First Republic Investment Management, Inc. | JPMorgan Chase | investor protection violation | 2022 | SEC | $1,825,953 |
First Tennessee Bank | First Horizon National | discriminatory practices (non-employment) | 2016 | HUD | $1,900,000 |
First Tennessee Bank N.A. | First Horizon National | False Claims Act and related | 2015 | DOJ_CIVIL | $212,500,000 |
First Tennessee Bank NA | First Horizon National | price-fixing or anti-competitive practices | 2020 | private lawsuit-federal | $14,500,000 |
First Tennessee Bank National Association | First Horizon National | banking violation | 2009 | OCC | $100,000 |
First Tennessee Bank National Association | First Horizon National | banking violation | 2007 | OCC | $125,000 |
First Tennessee Bank National Association | First Horizon National | banking violation | 2005 | OCC | $180,000 |
First Tennessee Bank National Association | First Horizon National | banking violation | 2017 | OCC | $1,000,000 |
First Union Bank | Wells Fargo | economic sanction violation | 2004 | OFAC | $18,740 |
First Union Bank | Wells Fargo | labor relations violation | 2000 | NLRB | $9,116 |
First Union Brokerage Services, Inc. | Wells Fargo | investor protection violation | 2001 | FINRA | $32,500 |
First Union Securities, Inc. | Wells Fargo | investor protection violation | 2000 | SEC | $408,931 |
First Union Securities, Inc. | Wells Fargo | investor protection violation | 2000 | FINRA | $350,000 |
First Unum Life Insurance Company | Unum | insurance violation | 2022 | NY-DFS | $1,100,000 |
First Unum Life Insurance Company of America and Paul Revere Life Insurance Company | Unum | privacy violation | 2021 | NY-DFS | $1,800,000 |
First USA | JPMorgan Chase | consumer protection violation | 2002 | MULTI-AG | $1,300,000 |
FirstBank Puerto Rico | First Bancorp (Puerto Rico) | banking violation | 2019 | FDIC | $17,700 |
Fiserv Securities, Inc. | Fidelity Investments | investor protection violation | 2005 | SEC | $15,000,000 |
FITTJE BROS. PRINTING CO. | Chatham Asset Management | workplace safety or health violation | 2017 | OSHA | $5,000 |
Five Star Bank | Financial Institutions Inc. | discriminatory practices (non-employment) | 2015 | NY-AG | $150,000 |
Flagstar Bancorp, Inc. | New York Community Bancorp | benefit plan administrator violation | 2013 | private lawsuit-federal | $3,000,000 |
Flagstar Bancorp, Inc. a Michigan Corporation | New York Community Bancorp | wage and hour violation | 2021 | CA-LCO | $30,677 |
Flagstar Bank | New York Community Bancorp | consumer protection violation | 2014 | CFPB | $37,500,000 |
Flagstar Bank | New York Community Bancorp | mortgage abuses | 2012 | USAO | $132,800,000 |
Flagstar Bank | New York Community Bancorp | wage and hour violation | 2015 | private lawsuit-federal | $895,000 |
Flagstar Bank | New York Community Bancorp | discriminatory practices (non-employment) | 2004 | private lawsuit-federal | $1,100,000 |
Flagstar Bank, FSB | New York Community Bancorp | banking violation | 2016 | OCC | $500,000 |
Flagstar Bank, FSB | New York Community Bancorp | banking violation | 2021 | OCC | $3,620,000 |
Flagstar Bank, FSB, | New York Community Bancorp | wage and hour violation | 2021 | CA-LCO | $30,677 |
Fleet National Bank | Bank of America | environmental violation | 2000 | RI-ENV | $18,034 |
FleetBoston Financial Corp | Bank of America | benefit plan administrator violation | 2008 | private lawsuit-federal | $83,401,000 |
FleetBoston Financial Corp. | 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. $300,000,000 |
FleetBoston Financial Corporation | Bank of America | investor protection violation | 2004 | SEC | $140,000,000 |
