Discover Financial Services | Discover Financial Services | consumer protection violation | 2014 | HI-AG | $2,825,000 |
JP Morgan Chase | JPMorgan Chase | consumer protection violation | 2014 | HI-AG | $2,825,000 |
Chevy Chase Bank F.S.B. | Capital One Financial | mortgage abuses | 2013 | DOJ_RIGHTS | $2,850,000 |
Cleco Corporation | Macquarie | energy market violation | 2003 | FERC | $2,850,000 |
Janney Montgomery Scott | Penn Mutual | wage and hour violation | 2009 | private lawsuit-federal | $2,880,000 |
Oppenheimer Asset Management Inc. and Oppenheimer Alternative Investment Management, LLC | Oppenheimer Holdings | investor protection violation | 2013 | SEC | $2,886,677 |
Goldman, Sachs & Co. | Goldman Sachs | toxic securities abuses | 2016 | VA-AG | $2,900,000 |
Wells Fargo | Wells Fargo | consumer protection violation | 2004 | NY-AG | $2,900,000 |
Stifel Nicolaus & Company, Inc. | Stifel Financial | investor protection violation | 2015 | FINRA | $2,900,000 |
Morgan Stanley | Morgan Stanley | investor protection violation | 2006 | FINRA | $2,900,000 |
Citigroup Global Markets Inc. | Citigroup | investor protection violation | 2023 | SEC | $2,900,000 |
Wilmington Finance Inc. | OneMain Holdings | wage and hour violation | 2008 | private lawsuit-federal | $2,925,000 |
United States Fidelity and Guaranty Co. | Travelers | False Claims Act and related | 2010 | MA-AG | $2,925,000 |
Intesa Sanpaolo S.p.A. | Intesa Sanpaolo | economic sanction violation | 2013 | OFAC | $2,949,030 |
Time Insurance Co. and John Alden Life Insurance Co. and Union Securitiy Insurance Co. | Haven Holdings | insurance violation | 2012 | IN-INS | $2,950,000 |
Macquarie Capital (USA) Inc. | Macquarie | investor protection violation | 2015 | FINRA | $2,950,000 |
Regions Bank | Regions Financial | banking violation | 2023 | FED | $2,950,000 |
CashCall Inc., WS Funding | CashCall Inc. | consumer protection violation | 2017 | DC-AG | $2,962,573 |
Citigroup Global Markets | Citigroup | investor protection violation | 2017 | SEC | $2,963,735 |
Morgan Stanley Smith Barney | Morgan Stanley | investor protection violation | 2017 | SEC | $2,963,735 |
Oppenheimer & Co. Inc. | Oppenheimer Holdings | investor protection violation | 2016 | FINRA | $2,966,000 |
Wells Fargo Investments, LLC | Wells Fargo | investor protection violation | 2005 | FINRA | $2,970,000 |
Deutsche Bank Securities Inc. | Deutsche Bank | investor protection violation | 2019 | SEC | $2,971,462 |
National Western Life Insurance Co. | National Western Life | insurance violation | 2014 | NJ-DBI | $2,973,656 |
AllianceBernstein | Equitable Holdings | wage and hour violation | 2013 | private lawsuit-federal | $2,980,000 |
Deutsche Bank Securities | Deutsche Bank | accounting fraud or deficiencies | 2014 | CFTC | $3,000,000 |
ICE Futures U.S. Inc. | IntercontinentalExchange Group | investor protection violation | 2015 | CFTC | $3,000,000 |
Cinergy Marketing & Trading, LP | BNP Paribas | data submission deficiencies | 2004 | CFTC | $3,000,000 |
Nomura Asset Acceptance Corporation and Nomura Home Equity Loan, Inc. | Nomura | toxic securities abuses | 2016 | NCUA | $3,000,000 |
Bank of New York Mellon Corporation | Bank of New York Mellon | banking violation | 2017 | FED | $3,000,000 |
First National Bank of Omaha | First National of Nebraska | banking violation | 2016 | OCC | $3,000,000 |
JPMorgan Chase | JPMorgan Chase | wage and hour violation | 2018 | private lawsuit-federal | $3,000,000 |
Capital One | Capital One Financial | wage and hour violation | 2015 | private lawsuit-federal | $3,000,000 |
Wells Fargo | Wells Fargo | wage and hour violation | 2014 | private lawsuit-state | $3,000,000 |
