Bank of America | Bank of America | wage and hour violation | 2024 | private lawsuit-federal | $1,890,000 |
Morgan Stanley & Co. LLC | Morgan Stanley | investor protection violation | 2024 | USAO | $153,431,223 |
Nelnet, Inc. | Nelnet | consumer protection violation | 2024 | MA-AG | $1,800,000 |
Allianz | Allianz | discriminatory practices (non-employment) | 2024 | WA-AG | $1,500,000 |
Vitol Inc. | Vitol | energy market violation | 2024 | FERC | $2,225,000 |
Industrial and Commercial Bank of China Ltd. | Industrial and Commercial Bank of China | banking violation | 2024 | FED | $2,400,000 |
J.P. Morgan Securities LLC | JPMorgan Chase | investor protection violation | 2024 | SEC | $18,000,000 |
Morgan Stanley & Co. LLC | Morgan Stanley | investor protection violation | 2024 | SEC | $83,000,000 |
Wells Fargo Bank N.A. | Wells Fargo | consumer protection violation | 2024 | private lawsuit-federal | $81,700,000 |
Wells Fargo Bank N.A. | Wells Fargo | wage and hour violation | 2024 | private lawsuit-federal | $16,600,000 |
Prosper Marketplace, Inc. | Prosper Marketplace | consumer protection violation | 2024 | CO-AG | $10,000 |
First National Bank of Pennsylvania | F.N.B. Corporation | mortgage abuses | 2024 | NC-AG | (*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $13,500,000 |
Allianz | Allianz | discriminatory practices (non-employment) | 2024 | WA-AG | $1,500,000 |
Morgan Stanley Smith Barney LLC | Morgan Stanley | investor protection violation | 2024 | FINRA | $1,600,000 |
First National Bank of Pennsylvania | F.N.B. Corporation | discriminatory practices (non-employment) | 2024 | DOJ_RIGHTS | $13,500,000 |
City National Bank | Royal Bank of Canada | banking violation | 2024 | OCC | $65,000,000 |
TIAA-CREF Individual & Institutional Services LLC | TIAA | investor protection violation | 2024 | SEC | $2,200,000 |
Northwestern Mutual Investment Services LLC | Northwestern Mutual | investor protection violation | 2024 | SEC | $16,500,000 |
Oppenheimer & Co. Inc. | Oppenheimer Holdings | investor protection violation | 2024 | SEC | $12,000,000 |
Lincoln Financial Advisors Corporation | Lincoln National | investor protection violation | 2024 | SEC | $8,500,000 |
U.S. Bancorp Investments Inc. | U.S. Bancorp | investor protection violation | 2024 | SEC | $8,000,000 |
Aon Investments USA Inc. | Aon | investor protection violation | 2024 | SEC | $1,542,187 |
LendingTree LLC | LendingTree | privacy violation | 2024 | private lawsuit-federal | $875,000 |
Industrial and Commercial Bank of China Ltd. | Industrial and Commercial Bank of China | banking violation | 2024 | NY-DFS | $30,000,000 |
Robinhood Financial LLC | Robinhood Markets | investor protection violation | 2024 | MA-SEC | $7,500,000 |
State Farm Mutual Automobile Insurance Company | State Farm Insurance | insurance violation | 2024 | MT-FIN | $2,000,000 |
Edward D. Jones & Co., LP | Jones Financial | investor protection violation | 2024 | PA-BKG | $300,000 |
Mid-Century Insurance Company | Zurich Insurance | insurance violation | 2024 | NY-DFS | $150,000 |
State Farm Mutual Automobile Insurance Company | State Farm Insurance | insurance violation | 2024 | OR-FIN | $100,000 |
STATE FARM FIRE & CASUALTY COMPANY et al. | State Farm Insurance | insurance violation | 2024 | WA-INS | $100,000 |
NEW YORK LIFE INSURANCE COMPANY | New York Life Insurance | insurance violation | 2024 | WA-INS | $46,328 |
LM Insurance Corporation | Liberty Mutual Insurance | insurance violation | 2024 | TX-INS | $24,000 |
