Conseco, Inc. |
CNO Financial |
investor protection violation |
2004 |
SEC |
$15,000,000 |
U.S. Bank National Association |
U.S. Bancorp |
banking violation |
2017 |
OCC |
$15,000,000 |
UBS AG |
UBS |
investor protection violation |
2018 |
CFTC |
$15,000,000 |
US Bancorp |
U.S. Bancorp |
banking violation |
2018 |
FED |
$15,000,000 |
Wells Fargo |
Wells Fargo |
wage and hour violation |
2014 |
private lawsuit-federal |
$15,000,000 |
PNC Bank, National Association |
PNC Financial Services |
banking violation |
2018 |
OCC |
$15,000,000 |
Fiserv Securities, Inc. |
Fidelity Investments |
investor protection violation |
2005 |
SEC |
$15,000,000 |
Conseco, Inc. |
CNO Financial |
investor protection violation |
2004 |
NY-AG |
(*) $15,000,000 |
New York Life Insurance Company |
New York Life Insurance |
insurance violation |
2013 |
MULTI-AG |
$15,000,000 |
UnumProvident Corporation |
Unum |
consumer protection violation |
2004 |
MULTI-AG |
$15,000,000 |
BGC Financial, LP |
BGC Partners |
investor protection violation |
2019 |
CFTC |
$15,000,000 |
Raymond James & Associates, Inc. et al. |
Raymond James Financial |
investor protection violation |
2019 |
SEC |
$15,000,000 |
Athene Life Insurance Company of New York |
Athene Holding |
insurance violation |
2018 |
NY-DFS |
$15,000,000 |
Barclays Bank PLC |
Barclays |
workplace whistleblower retaliation |
2018 |
NY-DFS |
$15,000,000 |
Farmers Insurance Group |
Zurich Insurance |
insurance violation |
2002 |
TX-INS |
$15,000,000 |
Credit Suisse Securities (USA) LLC |
Credit Suisse |
investor protection violation |
2008 |
MULTI-FIN |
$15,000,000 |
Deutsche Bank Securities Inc. |
Deutsche Bank |
investor protection violation |
2008 |
MULTI-FIN |
(*) $15,000,000 |
ING Life Insurance & Annuity Co. |
Voya Financial |
benefit plan administrator violation |
2014 |
private lawsuit-federal |
$14,950,000 |
BNY Mellon |
Bank of New York Mellon |
Foreign Corrupt Practices Act |
2015 |
SEC |
$14,800,000 |
Aon Corporation |
Aon |
Foreign Corrupt Practices Act |
2011 |
SEC |
$14,545,020 |
Wells Fargo Bank, N.A. |
Wells Fargo |
investor protection violation |
2019 |
CFTC |
$14,475,000 |
UBS Securities LLC |
UBS |
investor protection violation |
2015 |
SEC |
$14,400,000 |
Morgan Stanley Capital Group |
Morgan Stanley |
data submission deficiencies |
2010 |
CFTC |
$14,000,000 |
Goldman Sachs |
Goldman Sachs |
mortgage abuses |
2018 |
FED |
$14,000,000 |
New York Stock Exchange |
IntercontinentalExchange Group |
investor protection violation |
2018 |
SEC |
$14,000,000 |
Merrill Lynch |
Bank of America |
wage and hour violation |
2016 |
private lawsuit-federal |
$14,000,000 |
First NLC |
Arlington Asset Investment Corp. |
wage and hour violation |
2007 |
private lawsuit-federal |
$14,000,000 |
New York Life Insurance |
New York Life Insurance |
benefit plan administrator violation |
2008 |
private lawsuit-federal |
$14,000,000 |
Union Bancaire Privee, UBP SA |
Union Bancaire Privee |
tax violations |
2020 |
DOJ_TAX |
$14,000,000 |
Assurant, Inc. |
Assurant |
insurance violation |
2013 |
NY-DFS |
$14,000,000 |
Wells Fargo Bank |
Wells Fargo |
mortgage abuses |
2015 |
MD-AG |
$13,800,000 |
Hartford Life Insurance Company |
Hartford Financial Services |
benefit plan administrator violation |
2010 |
private lawsuit-federal |
$13,775,000 |
Merrill Lynch |
Bank of America |
toxic securities abuses |
2008 |
MA-AG |
$13,700,000 |
E-Loan Inc. |
Popular Inc. |
wage and hour violation |
2007 |
private lawsuit-federal |
$13,600,000 |
Bank of America |
Bank of America |
fraud |
2010 |