Citizens Bank | Citizens Financial Group | wage and hour violation | 2014 | private lawsuit-federal | $3,000,000 |
TCF National Bank | Huntington Bancshares | banking violation | 2018 | OCC | $3,000,000 |
Flagstar Bancorp, Inc. | New York Community Bancorp | benefit plan administrator violation | 2013 | private lawsuit-federal | $3,000,000 |
New York Life Insurance Company | New York Life Insurance | benefit plan administrator violation | 2017 | private lawsuit-federal | $3,000,000 |
Principal Life Insurance Company | Principal Financial | benefit plan administrator violation | 2015 | private lawsuit-federal | $3,000,000 |
Wilmington Trust Corp. | M&T Bank | benefit plan administrator violation | 2014 | private lawsuit-federal | $3,000,000 |
Industrial and Commercial Bank of China Financial Services LLC | Industrial and Commercial Bank of China | price-fixing or anti-competitive practices | 2019 | DOJ_ANTITRUST | $3,000,000 |
John Hancock Life Insurance Co. | Manulife Financial | insurance violation | 2011 | MULTI-AG | $3,000,000 |
Student Loan Xpress, Inc. | First Citizens BancShares | consumer protection violation | 2007 | NY-AG | $3,000,000 |
BGC Financial, L.P. | BGC Partners | investor protection violation | 2019 | CFTC | $3,000,000 |
ING Life Insurance and Annuity Company | Voya Financial | investor protection violation | 2006 | NH-BSR | $3,000,000 |
American Bankers Insurance Group Inc. | Assurant | insurance violation | 2001 | MULTI-FIN | $3,000,000 |
Mortgage Access Corp. dba Weichert Financial Services | Weichert Financial Services | consumer protection violation | 2011 | MULTI-FIN | $3,000,000 |
Transamerica Casualty Insurance Company | Aegon | insurance violation | 2017 | MULTI-FIN | $3,000,000 |
Barclays Capital Inc. | Barclays | investor protection violation | 2011 | FINRA | $3,000,000 |
Merrill Lynch | Bank of America | investor protection violation | 2011 | FINRA | $3,000,000 |
Nuveen Investments, LLC | TIAA | investor protection violation | 2011 | FINRA | $3,000,000 |
Banc of America Investment Services Inc. | Bank of America | anti-money-laundering deficiencies | 2007 | FINRA | $3,000,000 |
Wells Fargo Investments | Wells Fargo | investor protection violation | 2005 | FINRA | $3,000,000 |
Cadence Bank, National Association | Cadence Bank | banking violation | 2021 | OCC | $3,000,000 |
Pacific Life Insurance Company | Pacific Life | insurance violation | 2021 | NY-DFS | $3,000,000 |
Bank of America N.A. | Bank of America | consumer protection violation | 2016 | private lawsuit-federal | $3,000,000 |
Conseco Insurance Company | CNO Financial | consumer protection violation | 2011 | private lawsuit-federal | $3,000,000 |
First National Bank of Pennsylvania | F.N.B. Corporation | consumer protection violation | 2013 | private lawsuit-federal | $3,000,000 |
Goldman Sachs & Co. LLC | Goldman Sachs | investor protection violation | 2023 | CFTC | $3,000,000 |
MetLife | MetLife | wage and hour violation | 2013 | private lawsuit-federal | $3,003,000 |
W.R. Berkley Corp. | W.R. Berkley | insurance violation | 2017 | CA-INS | $3,015,000 |
Sterling Financial Corporation | Umpqua Holdings | benefit plan administrator violation | 2013 | private lawsuit-federal | $3,025,000 |
U.S. Bank | U.S. Bancorp | wage and hour violation | 2015 | private lawsuit-federal | $3,031,075 |
Capital One N.A. | Capital One Financial | consumer protection violation | 2014 | private lawsuit-federal | $3,062,400 |
Santander Consumer USA, Inc. | Banco Santander | consumer protection violation | 2021 | CO-AG | $3,065,000 |
Voya Financial Advisors, Inc. | Voya Financial | investor protection violation | 2017 | SEC | $3,095,953 |
M&T Bank | M&T Bank | consumer protection violation | 2014 | CFPB | $3,100,000 |