American Zurich Insurance Company | Zurich Insurance | insurance violation | 2024 | TX-INS | $17,000 |
Ace American Insurance Company | Chubb Limited | insurance violation | 2024 | TX-INS | $17,000 |
MUFG BANK, LTD. | U.S. Bancorp | banking violation | 2024 | CT-BKG | $10,000 |
James B. Nutter & Company | James B. Nutter & Company | consumer protection violation | 2024 | NC-BKG | $10,000 |
T.H.E. Insurance Company | AXA | insurance violation | 2024 | TX-INS | $10,000 |
Liberty Mutual Personal Insurance Company | Liberty Mutual Insurance | insurance violation | 2024 | MD-INS | $8,500 |
AIU Insurance Company | American International Group | insurance violation | 2024 | TX-INS | $8,000 |
Ace American Insurance Company | Chubb Limited | insurance violation | 2024 | TX-INS | $6,200 |
Northwestern Mutual Investment Services LLC | Northwestern Mutual | investor protection violation | 2024 | ME-SEC | $5,000 |
Farmers Insurance Exchange | Farmers Insurance Exchange | insurance violation | 2024 | MD-INS | $5,000 |
Allstate Indemnity Company | Allstate | insurance violation | 2024 | MD-INS | $5,000 |
Acadia Insurance Company | W.R. Berkley | insurance violation | 2024 | TX-INS | $5,000 |
AMERITAS LIFE INSURANCE CORP | Ameritas Mutual Holding Company | insurance violation | 2024 | WA-INS | $5,000 |
STANDARD INSURANCE COMPANY | Meiji Yasuda Life Insurance | insurance violation | 2024 | WA-INS | $5,000 |
SUN LIFE ASSURANCE COMPANY OF CANADA | Sun Life Financial | insurance violation | 2024 | WA-INS | $5,000 |
City National Bank | Royal Bank of Canada | discriminatory practices (non-employment) | 2023 | DOJ_RIGHTS | $31,000,000 |
Coinbase Inc. | Coinbase Global Inc. | anti-money-laundering deficiencies | 2023 | NY-DFS | $100,000,000 |
TitleMax and TMX Finance | TMX Finance | consumer protection violation | 2023 | CFPB | $15,000,000 |
Marsh USA Inc. | Marsh & McLennan | insurance violation | 2023 | AK-INS | $55,000 |
Metlife Pet Insurance Services LLC fka Petfirst Healthcare LLC | MetLife | insurance violation | 2023 | NY-DFS | $129,000 |
Freddie Mac | Freddie Mac (Federal Home Loan Mortgage Corporation) | environmental violation | 2023 | RI-AG | $460,000 |
Everest National Insurance Company | Everest Re Group | insurance violation | 2023 | TX-INS | $22,000 |
Liberty Insurance Corporation | Liberty Mutual Insurance | insurance violation | 2023 | TX-INS | $22,500 |
Ace American Insurance Company | Chubb Limited | insurance violation | 2023 | TX-INS | $69,750 |
Ace American Insurance Company | Chubb Limited | insurance violation | 2023 | TX-INS | $34,500 |
XL Specialty Insurance Company | AXA | insurance violation | 2023 | TX-INS | $22,500 |
Ace American Insurance Company | Chubb Limited | insurance violation | 2023 | TX-INS | $60,000 |
Indemnity Insurance Company of North America | Chubb Limited | insurance violation | 2023 | TX-INS | $97,200 |
Old Republic Insurance Company | Old Republic International | insurance violation | 2023 | TX-INS | $29,000 |
Old Republic Insurance Company | Old Republic International | insurance violation | 2023 | TX-INS | $8,500 |
Ace American Insurance Company | Chubb Limited | insurance violation | 2023 | UT-INS | $79,000 |
ESURANCE INSURANCE COMPANY | Allstate | insurance violation | 2023 | WA-INS | $5,000 |
Park National Bank | Park National Corp. | discriminatory practices (non-employment) | 2023 | DOJ_RIGHTS | $9,000,000 |
Wells Fargo | Wells Fargo | Americans with Disabilities Act | 2023 | USAO | $10,000 |
KeyBanc Capital Markets Inc. | KeyCorp | investor protection violation | 2023 | SEC | $397,135 |
