Deutsche Bank | Deutsche Bank | investor protection violation | 2016 | SEC | $18,500,000 |
Deutsche Bank | Deutsche Bank | toxic securities abuses | 2017 | DOJ_CIVIL | $7,200,000,000 |
Deutsche Bank | Deutsche Bank | tax violations | 2017 | USAO | $95,000,000 |
Deutsche Bank | Deutsche Bank | price-fixing or anti-competitive practices | 2017 | MULTI-AG | $220,000,000 |
Deutsche Bank | Deutsche Bank | investor protection violation | 2002 | MULTI-AG | $80,000,000 |
Deutsche Bank | Deutsche Bank | toxic securities abuses | 2017 | MD-AG | $95,000,000 |
Deutsche Bank | Deutsche Bank | price-fixing or anti-competitive practices | 2015 | NY-DFS | $600,000,000 |
Deutsche Bank | Deutsche Bank | economic sanction violation | 2015 | NY-DFS | $200,000,000 |
Deutsche Bank | Deutsche Bank | Foreign Corrupt Practices Act | 2021 | DOJ_CRIMINAL | $87,091,424 |
Deutsche Bank | Deutsche Bank | investor protection violation | 2009 | FINRA | $152,000 |
Deutsche Bank | Deutsche Bank | investor protection violation | 2022 | CFTC | $75,000,000 |
Deutsche Bank | Deutsche Bank | price-fixing or anti-competitive practices | 2020 | private lawsuit-federal | $80,000,000 |
Deutsche Bank | Deutsche Bank | price-fixing or anti-competitive practices | 2018 | private lawsuit-federal | $240,000,000 |
Deutsche Bank | Deutsche Bank | price-fixing or anti-competitive practices | 2022 | private lawsuit-federal | $60,000,000 |
Deutsche Bank | Deutsche Bank | price-fixing or anti-competitive practices | 2020 | private lawsuit-federal | $15,000,000 |
Deutsche Bank | Deutsche Bank | investor protection violation | 2012 | private lawsuit-federal | $32,500,000 |
Deutsche Asset Management, Inc. and Deutsche Investment Management Americas, Inc. | Deutsche Bank | investor protection violation | 2006 | SEC | $17,200,000 |
Deutsche Asset Management, Inc. | Deutsche Bank | investor protection violation | 2003 | SEC | $750,000 |
DEPOSITORY TRUST & CLEARING CORP. | Depository Trust | workplace safety or health violation | 2000 | OSHA | $13,000 |
Depositors Insurance Company | Nationwide | insurance violation | 2017 | WA-INS | $10,000 |
Depositors Insurance Co. | Nationwide | insurance violation | 2013 | MN-FIN | $40,000 |
Depositors Insurance Co. | Nationwide | insurance violation | 2016 | MO-INS | $16,250 |
DeLage Landen Financial Services | Rabobank | consumer protection violation | 2004 | NY-AG | $405,000 |
Dean Witter Reynolds Inc. | Morgan Stanley | investor protection violation | 2002 | SEC | $500,000 |
Dean Witter Reynolds Inc. | Morgan Stanley | investor protection violation | 2000 | SEC | $476,702 |
De Lage Landen Financial Services, Inc. | Rabobank | consumer protection violation | 2005 | MULTI-AG | $872,000 |
DB Structured Products, Inc. | Deutsche Bank | toxic securities abuses | 2013 | NV-AG | $11,500,000 |
DB Group Services (UK) Limited | Deutsche Bank | price-fixing or anti-competitive practices | 2017 | DOJ_ANTITRUST | $150,000,000 |
Danske Bank A/S | Danske Bank | anti-money-laundering deficiencies | 2022 | DOJ_CRIMINAL | $2,000,000,000 |
Danske Bank A/S | Danske Bank | anti-money-laundering deficiencies | 2022 | SEC | (*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $413,000,000 |
Dairyland Insurance Company | Sentry Insurance | insurance violation | 2003 | SC-INS | $5,000 |
Dairyland Insurance Company | Sentry Insurance | insurance violation | 2013 | VT-FIN | $37,852 |
Dairyland Insurance Co. and Peak Property and Casualty Insurance Corp. | Sentry Insurance | insurance violation | 2020 | VA-INS | $140,492 |
