Western Asset Management Company |
Franklin Resources |
benefit plan administrator violation |
2014 |
EBSA |
$21,000,000 |
Bank of America Corp |
Bank of America |
benefit plan administrator violation |
2011 |
private lawsuit-federal |
$21,000,000 |
Citigroup |
Citigroup |
toxic securities abuses |
2011 |
NCUA |
$20,500,000 |
Jackson National Life Insurance Company |
Prudential (UK) |
employment discrimination |
2020 |
EEOC |
$20,500,000 |
UniCredit Bank Austria AG |
UniCredit |
economic sanction violation |
2019 |
OFAC |
(*) $20,326,340 |
Oppenheimer & Co., Inc. |
Oppenheimer Holdings |
anti-money-laundering deficiencies |
2015 |
FINCEN |
$20,000,000 |
BAC Home Loans Servicing LP fka Countrywide Home Loans Servicing LP |
Bank of America |
mortgage abuses |
2011 |
DOJ_CIVIL |
$20,000,000 |
Edward D. Jones & Co. LP |
Jones Financial |
investor protection violation |
2015 |
SEC |
$20,000,000 |
JPMorgan Chase Bank |
JPMorgan Chase |
accounting fraud or deficiencies |
2012 |
CFTC |
$20,000,000 |
Guggenheim Partners Investment Management LLC |
Guggenheim Partners |
investor protection violation |
2015 |
SEC |
$20,000,000 |
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 |
Franklin Advisers, Inc. and Franklin Templeton Distributors, Inc. |
Franklin Resources |
investor protection violation |
2004 |
SEC |
$20,000,000 |
Wells Fargo Bank, National Association |
Wells Fargo |
Servicemembers Civil Relief Act |
2016 |
OCC |
$20,000,000 |
Bank of America Corporation |
Bank of America |
investor protection violation |
2014 |
SEC |
$20,000,000 |
Wells Fargo |
Wells Fargo |
wage and hour violation |
2010 |
private lawsuit-federal |
$20,000,000 |
A.G. Edwards |
Wells Fargo |
wage and hour violation |
2007 |
private lawsuit-federal |
$20,000,000 |
Washington Mutual Pension Plan |
JPMorgan Chase |
benefit plan administrator violation |
2010 |
private lawsuit-federal |
$20,000,000 |
Citigroup |
Citigroup |
toxic securities abuses |
2008 |
MA-AG |
$20,000,000 |
OppenheimerFunds Inc. |
Invesco |
investor protection violation |
2009 |
OR-AG |
$20,000,000 |
Royal Bank of Scotland |
Royal Bank of Scotland |
toxic securities abuses |
2018 |
IL-AG |
$20,000,000 |
The Hartford Financial Services Group |
Hartford Financial Services |
investor protection violation |
2006 |
MULTI-AG |
$20,000,000 |
UniCredit Bank Austria AG |
UniCredit |
economic sanction violation |
2019 |
NY-MANDA |
$20,000,000 |
ABN AMRO |
ABN AMRO |
economic sanction violation |
2005 |
NY-DFS |
$20,000,000 |
AXA Equitable |
Equitable Holdings |
insurance violation |
2014 |
NY-DFS |
$20,000,000 |
Wells Fargo & Co. |
Wells Fargo |
investor protection violation |
2020 |
MD-AG |
$20,000,000 |
John Hancock Investment Management Services, LLC |
Manulife Financial |
investor protection violation |
2007 |
SEC |
$19,787,879 |
UBS AG |
UBS |
investor protection violation |
2015 |
SEC |
$19,500,000 |
Countrywide Securities Corporation and Merrill Lynch, Pierce, Fenner & Smith, Inc. |
Bank of America |
toxic securities abuses |
2016 |
VA-AG |
$19,500,000 |
Western Asset Management Company |
Franklin Resources |
investor protection violation |
2014 |
SEC |
$19,400,000 |
Deutsche Investment Management Americas, Inc. et al. |
Deutsche Bank |
investor protection violation |
2006 |
SEC |
$19,329,729 |
Amerisave Mortgage Corporation and Novo Appraisal Management Company |
AmeriSave Mortgage |
consumer protection violation |
2014 |
CFPB |
$19,300,000 |
Nationwide Mutual Insurance Company |
Nationwide |
Fair Credit Reporting Act violation |
2006 |
private lawsuit-federal |
$19,250,000 |
Cash America International Inc. |
