UBS AG |
UBS |
investor protection violation |
2010 |
CFTC |
$130,000 |
UBS AG |
UBS |
economic sanction violation |
2004 |
FED |
$100,000,000 |
UBS AG |
UBS |
tax violations |
2009 |
DOJ_TAX |
$780,000,000 |
UBS AG |
UBS |
tax violations |
2009 |
SEC |
$200,000,000 |
UBS AG |
UBS |
investor protection violation |
2018 |
CFTC |
$15,000,000 |
UBS AG |
UBS |
interest rate benchmark manipulation |
2018 |
MULTI-AG |
$68,000,000 |
UBS AG |
UBS |
price-fixing or anti-competitive practices |
2011 |
MULTI-AG |
(*) $90,800,000 |
UBS AG |
UBS |
price-fixing or anti-competitive practices |
2016 |
WV-AG |
$325,000 |
UBS (USA) Inc |
UBS |
economic sanction violation |
2003 |
OFAC |
$14,750 |
UBS (USA) Inc |
UBS |
economic sanction violation |
2003 |
OFAC |
$5,000 |
UBS |
UBS |
toxic securities abuses |
2016 |
NCUA |
$69,800,000 |
UBS |
UBS |
toxic securities abuses |
2017 |
NCUA |
$445,000,000 |
UBS |
UBS |
wage and hour violation |
2015 |
private lawsuit-federal |
$1,312,500 |
UBS |
UBS |
wage and hour violation |
2012 |
private lawsuit-federal |
$1,400,000 |
UBS |
UBS |
wage and hour violation |
2007 |
private lawsuit-federal |
$44,000,000 |
UBS |
UBS |
wage and hour violation |
2007 |
private lawsuit-federal |
$45,000,000 |
UBS |
UBS |
environmental violation |
2011 |
EPA |
$20,000 |
UBS |
UBS |
investor protection violation |
2010 |
MI-AG |
$117,000,000 |
U.S. Trust Corporation |
Bank of America |
banking violation |
2001 |
FED |
$5,000,000 |
U.S. Trust Corporation |
Bank of America |
anti-money-laundering deficiencies |
2001 |
NY-DFS |
$5,000,000 |
U.S. Pension Trust Corp. and U.S. College Trust Corp. |
U.S. Pension Trust Corp. |
investor protection violation |
2010 |
SEC |
$112,600,000 |
U.S. Central Federal Credit Union |
U.S. Central Federal Credit Union |
wage and hour violation |
2008 |
WHD |
$111,319 |
U.S. Bank, National Association |
U.S. Bancorp |
mortgage abuses |
2011 |
HUD |
$1,200,000 |
U.S. Bank Pension Plan |
U.S. Bancorp |
benefit plan administrator violation |
2012 |
private lawsuit-federal |
$9,600,000 |
U.S. Bank National Association |
U.S. Bancorp |
banking violation |
2016 |
OCC |
$10,000,000 |
U.S. Bank National Association |
U.S. Bancorp |
banking violation |
2014 |
OCC |
$51,900,000 |
U.S. Bank National Association |
U.S. Bancorp |
investor protection violation |
2015 |
CFTC |
$18,000,000 |
U.S. Bank National Association |
U.S. Bancorp |
banking violation |
2006 |
OCC |
$125,000 |
U.S. Bank National Association |
U.S. Bancorp |
discriminatory practices (non-employment) |
2014 |
HUD |
$11,489 |
U.S. Bank National Association |
U.S. Bancorp |
discriminatory practices (non-employment) |
2013 |
HUD |
$12,000 |
U.S. Bank National Association |
U.S. Bancorp |
banking violation |
2017 |
OCC |
$15,000,000 |
U.S. Bank National Association |
U.S. Bancorp |
banking violation |
2017 |
OCC |
$183,920 |
U.S. Bank National Association |
U.S. Bancorp |
anti-money-laundering deficiencies |
2018 |
OCC |
$75,000,000 |
U.S. Bank National Association |
U.S. Bancorp |
anti-money-laundering deficiencies |
2018 |
FINCEN |
$70,000,000 |
U.S. Bank National Association |
U.S. Bancorp |
investor protection violation |
2005 |
SEC |
$500,000 |
U.S. Bank National Association |
U.S. Bancorp |
wage and hour violation |
2020 |
private lawsuit-federal |
$6,500,000 |