DAIRYLAND INSURANCE CO | Sentry Insurance | insurance violation | 2001 | VA-INS | $8,500 |
Dain Rauscher Incorporated | Royal Bank of Canada | investor protection violation | 2000 | SEC | $12,941,191 |
Customers Bank | Customers Bancorp | banking violation | 2016 | FED | $960,000 |
CUSO Financial Services, L.P. | Atria Wealth Solutions | investor protection violation | 2019 | SEC | $296,750 |
CUNA Mutual Life Insurance Co. | CUNA Mutual | insurance violation | 2007 | FL-OFR | $7,500 |
CUNA Mutual Insurance Society | CUNA Mutual | insurance violation | 2011 | ME-INS | $100,000 |
CUNA MUTUAL INSURANCE SOCIETY | CUNA Mutual | insurance violation | 2005 | VA-INS | $40,000 |
CUNA MUTUAL INSURANCE SOCIETY | CUNA Mutual | insurance violation | 2007 | VA-INS | $30,000 |
CUNA Mutual Insurance Society | CUNA Mutual | insurance violation | 2007 | MULTI-FIN | $584,622 |
CUNA Brokerage Services, Inc. | CUNA Mutual | investor protection violation | 2001 | FINRA | $100,000 |
CUNA Brokerage Services, Inc. | CUNA Mutual | investor protection violation | 2021 | AR-SEC | $50,000 |
CUNA Brokerage Services Inc. | CUNA Mutual | investor protection violation | 2014 | OK-SEC | $15,000 |
CS First Boston Corp. | UBS | investor protection violation | 2000 | FINRA | $1,240,000 |
Crum & Forster Indemnity Co. | Fairfax Financial Holdings | insurance violation | 2018 | MD-INS | $20,000 |
Crum & Forster Holdings Corp. | Fairfax Financial Holdings | price-fixing or anti-competitive practices | 2012 | private lawsuit-federal | $3,727,272 |
Crestbrook Insurance Company | Nationwide | insurance violation | 2018 | WA-INS | $50,000 |
Crestbrook Insurance Company | Nationwide | insurance violation | 2020 | CT-INS | $15,500 |
Crestbrook Insurance Co. | Nationwide | insurance violation | 2020 | WA-INS | $5,000 |
Credit Suisse Securities (USA), LLC | UBS | investor protection violation | 2014 | FINRA | $5,000,000 |
Credit Suisse Securities (USA), LLC | UBS | investor protection violation | 2009 | FINRA | $275,000 |
Credit Suisse Securities (USA), LLC | UBS | investor protection violation | 2006 | FINRA | $225,000 |
Credit Suisse Securities (USA) LLC et al. | UBS | investor protection violation | 2022 | NJ-AG | $495,000,000 |
Credit Suisse Securities (USA) LLC | UBS | investor protection violation | 2016 | SEC | $54,300,000 |
Credit Suisse Securities (USA) LLC | UBS | data submission deficiencies | 2015 | SEC | $4,250,000 |
Credit Suisse Securities (USA) LLC | UBS | investor protection violation | 2017 | SEC | $5,754,714 |
Credit Suisse Securities (USA) LLC | UBS | investor protection violation | 2018 | SEC | $5,000,000 |
Credit Suisse Securities (USA) LLC | UBS | investor protection violation | 2011 | NJ-AG | $1,057,996 |
Credit Suisse Securities (USA) LLC | UBS | investor protection violation | 2018 | 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. $10,000,000 |
Credit Suisse Securities (USA) LLC | UBS | toxic securities abuses | 2016 | VA-AG | $1,200,000 |
Credit Suisse Securities (USA) LLC | UBS | investor protection violation | 2008 | MULTI-FIN | $15,000,000 |
Credit Suisse Securities (USA) LLC | UBS | investor protection violation | 2020 | SEC | $600,000 |
Credit Suisse Securities (USA) LLC | UBS | investor protection violation | 2019 | FINRA | $6,500,000 |
Credit Suisse Securities (USA) LLC | UBS | anti-money-laundering deficiencies | 2016 | FINRA | $16,500,000 |
Credit Suisse Securities (USA) LLC | UBS | investor protection violation | 2011 | FINRA | $1,750,000 |
