U.S. Pension Trust Corp. and U.S. College Trust Corp. | U.S. Pension Trust Corp. | investor protection violation | 2010 | SEC | $112,600,000 |
State Street Bank and Trust Company | State Street Corp. | investor protection violation | 2010 | SEC | $313,300,000 |
Assurant Inc. | Assurant | accounting fraud or deficiencies | 2010 | SEC | $3,500,000 |
Vitol Inc. and Vitol Capital Management Ltd. | Vitol | investor protection violation | 2010 | CFTC | $6,000,000 |
Noble Americas Corp. | Vitol | investor protection violation | 2010 | CFTC | $130,000 |
UBS AG | UBS | investor protection violation | 2010 | CFTC | $130,000 |
Scotia Capital Inc. | Scotiabank | investor protection violation | 2010 | CFTC | $250,000 |
AIG Federal Savings Bank and Wilmington Finance Inc. | American International Group | discriminatory practices (non-employment) | 2010 | DOJ_RIGHTS | $6,100,000 |
Balli Aviation Ltd. | Balli Group | export control violation | 2010 | DOJ_NATSEC | $2,000,000 |
Vanguard Group | Vanguard Group | employment discrimination | 2010 | EEOC | $300,000 |
Branch Banking and Trust (BB&T) | Truist Financial | employment discrimination | 2010 | EEOC | $24,000 |
Mercury Air Centers Inc. | Macquarie | employment discrimination | 2010 | EEOC | $600,000 |
Simmons First National Bank | Simmons First National Corp. | employment discrimination | 2010 | OFCCP | $360,187 |
Farmer's Group, Inc. | Zurich Insurance | wage and hour violation | 2010 | WHD | $565,065 |
State Farm Mutual Automobile Insurance Compan | State Farm Insurance | Family and Medical Leave Act | 2010 | WHD | $27,787 |
Prospect Mortgage LLC | Homebridge Financial Services | wage and hour violation | 2010 | WHD | $13,728 |
CNO Services, LLC | CNO Financial | wage and hour violation | 2010 | WHD | $69,610 |
Farmer's Group, Inc. | Zurich Insurance | wage and hour violation | 2010 | WHD | $754,148 |
Farmer's Group, Inc. | Zurich Insurance | wage and hour violation | 2010 | WHD | $20,122 |
Farmer's Group, Inc. | Zurich Insurance | wage and hour violation | 2010 | WHD | $209,170 |
Bank of America, NA | Bank of America | wage and hour violation | 2010 | WHD | $5,827 |
Hewitt Associates LLC | Aon | wage and hour violation | 2010 | WHD | $48,103 |
Nationwide Insurance | Nationwide | wage and hour violation | 2010 | WHD | $9,109 |
Bank of America, N.A. | Bank of America | wage and hour violation | 2010 | WHD | $18,654 |
ING America | Voya Financial | wage and hour violation | 2010 | WHD | $21,986 |
Hartford Fire Insurance Company | Hartford Financial Services | wage and hour violation | 2010 | WHD | $25,448 |
Huntington National Bank | Huntington Bancshares | wage and hour violation | 2010 | WHD | $10,007 |
UBS Inc. | UBS | labor relations violation | 2010 | NLRB | $26,351 |
Metropolitan Life Insurance Company | MetLife | kickbacks and bribery | 2010 | USAO | $13,500,000 |
Wachovia Bank N.A. | Wells Fargo | anti-money-laundering deficiencies | 2010 | USAO | $50,000,000 |
JP Morgan Chase Bank, NA | JPMorgan Chase | export control violation | 2010 | BIS | $19,125 |
Combined Insurance Company of America | Chubb Limited | wage and hour violation | 2010 | private lawsuit-federal | $6,000,000 |
Wachovia Financial Services | Wells Fargo | wage and hour violation | 2010 | private lawsuit-federal | $450,000 |
Bear Stearns | JPMorgan Chase | wage and hour violation | 2010 | private lawsuit-federal | $675,000 |
Bank of America | Bank of America | wage and hour violation | 2010 | private lawsuit-state | $16,650,000 |
Farmers Insurance Exchange | Farmers Insurance Exchange | wage and hour violation | 2010 | private lawsuit-federal | $8,000,000 |
