WHEELABRATOR RIDGE ENERGY, INC. | Macquarie | environmental violation | 2004 | FL-DEP | $19,000 |
THE HENNEGAN COMPANY | Chatham Asset Management | environmental violation | 2004 | KY-ENV | $70,000 |
GOODRICH AVIATION TECH SRV INC | Macquarie | environmental violation | 2004 | WA-ENV | $9,000 |
H&R Block Financial Advisors, Inc. | H&R Block | investor protection violation | 2004 | FINRA | $825,000 |
Knight Securities, L.P. | Virtu Financial | investor protection violation | 2004 | FINRA | $12,500,000 |
Citigroup Global Markets, Inc. | Citigroup | investor protection violation | 2004 | FINRA | $275,000 |
Morgan Stanley DW Inc | Morgan Stanley | investor protection violation | 2004 | FINRA | $336,510 |
Merrill Lynch, Pierce, Fenner & Smith, Inc. | Bank of America | investor protection violation | 2004 | FINRA | $1,600,000 |
American Express Financial Advisors Inc. | Ameriprise Financial | investor protection violation | 2004 | FINRA | $700,000 |
Wachovia Securities LLC | Wells Fargo | investor protection violation | 2004 | FINRA | $650,000 |
Prudential Equity Group LLC | Prudential Financial | investor protection violation | 2004 | FINRA | $550,000 |
Raymond James Financial Services Inc. | Raymond James Financial | investor protection violation | 2004 | FINRA | $400,000 |
Metropolitan Life Insurance Co. | MetLife | investor protection violation | 2004 | FINRA | $375,000 |
NYLife Securities, Inc. | New York Life Insurance | investor protection violation | 2004 | FINRA | $350,000 |
Edward Jones & Co., LP | Jones Financial | investor protection violation | 2004 | FINRA | $300,000 |
Chase Investment Services Corp. | JPMorgan Chase | investor protection violation | 2004 | FINRA | $250,000 |
AXA Advisors, LLC | Equitable Holdings | investor protection violation | 2004 | FINRA | $250,000 |
MML Investor Services, Inc. | Massachusetts Mutual Life Insurance | investor protection violation | 2004 | FINRA | $250,000 |
Banc of America Investment Services Inc. | Bank of America | investor protection violation | 2004 | FINRA | $200,000 |
ING Financial Partners, Inc. | Voya Financial | investor protection violation | 2004 | FINRA | $200,000 |
New England Securities | MetLife | investor protection violation | 2004 | FINRA | $200,000 |
Allstate Financial Services LLC | Allstate | investor protection violation | 2004 | FINRA | $150,000 |
RBC Dain Rauscher, Inc. | Royal Bank of Canada | investor protection violation | 2004 | FINRA | $150,000 |
Wells Fargo Investments, LLC | Wells Fargo | investor protection violation | 2004 | FINRA | $150,000 |
World Group Securities, Inc. | Aegon | investor protection violation | 2004 | FINRA | $150,000 |
Jefferson Pilot Securities Corporation | Lincoln National | investor protection violation | 2004 | FINRA | $125,000 |
SunAmerica Securities, Inc. | American International Group | investor protection violation | 2004 | FINRA | $100,000 |
Citigroup Global Markets, Inc. | Citigroup | investor protection violation | 2004 | FINRA | $250,000 |
Credit Suisse First Boston, L.L.C. | UBS | investor protection violation | 2004 | FINRA | $50,000 |
Deutsche Bank Securities, Inc. | Deutsche Bank | investor protection violation | 2004 | FINRA | $15,000 |
Schwab Capital Markets, L.P. | UBS | investor protection violation | 2004 | FINRA | $70,000 |
Scottrade, Inc. | Charles Schwab Corp. | investor protection violation | 2004 | FINRA | $16,000 |
Spear, Leeds & Kellogg, L.P. | Goldman Sachs | investor protection violation | 2004 | FINRA | $75,000 |