U.S. Bank National Association |
U.S. Bancorp |
mortgage abuses |
2020 |
DOJ_UTP |
$29,000,000 |
U.S. Bank Municipal Securities Group |
U.S. Bancorp |
investor protection violation |
2015 |
SEC |
$60,000 |
U.S. Bank |
U.S. Bancorp |
consumer protection violation |
2014 |
CFPB |
$53,000,000 |
U.S. Bank |
U.S. Bancorp |
banking violation |
2013 |
CFPB |
$3,200,000 |
U.S. Bank |
U.S. Bancorp |
banking violation |
2013 |
OCC |
$208,156,501 |
U.S. Bank |
U.S. Bancorp |
False Claims Act and related |
2014 |
DOJ_CIVIL |
$200,000,000 |
U.S. Bank |
U.S. Bancorp |
wage and hour violation |
2008 |
WHD |
$140,787 |
U.S. Bank |
U.S. Bancorp |
wage and hour violation |
2015 |
private lawsuit-federal |
$3,031,075 |
U.S. Bank |
U.S. Bancorp |
privacy violation |
2019 |
private lawsuit-federal |
$2,670,336 |
U.S. Bancorp Piper Jaffray Inc. |
Piper Sandler |
investor protection violation |
2003 |
SEC |
$32,500,000 |
U.S. Bancorp Piper Jaffray Inc. |
Piper Sandler |
data submission deficiencies |
2002 |
SEC |
$1,650,000 |
U.S. Bancorp Piper Jaffray Inc. |
Piper Sandler |
investor protection violation |
2002 |
SEC |
$100,000 |
U.S. Bancorp Piper Jaffray Inc. |
Piper Sandler |
investor protection violation |
2003 |
MT-SEC |
$2,625,000 |
U.S. Bancorp Piper Jaffray Inc. |
Piper Sandler |
investor protection violation |
2002 |
NE-DBF |
$5,000 |
U.S. Bancorp Piper Jaffray Inc. |
Piper Sandler |
investor protection violation |
2003 |
MULTI-FIN |
(*) $12,500,000 |
U.S. Bancorp Investments, Inc. |
U.S. Bancorp |
investor protection violation |
2020 |
SEC |
$15,992,441 |
U.S. Bancorp |
U.S. Bancorp |
wage and hour violation |
2006 |
WHD |
$140,788 |
U.S. Bancorp |
U.S. Bancorp |
mortgage abuses |
2018 |
FED |
$4,400,000 |
U.S. Bancorp |
U.S. Bancorp |
anti-money-laundering deficiencies |
2018 |
USAO |
$453,000,000 |
U.S. Bancorp |
U.S. Bancorp |
wage and hour violation |
2017 |
private lawsuit-federal |
$7,000,000 |
U.S. Bancorp |
U.S. Bancorp |
wage and hour violation |
2017 |
private lawsuit-federal |
$1,150,000 |
U.S. Bancorp |
U.S. Bancorp |
wage and hour violation |
2014 |
private lawsuit-federal |
$6,450,000 |
U.S. Bancorp |
U.S. Bancorp |
consumer protection violation |
2005 |
CA-AG |
$2,600,000 |
U.S. Bancorp |
U.S. Bancorp |
discriminatory practices (non-employment) |
2005 |
private lawsuit-federal |
$2,495,000 |
Twin City Fire Insurance Company |
Hartford Financial Services |
insurance violation |
2013 |
SD-INS |
$5,000 |
Twin City Fire Insurance Company |
Hartford Financial Services |
insurance violation |
2014 |
TX-INS |
$5,079 |
Twin City Fire Insurance Company |
Hartford Financial Services |
insurance violation |
2015 |
TX-INS |
$5,500 |
Twin City Fire Insurance Company |
Hartford Financial Services |
insurance violation |
2016 |
TX-INS |
$9,500 |
Twin City Fire Insurance Company |
Hartford Financial Services |
insurance violation |
2017 |
TX-INS |
$8,500 |
Twin City Fire Insurance Company |
Hartford Financial Services |
insurance violation |
2017 |
WA-INS |
$30,000 |
Twin City Fire Insurance Co. et al. |
Hartford Financial Services |
insurance violation |
2016 |
MD-INS |
$10,000 |
Twin City Fire Insurance Co. |
Hartford Financial Services |
insurance violation |
2007 |
ME-INS |
$5,000 |
Twin City Fire Insurance Co. |
Hartford Financial Services |
insurance violation |