Wells Fargo | Wells Fargo | wage and hour violation | 2010 | private lawsuit-federal | $20,000,000 |
JPMorgan Chase | JPMorgan Chase | wage and hour violation | 2010 | private lawsuit-federal | $2,492,729 |
H&R Block | H&R Block | wage and hour violation | 2010 | private lawsuit-federal | $1,400,000 |
Merrill Lynch | Bank of America | wage and hour violation | 2010 | private lawsuit-federal | $43,500,000 |
TD Bank | Toronto-Dominion Bank | wage and hour violation | 2010 | private lawsuit-federal | $375,000 |
Bank of America | Bank of America | wage and hour violation | 2010 | private lawsuit-federal | $661,392 |
Banc of America Securities LLC | Bank of America | price-fixing or anti-competitive practices | 2010 | SEC | $36,096,442 |
World Group Securities, Inc. | Aegon | investor protection violation | 2010 | SEC | $200,000 |
Goldman Sachs Execution & Clearing, L.P. | Goldman Sachs | investor protection violation | 2010 | SEC | $225,000 |
Southwest Securities, Inc. | Hilltop Holdings | investor protection violation | 2010 | SEC | $470,147 |
J.P. Morgan Chase Retirement Plan | JPMorgan Chase | benefit plan administrator violation | 2010 | private lawsuit-federal | $604,957 |
Washington Mutual Inc. | JPMorgan Chase | benefit plan administrator violation | 2010 | private lawsuit-federal | $49,000,000 |
Washington Mutual Pension Plan | JPMorgan Chase | benefit plan administrator violation | 2010 | private lawsuit-federal | $20,000,000 |
Marsh & McLennan Companies, Inc. | Marsh & McLennan | benefit plan administrator violation | 2010 | private lawsuit-federal | $35,000,000 |
Fannie Mae | Fannie Mae | benefit plan administrator violation | 2010 | private lawsuit-federal | $7,250,000 |
Hartford Life Insurance Company | Hartford Financial Services | benefit plan administrator violation | 2010 | private lawsuit-federal | $13,775,000 |
State Street Bank And Trust Co. | State Street Corp. | benefit plan administrator violation | 2010 | private lawsuit-federal | $89,750,000 |
UNUM Life Insurance Company of America | Unum | benefit plan administrator violation | 2010 | private lawsuit-federal | $5,000,000 |
Aon Corporation | Aon | benefit plan administrator violation | 2010 | private lawsuit-federal | $1,800,000 |
National City Corp. | PNC Financial Services | benefit plan administrator violation | 2010 | private lawsuit-federal | $43,000,000 |
ACE American Insurance Company ET AL. | Chubb Limited | False Claims Act and related | 2010 | NY-AG | $70,000,000 |
Affinion Group, Inc. | JPMorgan Chase | consumer protection violation | 2010 | NY-AG | $8,000,000 |
American International Group | American International Group | investor protection violation | 2010 | OH-AG | $725,000,000 |
American International Group | American International Group | price-fixing or anti-competitive practices | 2010 | OH-AG | $9,000,000 |
American International Group Inc. | American International Group | investor protection violation | 2010 | OR-AG | $8,000,000 |
Arch Insurance Company | Arch Capital | consumer protection violation | 2010 | MD-AG | $460,000 |
Banc of America Securities LLC | Bank of America | investor protection violation | 2010 | NJ-AG | $1,268,393 |
Bank of America | Bank of America | price-fixing or anti-competitive practices | 2010 | 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. $67,000,000 |
Bank of America | Bank of America | fraud | 2010 | DC-AG | $13,502,852 |
Bank of America Corp. | Bank of America | privacy violation | 2010 | MO-AG | $195,000 |
Bank of New York Mellon | Bank of New York Mellon | employment discrimination | 2010 | NJ-AG | $188,037 |