DC-AG |
$13,502,852 |
Metropolitan Life Insurance Company |
MetLife |
kickbacks and bribery |
2010 |
USAO |
$13,500,000 |
LaSalle Bank |
Bank of America |
benefit plan administrator violation |
2011 |
private lawsuit-federal |
$13,500,000 |
US Bank |
U.S. Bancorp |
housing code violation |
2016 |
CA-LACA |
$13,500,000 |
State Farm |
State Farm Insurance |
insurance violation |
2017 |
CA-INS |
$13,335,701 |
John Hancock Life Insurance Company |
Manulife Financial |
insurance violation |
2012 |
MULTI-FIN |
$13,300,000 |
Morgan Stanley Smith Barney |
Morgan Stanley |
investor protection violation |
2017 |
SEC |
$13,000,000 |
Mastercard International Inc. |
MasterCard |
consumer protection violation |
2017 |
CFPB |
$13,000,000 |
Merrill Lynch, Pierce, Fenner & Smith Incorporated |
Bank of America |
anti-money-laundering deficiencies |
2017 |
SEC |
$13,000,000 |
Wells Fargo |
Wells Fargo |
wage and hour violation |
2017 |
private lawsuit-state |
$13,000,000 |
Bank of America |
Bank of America |
fraud |
2016 |
DC-AG |
$13,000,000 |
CashCall Inc. |
CashCall Inc. |
consumer protection violation |
2015 |
WV-AG |
$13,000,000 |
MoneyGram Payment Systems |
MoneyGram International |
consumer protection violation |
2016 |
MULTI-AG |
$13,000,000 |
Dain Rauscher Incorporated |
Royal Bank of Canada |
investor protection violation |
2000 |
SEC |
$12,941,191 |
Citigroup Global Markets Inc. |
Citigroup |
investor protection violation |
2018 |
SEC |
$12,937,475 |
Barclays PLC |
Barclays |
foreign exchange market manipulation |
2018 |
DOJ_CRIMINAL |
$12,896,011 |
Wells Fargo |
Wells Fargo |
wage and hour violation |
2007 |
private lawsuit-federal |
$12,800,000 |
Willis Group |
Willis Towers Watson |
employment discrimination |
2008 |
private lawsuit-federal |
$12,757,949 |
Barclays Capital Inc. |
Barclays |
investor protection violation |
2017 |
SEC |
$12,710,040 |
Lincoln National Life Insurance Company |
Lincoln National |
insurance violation |
2013 |
MULTI-AG |
$12,600,000 |
HSBC Private Bank (Suisse) |
HSBC |
investor protection violation |
2014 |
SEC |
$12,500,000 |
Thomas Weisel Partners LLC |
Stifel Financial |
investor protection violation |
2004 |
SEC |
$12,500,000 |
Merrill Lynch |
Bank of America |
investor protection violation |
2016 |
SEC |
$12,500,000 |
Prudential Financial |
Prudential Financial |
wage and hour violation |
2017 |
private lawsuit-federal |
$12,500,000 |
Bank of China |
Bank of China |
banking violation |
2018 |
OCC |
$12,500,000 |
American International Group, Inc. |
American International Group |
price-fixing or anti-competitive practices |
2008 |
MULTI-AG |
$12,500,000 |
U.S. Bancorp Piper Jaffray Inc. |
Piper Sandler |
investor protection violation |
2003 |
MULTI-FIN |
(*) $12,500,000 |
Allianz SE |
Allianz |
Foreign Corrupt Practices Act |
2012 |
SEC |
$12,396,423 |
Wachovia Corporation |
Wells Fargo |
benefit plan administrator violation |
2011 |
private lawsuit-federal |
$12,350,000 |
Interactive Brokers LLC |
Interactive Brokers Group |
anti-money-laundering deficiencies |
2020 |
CFTC |
$12,206,214 |
H&R Block |
H&R Block |
consumer protection violation |
2010 |
NY-AG |
$12,150,000 |
BlackRock Advisors LLC |
BlackRock |
investor protection violation |
2015 |
SEC |
$12,000,000 |
Goldman Sachs & Co. |
Goldman Sachs |
illicit political contributions |
2012 |
SEC |
$12,000,000 |
Capital One N.A. |
Capital One Financial |
Servicemembers Civil Relief Act |
2012 |
DOJ_RIGHTS |
$12,000,000 |
State Street Bank and Trust Company |
State Street Corp. |
illicit political contributions |