FirstCash |
payday lending violation |
2013 |
CFPB |
$19,000,000 |
Citigroup, Inc. |
Citigroup |
accounting fraud or deficiencies |
2003 |
SEC |
$19,000,000 |
Edward D. Jones & Co. |
Jones Financial |
wage and hour violation |
2008 |
private lawsuit-federal |
$19,000,000 |
Metropolitan Life Insurance Company |
MetLife |
consumer protection violation |
2006 |
NY-AG |
$19,000,000 |
Citizens Bank, N.A. |
Citizens Financial Group |
consumer protection violation |
2015 |
CFPB |
$18,500,000 |
Discover Bank |
Discover Financial Services |
consumer protection violation |
2015 |
CFPB |
$18,500,000 |
Wilmington Trust |
M&T Bank |
accounting fraud or deficiencies |
2014 |
SEC |
$18,500,000 |
Deutsche Bank |
Deutsche Bank |
investor protection violation |
2016 |
SEC |
$18,500,000 |
Citigroup Global Markets |
Citigroup |
investor protection violation |
2017 |
SEC |
$18,300,000 |
Allstate Life Insurance Company of New York |
Allstate |
insurance violation |
2007 |
NY-DFS |
$18,250,000 |
Mellon Bank N.A. |
Bank of New York Mellon |
False Claims Act and related |
2006 |
USAO |
$18,130,405 |
U.S. Bank National Association |
U.S. Bancorp |
investor protection violation |
2015 |
CFTC |
$18,000,000 |
MoneyGram International, Inc. |
MoneyGram International |
consumer protection violation |
2009 |
FTC |
$18,000,000 |
Coast National Insurance |
Zurich Insurance |
wage and hour violation |
2002 |
private lawsuit-state |
$18,000,000 |
Allianz Dresdner Asset Management of America LP |
Allianz |
investor protection violation |
2004 |
NJ-AG |
$18,000,000 |
Franklin/Templeton Distributors, Inc. |
Franklin Resources |
investor protection violation |
2004 |
CA-AG |
$18,000,000 |
Waddell & Reed, Inc. |
Waddell & Reed Financial Inc. |
investor protection violation |
2005 |
MULTI-FIN |
$18,000,000 |
Citibank, N.A. |
Citigroup |
banking violation |
2020 |
OCC |
$17,998,510 |
Societe Generale Private Banking (Suisse) SA |
Societe Generale |
tax violations |
2015 |
DOJ_TAX |
$17,807,000 |
UBS Willow Management LLC and UBS Fund Advisor LLC |
UBS |
investor protection violation |
2015 |
SEC |
$17,500,000 |
Wells Fargo & Company |
Wells Fargo |
benefit plan administrator violation |
2011 |
private lawsuit-federal |
$17,500,000 |
United States Fidelity & Guaranty |
Travelers |
False Claims Act and related |
2007 |
CT-AG |
$17,500,000 |
VITOL, S.A. |
Vitol |
kickbacks and bribery |
2007 |
NY-MANDA |
$17,500,000 |
Deutsche Bank Securities Inc. |
Deutsche Bank |
investor protection violation |
2013 |
MA-SEC |
$17,500,000 |
UnumProvident Corporation |
Unum |
consumer protection violation |
2006 |
NY-AG |
$17,400,000 |
Wells Fargo Clearing Services, LLC and Wells Fargo Advisors Financial Network, LLC |
Wells Fargo |
investor protection violation |
2019 |
SEC |
$17,363,847 |
Ameriprise Financial Services, Inc. |
Ameriprise Financial |
investor protection violation |
2009 |
SEC |
$17,300,000 |
Countrywide Securities Corp. |
Bank of America |
mortgage abuses |
2013 |
MA-AG |
$17,300,000 |
Wells Fargo |
Wells Fargo |
toxic securities abuses |
2018 |
IL-AG |
$17,250,000 |
Deutsche Asset Management, Inc. and Deutsche Investment Management Americas, Inc. |
Deutsche Bank |
investor protection violation |
2006 |
SEC |
$17,200,000 |
Morgan Stanley & Co. Incorporated |
Morgan Stanley |
investor protection violation |
2007 |
SEC |
$17,000,000 |
Chubb |
Chubb Limited |
price-fixing or anti-competitive practices |
2006 |
MULTI-AG |
$17,000,000 |
Prudential Insurance Company of America |
Prudential Financial |
insurance violation |
2012 |
MULTI-AG |
$17,000,000 |
Nationstar Mortgage LLC |