Prospect Mortgage, LLC | Homebridge Financial Services | kickbacks and bribery | 2011 | HUD | $3,100,000 |
Huntington Bancshares | Huntington Bancshares | wage and hour violation | 2013 | private lawsuit-federal | $3,100,000 |
Liberty Mutual Insurance Co. | Liberty Mutual Insurance | consumer protection violation | 2010 | MA-AG | $3,100,000 |
State Farm | State Farm Insurance | consumer protection violation | 2000 | TX-AG | $3,100,000 |
Prospect Mortgage, LLC | Homebridge Financial Services | consumer protection violation | 2014 | CA-DFPI | $3,141,000 |
Metropolitan Property & Casualty Co. | Zurich Insurance | consumer protection violation | 2019 | MS-AG | $3,167,173 |
Edward D. Jones & Co., L.P. | Jones Financial | benefit plan administrator violation | 2019 | private lawsuit-federal | $3,175,000 |
Wells Fargo Bank N.A. | Wells Fargo | consumer protection violation | 2012 | private lawsuit-federal | $3,190,000 |
U.S. Bank | U.S. Bancorp | banking violation | 2013 | CFPB | $3,200,000 |
METLIFE, INC | MetLife | banking violation | 2012 | FED | $3,200,000 |
Capital One | Capital One Financial | wage and hour violation | 2012 | private lawsuit-federal | $3,200,000 |
Enova International, Inc. | Enova International | consumer protection violation | 2019 | CFPB | $3,200,000 |
Countrywide Home Loans, Inc., | Bank of America | consumer protection violation | 2006 | NY-AG | $3,200,000 |
Sun Life Insurance Company | Sun Life Financial | insurance violation | 2014 | MULTI-AG | $3,200,000 |
Wachovia Securities, LLC | Wells Fargo | investor protection violation | 2011 | NJ-AG | $3,200,000 |
Cantor Fitzgerald & Co. | Cantor Fitzgerald | investor protection violation | 2020 | SEC | $3,200,000 |
Bank of America | Bank of America | wage and hour violation | 2016 | private lawsuit-federal | $3,250,000 |
Fifth Third Bank | Fifth Third Bancorp | wage and hour violation | 2015 | private lawsuit-federal | $3,250,000 |
Deutsche Bank Securities Inc. | Deutsche Bank | investor protection violation | 2016 | FINRA | $3,250,000 |
Wells Fargo Advisors, LLC | Wells Fargo | investor protection violation | 2013 | FINRA | $3,250,000 |
JPMorgan Chase & Co. | JPMorgan Chase | consumer protection violation | 2018 | private lawsuit-federal | $3,250,000 |
Axa S.A. | AXA | insurance violation | 2015 | MULTI-AG | $3,280,000 |
American Express Co. | American Express | consumer protection violation | 2003 | NY-AG | $3,285,000 |
Morgan Stanley Investment Management | Morgan Stanley | investor protection violation | 2011 | SEC | $3,300,000 |
General American Life Insurance Company | MetLife | investor protection violation | 2007 | SEC | $3,300,000 |
H&R Block | H&R Block | consumer protection violation | 2003 | MULTI-AG | $3,300,000 |
Globe Life and Accident Insurance Company of Omaha, Nebraska | Globe Life Inc. | insurance violation | 2019 | MULTI-FIN | $3,300,000 |
Old Republic National Title Insurance Company | Old Republic International | consumer protection violation | 2009 | private lawsuit-federal | $3,300,000 |
Citigroup Global Markets Inc. | Citigroup | investor protection violation | 2009 | NJ-AG | $3,300,932 |
M&T Bank | M&T Bank | consumer protection violation | 2022 | private lawsuit-federal | $3,325,000 |
Assurant Inc. | Assurant | consumer protection violation | 2017 | private lawsuit-federal | $3,350,000 |
Branch Banking & Trust Co. | Truist Financial | consumer protection violation | 2017 | private lawsuit-federal | $3,350,000 |
Ameritas Investment Corp. | Ameritas Mutual Holding Company | investor protection violation | 2019 | SEC | $3,389,174 |
Santander Bank, National Association | Banco Santander | banking violation | 2016 | OCC | $3,400,000 |