FleetBoston Financial Corporation | Bank of America | privacy violation | 2001 | NY-AG | $100,000 |
Florida Central Railroad | 3i Infrastructure PLC | railroad safety violation | 2013 | FRA | $6,800 |
FMR LLC | Fidelity Investments | benefit plan administrator violation | 2014 | private lawsuit-federal | $12,000,000 |
FMR LLC | Fidelity Investments | benefit plan administrator violation | 2021 | EBSA | $10,001 |
Foremost Insurance Co. | Zurich Insurance | insurance violation | 2003 | MN-FIN | $5,000 |
FOREMOST INSURANCE CO. | Zurich Insurance | insurance violation | 2010 | VA-INS | $6,000 |
Foremost Insurance Co. | Zurich Insurance | insurance violation | 2003 | WI-INS | $8,500 |
Foremost Insurance Co. at al. | Zurich Insurance | insurance violation | 2004 | MN-FIN | $75,000 |
Foremost Insurance Company Grand Rapids Michigan | Zurich Insurance | insurance violation | 2021 | WA-INS | $75,000 |
Foremost Insurance Company Grand Rapids, Michigan | Zurich Insurance | insurance violation | 2015 | AZ-DIFI | $58,000 |
Foremost Insurance Company Grand Rapids, Michigan | Zurich Insurance | insurance violation | 2014 | MD-INS | $10,000 |
Foremost Insurance Company Grand Rapids, Michigan | Zurich Insurance | insurance violation | 2021 | OR-FIN | $15,000 |
Foremost Insurance Company Grand Rapids, Michigan | Zurich Insurance | insurance violation | 2022 | CT-INS | $20,000 |
Foremost Insurance Company of Grand Rapids, Michigan | Zurich Insurance | insurance violation | 2005 | PA-INS | $5,000 |
Foremost Insurance Group et al. | Zurich Insurance | insurance violation | 2015 | SD-INS | $750,000 |
Foremost Property & Casualty Insurance Co. | Zurich Insurance | insurance violation | 2015 | AZ-DIFI | $21,000 |
Foremost Property and Casualty Insurance Co. et al. | Zurich Insurance | insurance violation | 2019 | DE-INS | $11,000 |
Fortis Insurance Co. | Assurant | insurance violation | 2007 | FL-OFR | $11,000 |
Fortis Insurance Co. | Assurant | insurance violation | 2004 | MN-FIN | $5,000 |
Fortis Insurance Co. | Assurant | insurance violation | 2005 | MN-FIN | $7,500 |
Fortis Insurance Co. | Assurant | insurance violation | 2005 | MN-FIN | $10,000 |
Fortis Insurance Co. | Assurant | insurance violation | 2004 | MT-FIN | $65,000 |
Fortis Insurance Co. and Fortis Benefits Insurance Co. | Assurant | insurance violation | 2001 | MN-FIN | $5,000 |
Fortis Insurance Co. and John Alden Life Insurance Co. | Assurant | insurance violation | 2002 | MN-FIN | $10,000 |
Fortis Insurance Co. and John Alden Life Insurance Co. | Assurant | insurance violation | 2002 | MN-FIN | $75,000 |
Fortis Insurance Co. et al. | Assurant | insurance violation | 2004 | MT-FIN | $70,000 |
FORTIS INSURANCE CO., ET AL. | Assurant | insurance violation | 2002 | VA-INS | $27,000 |
Fortis Insurance Company | Assurant | insurance violation | 2002 | OR-FIN | $42,500 |
Fortis Insurance Company | Assurant | insurance violation | 2003 | OR-FIN | $20,000 |
FORTIS INSURANCE COMPANY | Assurant | insurance violation | 2001 | VA-INS | $57,000 |
Franklin Advisers and Inc. | Franklin Resources | investor protection violation | 2020 | SEC | $250,000 |
Franklin Advisers, Inc. | Franklin Resources | investor protection violation | 2004 | SEC | $50,000,000 |
Franklin Advisers, Inc. and Franklin Templeton Distributors, Inc. | Franklin Resources | investor protection violation | 2004 | SEC | $20,000,000 |
Franklin American Mortgage | Citizens Financial Group | wage and hour violation | 2013 | private lawsuit-federal | $165,000 |
Franklin American Mortgage Company | Citizens Financial Group | mortgage abuses | 2015 | DOJ_CIVIL | $70,000,000 |
Franklin American Mortgage Company | Citizens Financial Group | consumer protection violation | 2010 | PA-BKG | $6,750 |