2016 |
MO-INS |
$62,541 |
Twin City Fire Insurance Co. |
Hartford Financial Services |
insurance violation |
2020 |
TX-INS |
$6,000 |
Trustmark National Bank |
Trustmark |
banking violation |
2012 |
OCC |
$6,250 |
Trumbull Insurance Company |
Hartford Financial Services |
insurance violation |
2010 |
TX-INS |
$10,000 |
Trumbull Insurance Company |
Hartford Financial Services |
insurance violation |
2017 |
TX-INS |
$9,000 |
Trumbull Insurance Company |
Hartford Financial Services |
insurance violation |
2018 |
TX-INS |
$20,000 |
TRUMBULL INSURANCE COMPANY |
Hartford Financial Services |
insurance violation |
2010 |
VA-INS |
$66,684 |
Trumbull Insurance Co. |
Hartford Financial Services |
insurance violation |
2019 |
CT-INS |
$141,500 |
Trumbull Insurance Co. |
Hartford Financial Services |
insurance violation |
2017 |
MD-INS |
$67,500 |
Trumbull Insurance Co. |
Hartford Financial Services |
insurance violation |
2002 |
MT-INS |
$5,000 |
Trumbull Insurance Co. |
Hartford Financial Services |
insurance violation |
2020 |
TX-INS |
$15,000 |
TravelersCompanies, Inc. |
Travelers |
price-fixing or anti-competitive practices |
2007 |
MULTI-AG |
$6,000,000 |
Travelers Property Casualty Company of America |
Travelers |
insurance violation |
2010 |
TX-INS |
$20,000 |
Travelers Property Casualty Company of America |
Travelers |
insurance violation |
2012 |
TX-INS |
$25,000 |
Travelers Property Casualty Company of America |
Travelers |
insurance violation |
2016 |
TX-INS |
$62,000 |
Travelers Property Casualty Company of America |
Travelers |
insurance violation |
2018 |
TX-INS |
$14,500 |
Travelers Property Casualty Co. of America |
Travelers |
insurance violation |
2009 |
VA-INS |
$6,000 |
Travelers Property Casualty Co. of America |
Travelers |
insurance violation |
2020 |
TX-INS |
$10,000 |
Travelers Property and Casualty Company of America |
Travelers |
insurance violation |
2016 |
MO-INS |
$19,000 |
Travelers Property and Casualty Company of America |
Travelers |
insurance violation |
2014 |
TX-INS |
$17,012 |
Travelers Lloyds of Texas Insurance Company |
Travelers |
insurance violation |
2017 |
TX-INS |
$10,000 |
Travelers Insurance Company |
Travelers |
False Claims Act and related |
2004 |
USAO |
$10,900,000 |
Travelers Insurance Company |
Travelers |
insurance violation |
2002 |
MA-INS |
$8,600 |
Travelers Indemnity Company of Illinois |
Travelers |
insurance violation |
2003 |
FL-OFR |
$20,500 |
Travelers Indemnity Company of Connecticut |
Travelers |
insurance violation |
2004 |
PA-INS |
$7,500 |
Travelers Indemnity Company of Connecticut |
Travelers |
insurance violation |
2015 |
TX-INS |
$60,000 |
Travelers Indemnity Company of America |
Travelers |
insurance violation |
2016 |
MO-INS |
$20,000 |
Travelers Indemnity Company of America |
Travelers |
insurance violation |
2009 |
RI-FIN |
$5,000 |
Travelers Indemnity Company et al. |
Travelers |
insurance violation |
2015 |
TX-INS |
$1,200,000 |
Travelers Indemnity Company |
Travelers |
insurance violation |
2010 |
TX-INS |
$55,000 |
Travelers Indemnity Company |
Travelers |
insurance violation |
2010 |
TX-INS |
$60,000 |
Travelers Indemnity Company |
Travelers |
insurance violation |
2015 |
TX-INS |
$10,000 |
Travelers Indemnity Company |
Travelers |
insurance violation |
2019 |
TX-INS |
$5,000 |