
2014 |
CA-MHC |
$9,000 |
Blue Shield of California Promise Health Plan |
California Physicians' Service |
insurance violation |
2016 |
CA-MHC |
$5,000 |
Blue Shield of California Promise Health Plan |
California Physicians' Service |
insurance violation |
2017 |
CA-MHC |
$7,500 |
Blue Shield of California Promise Health Plan |
California Physicians' Service |
insurance violation |
2017 |
CA-MHC |
$20,000 |
Blue Shield of California Promise Health Plan |
California Physicians' Service |
insurance violation |
2019 |
CA-MHC |
$65,000 |
Blue Shield of California Promise Health Plan |
California Physicians' Service |
insurance violation |
2019 |
CA-MHC |
$10,000 |
Blue Shield of California Promise Health Plan |
California Physicians' Service |
insurance violation |
2019 |
CA-MHC |
$150,000 |
Blue Shield of California Promise Health Plan |
California Physicians' Service |
insurance violation |
2019 |
CA-MHC |
$20,000 |
BMO Capital Markets Corp. |
Bank of Montreal |
investor protection violation |
2019 |
SEC |
$1,950,000 |
BMO Capital Markets Corporation |
Bank of Montreal |
investor protection violation |
2019 |
SEC |
$3,946,000 |
BMO Capital Markets GKST Inc. |
Piper Sandler |
investor protection violation |
2015 |
SEC |
$250,000 |
BMO Financial |
Bank of Montreal |
wage and hour violation |
2016 |
private lawsuit-federal |
$700,000 |
BMO Financial |
Bank of Montreal |
wage and hour violation |
2015 |
private lawsuit-federal |
$3,900,000 |
BMO Harris Bank |
Bank of Montreal |
employment discrimination |
2013 |
EEOC |
$400,000 |
BMO Harris Bank N.A. |
Bank of Montreal |
Family and Medical Leave Act |
2015 |
WHD |
$11,304 |
BMO Harris Bank, N.A. |
Bank of Montreal |
fraud |
2018 |
USAO |
$10,000,000 |
BMO Harris Financial Advisors Inc. and BMO Asset Management Corp. |
Bank of Montreal |
investor protection violation |
2019 |
SEC |
$37,980,000 |
BNP Paribas |
BNP Paribas |
False Claims Act and related |
2014 |
DOJ_CIVIL |
$80,000,000 |
BNP Paribas |
BNP Paribas |
economic sanction violation |
2014 |
NY-DFS |
$2,240,000,000 |
BNP Paribas (Suisse) SA |
BNP Paribas |
tax violations |
2015 |
DOJ_TAX |
$59,783,000 |
BNP Paribas Commodity Futures, Ltd. |
BNP Paribas |
data submission deficiencies |
2008 |
CFTC |
$25,000 |
BNP Paribas S.A. |
BNP Paribas |
economic sanction violation |
2015 |
DOJ_CRIMINAL |
$8,973,600,000 |
BNP Paribas S.A. |
BNP Paribas |
foreign exchange market manipulation |
2017 |
FED |
$246,000,000 |
BNP Paribas S.A. |
BNP Paribas |
economic sanction violation |
2014 |
NY-MANDA |
(*) $2,243,400,000 |
BNP Paribas S.A. |
BNP Paribas |
foreign exchange market manipulation |
2017 |
NY-DFS |
$350,000,000 |
BNP Paribas Securities |
BNP Paribas |
investor protection violation |
2015 |
CFTC |
$140,000 |
BNP Paribas Securities Corp. |
BNP Paribas |
interest rate benchmark manipulation |
2018 |
CFTC |
$90,000,000 |
BNP Paribas Securities Corp. |
BNP Paribas |
investor protection violation |
2020 |
SEC |
$250,000 |
BNP Paribas USA Inc. |
BNP Paribas |
foreign exchange market manipulation |
2018 |
DOJ_ANTITRUST |
$90,000,000 |
BNY Mellon |
Bank of New York Mellon |
Foreign Corrupt Practices Act |
2015 |
SEC |
$14,800,000 |
BNY Mellon |
Bank of New York Mellon |
investor protection violation |
2017 |
SEC |
$6,600,000 |
BNY Mellon Capital Markets LLC |
Bank of New York Mellon |
investor protection violation |
2011 |
TX-SEC |
$500,000 |
BNY Mellon Capital Markets, LLC |
Bank of New York Mellon |
investor protection violation |
2015 |
SEC |
$120,000 |
BNY Mellon Securities LLC |
Bank of New York Mellon |
investor protection violation |
2011 |
SEC |
$24,045,447 |
BNY Mellon Shareowner Services |
Bank of New York Mellon |
investor protection violation |
2010 |
MA-AG |
$30,000 |
BOK Financial Corporation |
BOK Financial |
investor protection violation |
2016 |
SEC |
$1,667,720 |
BOK Financial Corporation dba the Bank of Albuquerque |
BOK Financial |
employment discrimination |
2014 |
EEOC |
$230,000 |
Bok Financial Securities, Inc. |
BOK Financial |
investor protection violation |
2019 |
SEC |
$197,801 |
BOK Financial Securities, Inc. |
BOK Financial |
insurance violation |
2020 |
CA-INS |
$5,000 |
BOWIE REFINED COAL LLC |
Trafigura |
environmental violation |
2018 |
EPA |
$256,000 |
Bowie Refined Coal, LLC |
Trafigura |
workplace safety or health violation |
2013 |
MSHA |
$5,000 |
Bowie Refined Coal, LLC |
Trafigura |
workplace safety or health violation |
2017 |
MSHA |
$8,094 |
Bowie Refined Coal, LLC |
Trafigura |
workplace safety or health violation |
2020 |
MSHA |
$5,469 |
Bowie Resources LLC |
Trafigura |
workplace safety or health violation |
2007 |
MSHA |
$15,971 |
Bowie Resources LLC |
Trafigura |
workplace safety or health violation |
2007 |
MSHA |
$11,600 |
Bowie Resources LLC |
Trafigura |
workplace safety or health violation |
2007 |
MSHA |
$18,800 |
Bowie Resources LLC |
Trafigura |
workplace safety or health violation |
2007 |
MSHA |
$6,188 |
Bowie Resources LLC |
Trafigura |
workplace safety or health violation |
2007 |
MSHA |
$10,000 |
Bowie Resources LLC |
Trafigura |
workplace safety or health violation |
2007 |
MSHA |
$25,000 |
Bowie Resources LLC |
Trafigura |
workplace safety or health violation |
2007 |
MSHA |
$9,288 |
Bowie Resources LLC |
Trafigura |
workplace safety or health violation |
2007 |
MSHA |
$5,503 |
Bowie Resources LLC |
Trafigura |
workplace safety or health violation |
2007 |
MSHA |
$10,000 |
Bowie Resources LLC |
Trafigura |
workplace safety or health violation |
2007 |
MSHA |
$7,000 |
Bowie Resources LLC |
Trafigura |
workplace safety or health violation |
2007 |
MSHA |
$5,961 |
Bowie Resources LLC |
Trafigura |
workplace safety or health violation |
2007 |
MSHA |
$10,705 |
Bowie Resources LLC |
Trafigura |
workplace safety or health violation |
2007 |
MSHA |
$5,503 |
Bowie Resources LLC |
Trafigura |
workplace safety or health violation |
2007 |
MSHA |
$6,745 |