Wells Fargo | Wells Fargo | investor protection violation | 2023 | CFTC | $75,000,000 |
Bank of Montreal | Bank of Montreal | investor protection violation | 2023 | CFTC | $35,000,000 |
Wells Fargo Securities, LLC et al. | Wells Fargo | investor protection violation | 2023 | SEC | $125,000,000 |
BNP Paribas Securities Corp. | BNP Paribas | investor protection violation | 2023 | SEC | $35,000,000 |
SG Americas Securities, LLC | Societe Generale | investor protection violation | 2023 | SEC | $35,000,000 |
BMO Capital Markets Corp | Bank of Montreal | investor protection violation | 2023 | SEC | $25,000,000 |
Mizuho Securities USA LLC | Mizuho Financial | investor protection violation | 2023 | SEC | $25,000,000 |
Wedbush Securities Inc. | Wedbush Securities | investor protection violation | 2023 | SEC | $10,000,000 |
Goldman Sachs & Co. | Goldman Sachs | investor protection violation | 2023 | CFTC | $5,500,000 |
Raymond James & Associates, Inc. | Raymond James Financial | investor protection violation | 2023 | MO-SEC | $150,000 |
Raymond James & Associates, Inc. et al. | Raymond James Financial | investor protection violation | 2023 | MULTI-FIN | $12,450,000 |
LPL Financial, LLC | LPL Financial | investor protection violation | 2023 | PA-BKG | $190,000 |
Citigroup Global Markets Inc. | Citigroup | investor protection violation | 2023 | SEC | $2,900,000 |
Wells Fargo Clearing Services LLC | Wells Fargo | investor protection violation | 2023 | SEC | $35,000,000 |
Goldman Sachs & Co. LLC | Goldman Sachs | investor protection violation | 2023 | CFTC | $30,000,000 |
JPMorgan Chase Bank, N.A. | JPMorgan Chase | investor protection violation | 2023 | CFTC | $15,000,000 |
Bank of America, N.A. | Bank of America | investor protection violation | 2023 | CFTC | $8,000,000 |
Goldman Sachs & Co. LLC | Goldman Sachs | investor protection violation | 2023 | CFTC | $3,000,000 |
Interactive Brokers Corp. and Interactive Brokers LLC | Interactive Brokers Group | investor protection violation | 2023 | CFTC | $20,000,000 |
StoneX Markets LLC | StoneX Group | investor protection violation | 2023 | CFTC | $650,000 |
Wilmington Trust Investment Management, LLC | M&T Bank | investor protection violation | 2023 | SEC | $1,327,147 |
Interactive Brokers Corp. | Interactive Brokers Group | investor protection violation | 2023 | SEC | $35,000,000 |
Nuveen Securities LLC | TIAA | investor protection violation | 2023 | SEC | $8,500,000 |
Fifth Third Securities Inc. | Fifth Third Bancorp | investor protection violation | 2023 | SEC | $8,000,000 |
Citigroup Global Markets, Inc. | Citigroup | investor protection violation | 2023 | SEC | $1,975,000 |
DWS Investment Management Americas Inc. | Deutsche Bank | investor protection violation | 2023 | SEC | $25,000,000 |
Goldman Sachs & Co. LLC | Goldman Sachs | investor protection violation | 2023 | SEC | $6,000,000 |
Binance Holdings Limited et al. | Binance Holdings | investor protection violation | 2023 | CFTC | (*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $2,700,000,000 |
BlackRock Advisors, LLC | BlackRock | investor protection violation | 2023 | SEC | $2,500,000 |
Fidelity Brokerage Services LLC | Fidelity Investments | investor protection violation | 2023 | MA-SEC | $750,000 |
LPL Financial, LLC | LPL Financial | investor protection violation | 2023 | MA-SEC | $250,000 |
Northwestern Mutual Investment Services, LLC | Northwestern Mutual | investor protection violation | 2023 | NH-BSR | $200,000 |
Wells Fargo Clearing Services LLC | Wells Fargo | investor protection violation | 2023 | ME-SEC | $5,000 |
Morgan Stanley Smith Barney LLC | Morgan Stanley | investor protection violation | 2023 | ME-SEC | $5,000 |
MML Investors Services, LLC | Massachusetts Mutual Life Insurance | investor protection violation | 2023 | MI-SEC | $10,000 |
BofA Securities, Inc. | Bank of America | investor protection violation | 2023 | FINRA | $24,000,000 |
Morgan Stanley & Co. LLC | Morgan Stanley | investor protection violation | 2024 | USAO | $153,431,223 |
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 |
Credit Suisse Securities (USA) LLC | UBS | investor protection violation | 2023 | SEC | $10,000,000 |
Morgan Stanley Smith Barney LLC | Morgan Stanley | investor protection violation | 2024 | FINRA | $1,600,000 |