Ocwen Loan Servicing, LLC | Ocwen Financial | consumer protection violation | 2023 | CA-DFPI | $5,988,704 |
Wells Fargo & Co. | Wells Fargo | banking violation | 2023 | FED | $67,762,500 |
Wells Fargo & Co. | Wells Fargo | economic sanction violation | 2023 | OFAC | $30,000,000 |
Merrill Lynch, Pierce, Fenner & Smith Incorporated | Bank of America | investor protection violation | 2023 | SEC | $9,660,000 |
Chatham Asset Management LLC | Chatham Asset Management | investor protection violation | 2023 | SEC | $18,800,000 |
Robinhood Financial LLC | Robinhood Markets | investor protection violation | 2023 | MULTI-FIN | $10,200,000 |
Mizuho Capital Markets LLC | Mizuho Financial | investor protection violation | 2023 | CFTC | $6,847,182 |
Goldman Sachs | Goldman Sachs | investor protection violation | 2023 | CFTC | $15,000,000 |
HSBC Bank USA, N.A. | HSBC | investor protection violation | 2023 | CFTC | $45,000,000 |
HSBC Bank PLC | HSBC | investor protection violation | 2023 | CFTC | $30,000,000 |
Bank of Nova Scotia | Scotiabank | investor protection violation | 2023 | CFTC | $15,000,000 |
Citizens Bank | Citizens Financial Group | consumer protection violation | 2023 | CFPB | $9,000,000 |
Asurion LLC | Asurion | employment discrimination | 2023 | DOJ_RIGHTS | $13,395 |
HSBC Securities (USA) Inc. | HSBC | investor protection violation | 2023 | SEC | $15,000,000 |
Scotia Capital (USA) Inc. | Scotiabank | investor protection violation | 2023 | SEC | $7,500,000 |
UBS | UBS | banking violation | 2023 | TX-AG | $850,000 |
Robinhood Financial LLC | Robinhood Markets | privacy violation | 2023 | private lawsuit-federal | $20,000,000 |
Barclays Bank PLC | Barclays | price-fixing or anti-competitive practices | 2023 | private lawsuit-federal | $17,750,000 |
TP ICAP PLC | TP ICAP PLC | price-fixing or anti-competitive practices | 2023 | private lawsuit-federal | $2,375,000 |
State Farm Life Insurance Company | State Farm Insurance | consumer protection violation | 2023 | private lawsuit-federal | $325,000,000 |
TD Bank N.A. | Toronto-Dominion Bank | consumer protection violation | 2023 | private lawsuit-federal | $2,250,000 |
Marsh & McLennan Agency LLC | Marsh & McLennan | insurance violation | 2023 | AK-INS | $20,000 |
Kemper Independence Insurance Company et al. | Kemper | insurance violation | 2023 | CA-INS | $2,206,313 |
Oscar Health Plan of California | Oscar Health Inc. | insurance violation | 2023 | CA-MHC | $5,000 |
Oscar Health Plan of California | Oscar Health Inc. | insurance violation | 2023 | CA-MHC | $6,500 |
Oscar Health Plan of California | Oscar Health Inc. | insurance violation | 2023 | CA-MHC | $12,000 |
Oscar Health Plan of California | Oscar Health Inc. | insurance violation | 2023 | CA-MHC | $5,000 |
Bankers Life & Casualty Company | CNO Financial | insurance violation | 2023 | CT-INS | $10,000 |
Ace American Insurance Company | Chubb Limited | insurance violation | 2023 | CT-INS | $72,500 |
Stewart Title Company | Stewart Information Services | insurance violation | 2023 | IN-INS | $6,570 |
STIFEL, NICOLAUS & COMPANY, INC. | Stifel Financial | investor protection violation | 2023 | MA-SEC | $2,500,000 |
Nationwide Property and Casualty Insurance Company et al. | Nationwide | insurance violation | 2023 | MD-INS | $180,000 |
State Farm Mutual Automobile Insurance Company | State Farm Insurance | insurance violation | 2023 | MD-INS | $25,000 |
Merrill Lynch, Pierce, Fenner and Smith Inc. | Bank of America | privacy violation | 2023 | NH-BSR | $700,000 |