Credit Suisse Securities (USA) LLC | UBS | investor protection violation | 2011 | FINRA | $4,500,000 |
Credit Suisse Securities (USA) LLC | UBS | investor protection violation | 2022 | SEC | $125,000,000 |
Credit Suisse Securities (USA) LLC | UBS | price-fixing or anti-competitive practices | 2020 | private lawsuit-federal | $20,833,333 |
Credit Suisse Securities (USA) LLC | UBS | investor protection violation | 2023 | SEC | $10,000,000 |
Credit Suisse Securities (USA) | UBS | toxic securities abuses | 2012 | SEC | $120,000,000 |
Credit Suisse Securities | UBS | investor protection violation | 2016 | NY-AG | $30,000,000 |
Credit Suisse Securities | UBS | investor protection violation | 2022 | FINRA | $9,000,000 |
Credit Suisse GroupAG | UBS | price-fixing or anti-competitive practices | 2016 | private lawsuit-federal | $155,333,333 |
Credit Suisse Group AG | UBS | investor protection violation | 2014 | SEC | $196,000,000 |
Credit Suisse Group AG | UBS | Foreign Corrupt Practices Act | 2018 | SEC | $29,700,000 |
Credit Suisse Group AG | UBS | fraud | 2021 | DOJ_CRIMINAL | $175,500,000 |
Credit Suisse Group AG | UBS | Foreign Corrupt Practices Act | 2021 | SEC | $99,000,000 |
Credit Suisse Group AG | UBS | price-fixing or anti-competitive practices | 2023 | private lawsuit-federal | $550,000 |
Credit Suisse First Boston, LLC | UBS | investor protection violation | 2005 | SEC | $200,000 |
Credit Suisse First Boston, L.L.C. | UBS | investor protection violation | 2004 | FINRA | $50,000 |
Credit Suisse First Boston LLC | UBS | investor protection violation | 2003 | SEC | $200,000,000 |
Credit Suisse First Boston LLC | UBS | investor protection violation | 2003 | MULTI-FIN | (*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $75,000,000 |
Credit Suisse First Boston LLC | UBS | investor protection violation | 2004 | FINRA | $770,000 |
Credit Suisse First Boston Corporation | UBS | investor protection violation | 2002 | SEC | $100,000,000 |
Credit Suisse First Boston Corporation | UBS | investor protection violation | 2002 | FINRA | (*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $50,000,000 |
Credit Suisse First Boston Corporation | UBS | investor protection violation | 2001 | FINRA | $25,000 |
Credit Suisse First Boston Corp. | UBS | investor protection violation | 2002 | MULTI-AG | (*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $200,000,000 |
Credit Suisse Energy LLC | UBS | utility service violation | 2017 | TX-PUC | $7,500 |
Credit Suisse Alternative Capital, LLC and Credit Suisse Asset Management, LLC | UBS | investor protection violation | 2011 | SEC | $2,500,000 |
Credit Suisse AG | UBS | banking violation | 2014 | FED | $100,000,000 |
Credit Suisse AG | UBS | tax violations | 2014 | DOJ_TAX | $1,800,000,000 |
Credit Suisse AG | UBS | economic sanction violation | 2009 | DOJ_CRIMINAL | $268,000,000 |
Credit Suisse AG | UBS | accounting fraud or deficiencies | 2016 | SEC | $90,000,000 |
Credit Suisse AG | UBS | economic sanction violation | 2009 | NY-MANDA | $268,000,000 |
Credit Suisse AG | UBS | tax violations | 2014 | NY-DFS | $715,000,000 |
Credit Suisse AG | UBS | price-fixing or anti-competitive practices | 2017 | NY-DFS | $135,000,000 |
Credit Suisse AG | UBS | price-fixing or anti-competitive practices | 2018 | private lawsuit-federal | $50,000,000 |
Credit Suisse AG | UBS | price-fixing or anti-competitive practices | 2022 | private lawsuit-federal | $10,989,000 |
Credit Suisse AG | UBS | price-fixing or anti-competitive practices | 2022 | private lawsuit-federal | $8,875,000 |