Auto-Owners Insurance Co. |
Auto-Owners Insurance |
insurance violation |
2003 |
MN-FIN |
$5,000 |
Auto-Owners Insurance Co. |
Auto-Owners Insurance |
insurance violation |
2016 |
MN-FIN |
$10,000 |
Auto-Owners Insurance Co. |
Auto-Owners Insurance |
insurance violation |
2015 |
MO-INS |
$39,600 |
Auto-Owners Insurance Co. |
Auto-Owners Insurance |
insurance violation |
2004 |
WI-INS |
$5,000 |
Auto-Owners Insurance Co. and Owners Insurance Co. |
Auto-Owners Insurance |
insurance violation |
2019 |
MN-FIN |
$35,000 |
Auto-Owners Insurance Co. and Owners Insurance Co. |
Auto-Owners Insurance |
insurance violation |
2007 |
MO-INS |
$28,704 |
Auto-Owners Insurance Company |
Auto-Owners Insurance |
insurance violation |
2016 |
SC-INS |
$7,356 |
Auto-Owners Insurance Company and Owners Insurance Company |
Auto-Owners Insurance |
insurance violation |
2011 |
VA-INS |
$10,000 |
AVEMCO INSURANCE COMPANY |
Tokio Marine |
insurance violation |
2002 |
VA-INS |
$12,000 |
Aviva Life & Annuity Company |
Athene Holding |
insurance violation |
2013 |
MULTI-AG |
$4,000,000 |
Aviva Life and Annuity Co. |
Athene Holding |
insurance violation |
2011 |
CO-INS |
$25,300 |
AXA Advisors |
Equitable Holdings |
wage and hour violation |
2016 |
private lawsuit-federal |
$2,300,000 |
AXA Advisors LLC |
Equitable Holdings |
investor protection violation |
2011 |
OR-FIN |
$80,000 |
AXA Advisors, LLC |
Equitable Holdings |
investor protection violation |
2012 |
SEC |
$100,000 |
AXA Advisors, LLC |
Equitable Holdings |
investor protection violation |
2009 |
SEC |
$50,000 |
AXA Advisors, LLC |
Equitable Holdings |
investor protection violation |
2019 |
SEC |
$1,134,152 |
AXA Advisors, LLC |
Equitable Holdings |
investor protection violation |
2010 |
MO-SEC |
$92,015 |
AXA Art Insurance Corporation |
AXA |
insurance violation |
2015 |
NY-DFS |
$70,000 |
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-INS |
$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 |
(*) $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 |
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., 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 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 |
(*) $90,000,000 |
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 ESPIRITO SANTO S. A. |
Banco Espirito Santo |
banking violation |
2012 |
FED |
$975,000 |
Banco Espirito Santo S.A. |
Banco Espirito Santo |
investor protection violation |
2011 |
SEC |
$7,000,000 |
Banco Espirito Santo S.A. |
Banco Espirito Santo |
investor protection violation |
2011 |
NY-AG |
$975,000 |
Banco Espirito Santo, S.A. |
Banco Espirito Santo |
investor protection violation |
2011 |
NJ-AG |
$1,900,000 |
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 North America, Inc. |
Popular Inc. |
wage and hour violation |
2004 |
WHD |
$17,363 |
BancorpSouth Bank |
BancorpSouth |
mortgage abuses |
2016 |
CFPB |
$10,600,000 |
BANCORPSOUTH BANK |
BancorpSouth |
banking violation |
2011 |
FDIC |
$46,500 |
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 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 |