Franklin Resources, Inc. | Franklin Resources | benefit plan administrator violation | 2019 | private lawsuit-federal | $13,850,000 |
Franklin Templeton Distributors, Inc. | Franklin Resources | Family and Medical Leave Act | 2016 | WHD | $23,252 |
Franklin Templeton Investments Corp. | Franklin Resources | investor protection violation | 2020 | SEC | $75,000 |
Franklin/Templeton Distributors, Inc. | Franklin Resources | investor protection violation | 2004 | CA-AG | $18,000,000 |
FRED ALGER & COMPANY, INCORPORATED | Alger Associates | benefit plan administrator violation | 2007 | EBSA | $50,001 |
FRED ALGER & COMPANY, INCORPORATED | Alger Associates | benefit plan administrator violation | 2006 | EBSA | $10,001 |
Fred Alger Management, Inc. | Alger Associates | investor protection violation | 2007 | SEC | $40,000,000 |
Fred Alger Management, Inc. | Alger Associates | investor protection violation | 2007 | 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. $45,000,000 |
Freddie Mac | Freddie Mac (Federal Home Loan Mortgage Corporation) | consumer protection violation | 2008 | NY-AG | $12,000,000 |
Freddie Mac | Freddie Mac (Federal Home Loan Mortgage Corporation) | environmental violation | 2023 | RI-AG | $460,000 |
Freedom Mortgage | Freedom Mortgage | wage and hour violation | 2015 | private lawsuit-federal | $900,000 |
Freedom Mortgage | Freedom Mortgage | wage and hour violation | 2012 | private lawsuit-federal | $1,600,000 |
Freedom Mortgage | Freedom Mortgage | wage and hour violation | 2021 | MI-LEO | $8,000 |
Freedom Mortgage Corp. | Freedom Mortgage | consumer protection violation | 2009 | CT-BKG | $43,000 |
Freedom Mortgage Corp. | Freedom Mortgage | mortgage abuses | 2016 | MA-BKG | $2,000,000 |
Freedom Mortgage Corp. | Freedom Mortgage | consumer protection violation | 2009 | WA-FIN | $52,791 |
Freedom Mortgage Corp. | Freedom Mortgage | consumer protection violation | 2020 | MA-BKG | $25,000 |
Freedom Mortgage Corp. | Freedom Mortgage | consumer protection violation | 2023 | NJ-AG | $502,000 |
Freedom Mortgage Corporation | Freedom Mortgage | False Claims Act and related | 2016 | DOJ_CIVIL | $113,000,000 |
Freedom Mortgage Corporation | Freedom Mortgage | discriminatory practices (non-employment) | 2014 | HUD | $104,000 |
Freedom Mortgage Corporation | Freedom Mortgage | mortgage abuses | 2019 | CFPB | $1,750,000 |
Freedom Mortgage Corporation | Freedom Mortgage | wage and hour violation | 2019 | private lawsuit-federal | $4,480,000 |
FREEDOM MORTGAGE CORPORATION | Freedom Mortgage | consumer protection violation | 2016 | VA-FIN | $17,000 |
Freedom Mortgage Corporation | Freedom Mortgage | consumer protection violation | 2020 | CA-DFPI | $75,000 |
Freedom Mortgage Corporation | Freedom Mortgage | kickbacks and bribery | 2023 | CFPB | $1,750,000 |
Freedom Mortgage Corporation dba Jefferson Home Mortgage and Loan | Freedom Mortgage | consumer protection violation | 2010 | PA-BKG | $10,000 |
Friedman, Billings, Ramsey & Co., Inc. | Arlington Asset Investment Corp. | insider trading | 2006 | SEC | $3,755,839 |
Friedman, Billings, Ramsey & Co., Inc. | Arlington Asset Investment Corp. | investor protection violation | 2004 | SEC | $125,000 |
Friedman, Billings, Ramsey & Co., Inc. | Arlington Asset Investment Corp. | investor protection violation | 2008 | FINRA | $50,000 |
Friedman, Billings, Ramsey & Co., Inc. | Arlington Asset Investment Corp. | investor protection violation | 2006 | FINRA | $4,000,000 |
Fulton Financial Corporation | Fulton Financial | investor protection violation | 2020 | SEC | $1,500,000 |
Gabelli Funds LLC | Gamco Investors Inc. | investor protection violation | 2008 | SEC | $16,000,000 |