UBS Securities, L.L.C. | UBS | investor protection violation | 2004 | FINRA | $10,000 |
SG Cowen, LLC | Toronto-Dominion Bank | investor protection violation | 2004 | FINRA | $800,000 |
Morgan Stanley DW Inc. | Morgan Stanley | investor protection violation | 2004 | FINRA | $2,200,000 |
Goldman, Sachs & Co. | Goldman Sachs | investor protection violation | 2004 | FINRA | $5,000,000 |
Deutsche Bank Securities, Inc. | Deutsche Bank | investor protection violation | 2004 | FINRA | $5,000,000 |
Citigroup Global Markets Inc. | Citigroup | investor protection violation | 2004 | FINRA | $5,000,000 |
Citigroup Global Markets, Inc. | Citigroup | investor protection violation | 2004 | FINRA | $250,000 |
Merrill Lynch, Pierce, Fenner & Smith Incorporated | Bank of America | investor protection violation | 2004 | FINRA | $250,000 |
Morgan Stanley DW Inc. | Morgan Stanley | investor protection violation | 2004 | FINRA | $250,000 |
Piper Jaffray & Co. | Piper Sandler | investor protection violation | 2004 | FINRA | $2,400,000 |
Charles Schwab & Co, Inc. | Charles Schwab Corp. | investor protection violation | 2004 | FINRA | $60,869 |
Edward Jones | Jones Financial | investor protection violation | 2004 | FINRA | $25,181 |
Merrill Lynch, Pierce, Fenner & Smith Inc. | Bank of America | investor protection violation | 2004 | FINRA | $109,527 |
Morgan Stanley DW Inc. | Morgan Stanley | investor protection violation | 2004 | FINRA | $38,312 |
Prudential Equity Group, LLC | Prudential Financial | investor protection violation | 2004 | FINRA | $17,306 |
UBS Financial Services Inc. | UBS | investor protection violation | 2004 | FINRA | $200,666 |
Wachovia Securities, LLC. | Wells Fargo | investor protection violation | 2004 | FINRA | $39,486 |
TD Waterhouse Investor Services, Inc. | Toronto-Dominion Bank | investor protection violation | 2004 | FINRA | $150,000 |
Stifel Nicolaus & Company | Stifel Financial | investor protection violation | 2004 | FINRA | $125,000 |
American Express Financial Advisors, Inc. | Ameriprise Financial | investor protection violation | 2004 | FINRA | $300,000 |
Bear, Stearns & Co. Inc. | JPMorgan Chase | investor protection violation | 2004 | FINRA | $4,950,000 |
Deutsche Bank Securities, Inc. | Deutsche Bank | investor protection violation | 2004 | FINRA | $5,290,000 |
Morgan Stanley & Co. Inc. | Morgan Stanley | investor protection violation | 2004 | FINRA | $5,390,000 |
Ameritrade, Inc. | Charles Schwab Corp. | investor protection violation | 2004 | FINRA | $10,000,000 |
AXA Advisors, LLC | Equitable Holdings | investor protection violation | 2004 | FINRA | $250,000 |
State Street Research Investment Services, Inc. | BlackRock | investor protection violation | 2004 | FINRA | $1,500,000 |
Bear, Stearns & Co. Inc. | JPMorgan Chase | investor protection violation | 2004 | FINRA | $280,469 |
Southwest Securities, Inc. | Hilltop Holdings | investor protection violation | 2004 | FINRA | $36,971 |
Credit Suisse First Boston LLC | UBS | investor protection violation | 2004 | FINRA | $770,000 |
Prudential Equity Group, Inc. and Prudential Investment Management Services LLC | Prudential Financial | investor protection violation | 2004 | FINRA | $11,500,000 |
Fannie Mae | Fannie Mae | campaign finance violation | 2004 | FEC | $10,000 |
Cleco Power | Macquarie | utility administrative violation | 2004 | LA-PSC | $18,000,000 |
Mastercard International Inc. | MasterCard | price-fixing or anti-competitive practices | 2004 | private lawsuit-federal | $1,025,000,000 |
Visa USA | Visa | price-fixing or anti-competitive practices | 2004 | private lawsuit-federal | $2,025,000,000 |