BNY Mellon Shareowner Services | Bank of New York Mellon | investor protection violation | 2010 | MA-AG | $30,000 |
Continental American Insurance Co. | Aflac | consumer protection violation | 2010 | MA-AG | $25,000 |
Countrywide Financial Corporation | Bank of America | mortgage abuses | 2010 | MULTI-AG | $3,004,100,000 |
H&R Block | H&R Block | consumer protection violation | 2010 | NY-AG | $12,150,000 |
Hanover Insurance Group | Hanover Insurance | consumer protection violation | 2010 | MA-AG | $2,500,000 |
Home Loan Center, Inc. | LendingTree | consumer protection violation | 2010 | AZ-AG | $1,150,000 |
J.P. Morgan Securities LLC | JPMorgan Chase | investor protection violation | 2010 | FL-AG | $25,000,000 |
JPMorgan Chase & Co. | JPMorgan Chase | investor protection violation | 2010 | NJ-AG | $1,149,028 |
Liberty Mutual Insurance Co. | Liberty Mutual Insurance | kickbacks and bribery | 2010 | CT-AG | $2,000,000 |
Liberty Mutual Insurance Co. | Liberty Mutual Insurance | consumer protection violation | 2010 | MA-AG | $20,000 |
Liberty Mutual Insurance Co. | Liberty Mutual Insurance | consumer protection violation | 2010 | MA-AG | $3,100,000 |
Mercer | Marsh & McLennan | accounting fraud or deficiencies | 2010 | AK-AG | $500,000,000 |
Merrill Lynch | Bank of America | investor protection violation | 2010 | NJ-AG | $4,871,620 |
Merrill, Lynch, Pierce, Fenner and Smith, Inc. | Bank of America | investor protection violation | 2010 | NJ-AG | $728,260 |
Metropolitan Property & Casualty | Zurich Insurance | consumer protection violation | 2010 | MA-AG | $20,000 |
Metropolitan Property & Casualty Insurance Co. | Zurich Insurance | consumer protection violation | 2010 | MA-AG | $3,500,000 |
Morgan Stanley & Co. | Morgan Stanley | toxic securities abuses | 2010 | MA-AG | $102,000,000 |
Oppenheimer & Co. Inc. | Oppenheimer Holdings | investor protection violation | 2010 | MULTI-AG | $31,000,000 |
OppenheimerFunds | Invesco | investor protection violation | 2010 | NM-AG | $67,300,000 |
Peerless Insurance Co. | Liberty Mutual Insurance | consumer protection violation | 2010 | MA-AG | $20,000 |
RBC Capital Markets Corp. | Royal Bank of Canada | investor protection violation | 2010 | NJ-AG | $51,724 |
Resource Life Insurance Co. | Assurant | consumer protection violation | 2010 | TX-AG | $2,600,000 |
State Street Bank | State Street Corp. | investor protection violation | 2010 | WA-AG | $11,700,000 |
State Street Bank & Trust Co. | State Street Corp. | investor protection violation | 2010 | MA-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 |
Student Loan Xpress, Inc. | First Citizens BancShares | consumer protection violation | 2010 | KY-AG | $3,600,000 |
UBS | UBS | investor protection violation | 2010 | MI-AG | $117,000,000 |
United Services Automobile Association | USAA | consumer protection violation | 2010 | MA-AG | $25,000 |
United Services Automobile Association | USAA | consumer protection violation | 2010 | MA-AG | $2,300,000 |
United States Fidelity and Guaranty Co. | Travelers | False Claims Act and related | 2010 | MA-AG | $2,925,000 |
Wells Fargo | Wells Fargo | consumer protection violation | 2010 | MULTI-AG | $23,700,000 |
Wells Fargo | Wells Fargo | mortgage abuses | 2010 | CA-AG | $33,868,615 |
Western Union Financial Services, Inc. | Western Union | anti-money-laundering deficiencies | 2010 | MULTI-AG | $94,000,000 |
Zurich American Insurance Company et al. | Zurich Insurance | False Claims Act and related | 2010 | NY-AG | $37,500,000 |
MAINSOURCE BANK | First Financial Bancorp. | banking violation | 2010 | FDIC | $22,000 |