Mr. Cooper Group |
consumer protection violation |
2018 |
NY-DFS |
$17,000,000 |
Zurich Capital Markets Inc. |
Zurich Insurance |
investor protection violation |
2007 |
SEC |
$16,800,000 |
JPMorgan Chase |
JPMorgan Chase |
wage and hour violation |
2017 |
private lawsuit-federal |
$16,666,667 |
Bank of America |
Bank of America |
wage and hour violation |
2010 |
private lawsuit-state |
$16,650,000 |
Bank of America N.A. |
Bank of America |
economic sanction violation |
2014 |
OFAC |
$16,562,700 |
Mellon Bank, N.A. |
Bank of New York Mellon |
False Claims Act and related |
2007 |
DOJ_CIVIL |
$16,500,000 |
Deutsche Bank AG |
Deutsche Bank |
Foreign Corrupt Practices Act |
2019 |
SEC |
$16,178,850 |
Sovereign Bank N.A. |
Banco Santander |
banking violation |
2013 |
OCC |
$16,086,180 |
Wells Fargo & Company |
Wells Fargo |
Americans with Disabilities Act |
2011 |
DOJ_RIGHTS |
$16,055,000 |
Riggs Bank |
PNC Financial Services |
anti-money-laundering deficiencies |
2005 |
USAO |
$16,000,000 |
PNC Bank |
PNC Financial Services |
wage and hour violation |
2017 |
private lawsuit-federal |
$16,000,000 |
JPMorgan Chase |
JPMorgan Chase |
wage and hour violation |
2014 |
private lawsuit-federal |
$16,000,000 |
Gabelli Funds LLC |
Gamco Investors Inc. |
investor protection violation |
2008 |
SEC |
$16,000,000 |
Morgan Stanley |
Morgan Stanley |
employment discrimination |
2008 |
private lawsuit-federal |
$16,000,000 |
Citigroup Global Markets, Inc. |
Citigroup |
consumer protection violation |
2014 |
NY-AG |
$16,000,000 |
U.S. Bancorp Investments, Inc. |
U.S. Bancorp |
investor protection violation |
2020 |
SEC |
$15,992,441 |
Midland States Bancorp |
Midland States Bancorp |
discriminatory practices (non-employment) |
2014 |
HUD |
$15,950,000 |
Merrill Lynch, Pierce, Fenner & Smith Inc. |
Bank of America |
investor protection violation |
2018 |
SEC |
$15,700,000 |
HSBC Bank |
HSBC |
wage and hour violation |
2013 |
private lawsuit-federal |
$15,625,000 |
USAA Federal Savings Bank |
USAA |
consumer protection violation |
2019 |
CFPB |
$15,500,000 |
CashCall, Inc. |
CashCall Inc. |
consumer protection violation |
2017 |
VA-AG |
$15,335,000 |
Encore Capital Group, Inc. |
Encore Capital Group |
consumer protection violation |
2020 |
CFPB |
$15,079,308 |
Guaranteed Rate Inc. |
Guaranteed Rate Inc. |
False Claims Act and related |
2020 |
DOJ_CIVIL |
$15,060,000 |
UBS Financial Services |
UBS |
investor protection violation |
2016 |
SEC |
$15,025,882 |
ACE Cash Express |
ACE Cash Express |
consumer protection violation |
2014 |
CFPB |
$15,000,000 |
Goldman Sachs & Co. |
Goldman Sachs |
investor protection violation |
2016 |
SEC |
$15,000,000 |
UBS Financial Services Inc. of Puerto Rico |
UBS |
investor protection violation |
2015 |
SEC |
$15,000,000 |
Citigroup Global Markets |
Citigroup |
investor protection violation |
2015 |
SEC |
$15,000,000 |
Barclays Capital Inc. |
Barclays |
investor protection violation |
2014 |
SEC |
$15,000,000 |
Balli Aviation Ltd. and Balli Group PLC |
Balli Group |
export control violation |
2010 |
BIS |
$15,000,000 |
Macquarie Capital (USA) Inc. |
Macquarie |
investor protection violation |
2015 |
SEC |
$15,000,000 |
TD Bank |
Toronto-Dominion Bank |
investor protection violation |
2013 |
SEC |
$15,000,000 |
RenaissanceRe Holdings Ltd. |
RenaissanceRe Holdings |
accounting fraud or deficiencies |
2007 |
SEC |
$15,000,000 |
Ameriprise Financial, Inc. |
Ameriprise Financial |
investor protection violation |
2005 |
SEC |
$15,000,000 |
Conseco, Inc. |
CNO Financial |
investor protection violation |
2004 |
SEC |
$15,000,000 |