R.R. DONNELLEY | Chatham Asset Management | workplace safety or health violation | 2004 | OSHA | $5,000 |
WELLS FARGO SECURITIES, LLC. | Wells Fargo | workplace safety or health violation | 2004 | OSHA | $5,000 |
IFCO SYSTEMS NORTH AMERICA | Triton Investments Advisers | workplace safety or health violation | 2004 | OSHA | $5,250 |
SYNAGRO TECHNOLOGIES, INC. | Goldman Sachs | workplace safety or health violation | 2004 | OSHA | $5,725 |
KEYBANK NATIONAL ASSOCIATION | KeyCorp | workplace safety or health violation | 2004 | OSHA | $28,000 |
Credit Lyonnais Rouse Limited | Credit Agricole | investor protection violation | 2005 | CFTC | $85,000 |
GOODRICH AVIATION TECHNICAL SERVICES INC | Macquarie | aviation safety violation | 2005 | FAA | $5,000 |
GOODRICH AVIATION TECHNICAL SERVICES INC | Macquarie | aviation safety violation | 2005 | FAA | $90,000 |
First Interstate Bank | First Interstate Bancsystem | banking violation | 2005 | FED | $15,750 |
Capital City Mortgage Corporation | Capital City Bank Group | consumer protection violation | 2005 | FTC | $750,000 |
Bank of China | Bank of China | economic sanction violation | 2005 | OFAC | $11,000 |
Fidelity Brokerage Services, Inc. dba Fidelity Investments | Fidelity Investments | economic sanction violation | 2005 | OFAC | $63,853 |
PNC Bank | PNC Financial Services | economic sanction violation | 2005 | OFAC | $8,200 |
Seabury & Smith Inc. | Marsh & McLennan | economic sanction violation | 2005 | OFAC | $46,341 |
SunTrust Bank | Truist Financial | economic sanction violation | 2005 | OFAC | $40,423 |
SunTrust Bank | Truist Financial | economic sanction violation | 2005 | OFAC | $30,800 |
The Bank of New York | Bank of New York Mellon | economic sanction violation | 2005 | OFAC | $5,844 |
Union Bank of California | U.S. Bancorp | economic sanction violation | 2005 | OFAC | $5,500 |
Wachovia Bank | Wells Fargo | economic sanction violation | 2005 | OFAC | $5,500 |
Wells Fargo Bank | Wells Fargo | economic sanction violation | 2005 | OFAC | $42,833 |
Lasalle Bank MidWest National Association | Bank of America | banking violation | 2005 | OCC | $6,250,000 |
First Tennessee Bank National Association | First Horizon National | banking violation | 2005 | OCC | $180,000 |
Wells Fargo Bank, National Association | Wells Fargo | banking violation | 2005 | OCC | $115,000 |
City National Bank | Royal Bank of Canada | banking violation | 2005 | OCC | $750,000 |
First National Bank of Omaha | First National of Nebraska | banking violation | 2005 | OCC | $20,000 |
Ameriprise Financial, Inc. | Ameriprise Financial | investor protection violation | 2005 | SEC | $15,000,000 |
Ameriprise Financial, Inc. | Ameriprise Financial | investor protection violation | 2005 | SEC | $30,000,000 |
Federated Investors, Inc. | Federated Hermes | investor protection violation | 2005 | SEC | $72,000,000 |
Canadian Imperial Bank of Commerce | Canadian Imperial Bank of Commerce | investor protection violation | 2005 | SEC | $125,000,000 |
Huntington Bancshares, Inc. | Huntington Bancshares | accounting fraud or deficiencies | 2005 | SEC | $7,500,000 |
Citigroup, Inc. | Citigroup | investor protection violation | 2005 | SEC | $208,000,000 |
New York Stock Exchange, Inc. | IntercontinentalExchange Group | investor protection violation | 2005 | SEC | $20,000,000 |
Citigroup Global Markets, Inc. | Citigroup | investor protection violation | 2005 | SEC | $20,000,000 |
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 |