2016 |
SEC |
$12,000,000 |
Israel Discount Bank |
Israel Discount Bank |
anti-money-laundering deficiencies |
2006 |
FINCEN |
$12,000,000 |
JPMorgan Chase |
JPMorgan Chase |
wage and hour violation |
2015 |
private lawsuit-federal |
$12,000,000 |
Old Republic Title |
Old Republic International |
wage and hour violation |
2014 |
private lawsuit-federal |
$12,000,000 |
Merrill Lynch |
Bank of America |
wage and hour violation |
2013 |
private lawsuit-federal |
$12,000,000 |
A.G. Edwards |
Wells Fargo |
wage and hour violation |
2009 |
private lawsuit-federal |
$12,000,000 |
Knight Capital Americas LLC |
Virtu Financial |
investor protection violation |
2013 |
SEC |
$12,000,000 |
Commerzbank AG |
Commerzbank |
investor protection violation |
2018 |
CFTC |
$12,000,000 |
Allianz Asset Management of America, L.P. |
Allianz |
benefit plan administrator violation |
2018 |
private lawsuit-federal |
$12,000,000 |
FMR LLC |
Fidelity Investments |
benefit plan administrator violation |
2014 |
private lawsuit-federal |
$12,000,000 |
Wells Fargo Bank |
Wells Fargo |
employment screening violation |
2016 |
private lawsuit-federal |
$12,000,000 |
Fannie Mae |
Fannie Mae |
consumer protection violation |
2008 |
NY-AG |
$12,000,000 |
Freddie Mac |
Freddie Mac (Federal Home Loan Mortgage Corporation) |
consumer protection violation |
2008 |
NY-AG |
$12,000,000 |
Santander Consumer USA Inc. |
Banco Santander |
consumer protection violation |
2018 |
CFPB |
$11,790,000 |
Allstate Corporation |
Allstate |
discriminatory practices (non-employment) |
2007 |
private lawsuit-federal |
$11,720,000 |
RBC Capital Markets, LLC |
Royal Bank of Canada |
investor protection violation |
2019 |
SEC |
$11,715,395 |
CashCall, Inc. |
CashCall Inc. |
consumer protection violation |
2016 |
MN-AG |
$11,700,000 |
State Street Bank |
State Street Corp. |
investor protection violation |
2010 |
WA-AG |
$11,700,000 |
IBERIABANK |
First Horizon National |
False Claims Act and related |
2017 |
DOJ_CIVIL |
$11,692,149 |
PA Fund Management LLC, PEA Capital LLC and PA Distributors LLC |
Allianz |
investor protection violation |
2004 |
SEC |
$11,600,000 |
Ocwen Financial Corporation |
Ocwen Financial |
mortgage abuses |
2020 |
FL-AG |
$11,600,000 |
Willis Group |
Willis Towers Watson |
employment discrimination |
2011 |
private lawsuit-federal |
$11,595,038 |
Citizens Financial Group |
Citizens Financial Group |
wage and hour violation |
2014 |
private lawsuit-federal |
$11,501,500 |
DB Structured Products, Inc. |
Deutsche Bank |
toxic securities abuses |
2013 |
NV-AG |
$11,500,000 |
Interactive Brokers LLC |
Interactive Brokers Group |
investor protection violation |
2020 |
SEC |
$11,500,000 |
AmSouth Bank |
Regions Financial |
investor protection violation |
2008 |
SEC |
$11,400,000 |
Transamerica Insurance Co. |
Aegon |
insurance violation |
2013 |
MULTI-AG |
$11,200,000 |
Wells Fargo Securities LLC |
Wells Fargo |
toxic securities abuses |
2011 |
SEC |
$11,000,000 |
Prudential Financial |
Prudential Financial |
wage and hour violation |
2009 |
private lawsuit-federal |
$11,000,000 |
Comerica Incorporated |
Comerica |
benefit plan administrator violation |
2013 |
private lawsuit-federal |
$11,000,000 |
Mid-Century Insurance Co. of Texas |
Zurich Insurance |
insurance violation |
2000 |
TX-INS |
$11,000,000 |
American International Group |
American International Group |
insurance violation |
2012 |
MULTI-FIN |
$11,000,000 |
Conseco Life Insurance Company |
CNO Financial |
insurance violation |
2010 |
MULTI-FIN |
$11,000,000 |