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 |
Robinhood Financial LLC | Robinhood Markets | investor protection violation | 2024 | MA-SEC | $7,500,000 |
Edward D. Jones & Co., LP | Jones Financial | investor protection violation | 2024 | PA-BKG | $300,000 |
Northwestern Mutual Investment Services LLC | Northwestern Mutual | investor protection violation | 2024 | ME-SEC | $5,000 |
J.P. Morgan Securities Inc. | JPMorgan Chase | kickbacks and bribery | 2009 | SEC | $75,000,000 |
Fidelity Investments | Fidelity Investments | kickbacks and bribery | 2008 | SEC | $8,000,000 |
Prospect Mortgage, LLC | Homebridge Financial Services | kickbacks and bribery | 2011 | HUD | $3,100,000 |
Fidelity National Financial, Inc. | Fidelity National Financial | kickbacks and bribery | 2011 | HUD | $4,500,000 |
First American Title Insurance Company | First American Financial | kickbacks and bribery | 2007 | HUD | $5,000,000 |
Fidelity National Title Insurance Company | Fidelity National Financial | kickbacks and bribery | 2007 | HUD | $68,635 |
First American Title Insurance Company | First American Financial | kickbacks and bribery | 2005 | HUD | $680,000 |
Metropolitan Life Insurance Company | MetLife | kickbacks and bribery | 2010 | USAO | $13,500,000 |
Liberty Mutual Insurance Co. | Liberty Mutual Insurance | kickbacks and bribery | 2010 | CT-AG | $2,000,000 |
Marsh & McLennan Companies, Inc. | Marsh & McLennan | kickbacks and bribery | 2009 | CT-AG | $2,400,000 |
Mutual of Omaha Insurance Co. | Mutual of Omaha | kickbacks and bribery | 2008 | CT-AG | $1,700,000 |
Principal Financial Group | Principal Financial | kickbacks and bribery | 2007 | CT-AG | $5,000,000 |
Unum Group | Unum | kickbacks and bribery | 2008 | USAO | $5,550,000 |
Metropolitan Life Insurance | MetLife | kickbacks and bribery | 2008 | CA-MULTI | $500,000 |
Prudential Insurance Co. | Prudential Financial | kickbacks and bribery | 2008 | CA-MULTI | $350,000 |
Unum Insurance Co. | Unum | kickbacks and bribery | 2008 | CA-MULTI | $250,000 |
VITOL, S.A. | Vitol | kickbacks and bribery | 2007 | NY-MANDA | $17,500,000 |
Freedom Mortgage Corporation | Freedom Mortgage | kickbacks and bribery | 2023 | CFPB | $1,750,000 |
TIAA-CREF | TIAA | labor relations violation | 2016 | NLRB | $304,216 |
Grandbridge Real Estate Capital, LLC | Truist Financial | labor relations violation | 2015 | NLRB | $70,000 |
Seterus, Inc. | Mr. Cooper Group | labor relations violation | 2013 | NLRB | $72,162 |
Bank of America, National Association | Bank of America | labor relations violation | 2013 | NLRB | $18,634 |
IFCO SYSTEMS | Triton Investments Advisers | labor relations violation | 2013 | NLRB | $91,866 |
El Paso Electric Company | JPMorgan Chase | labor relations violation | 2012 | NLRB | $79,692 |
UBS Inc. | UBS | labor relations violation | 2010 | NLRB | $26,351 |
National City Corporation | PNC Financial Services | labor relations violation | 2009 | NLRB | $24,083 |
El Paso Electric Company | JPMorgan Chase | labor relations violation | 2009 | NLRB | $11,500 |
National City Corporation d/b/a National City Bank | PNC Financial Services | labor relations violation | 2008 | NLRB | $49,597 |
PNC Bank | PNC Financial Services | labor relations violation | 2006 | NLRB | $40,000 |
TD Banknorth | Toronto-Dominion Bank | labor relations violation | 2006 | NLRB | $5,000 |
J.P. Morgan Chase & Co. and Forum Temporary Services | JPMorgan Chase | labor relations violation | 2006 | NLRB | $60,760 |
Mercury Air Centers, Inc. | Macquarie | labor relations violation | 2006 | NLRB | $40,000 |
USAA Insurance | USAA | labor relations violation | 2005 | NLRB | $125,361 |
Watson Wyatt & Co. | Willis Towers Watson | labor relations violation | 2005 | NLRB | $91,000 |
CINCINNATI BELL TELEPHONE A DIVISION OF BROADWING | Macquarie | labor relations violation | 2005 | NLRB | $5,000 |
Wheelabrator Westchester, L.P. | Macquarie | labor relations violation | 2005 | NLRB | $13,000 |
CINCINNATI BELL | Macquarie | labor relations violation | 2004 | NLRB | $39,200 |
Piccari Press, Inc. | Chatham Asset Management | labor relations violation | 2003 | NLRB | $10,000 |
MetLife Financial Services | MetLife | labor relations violation | 2002 | NLRB | $18,500 |
CNG FINANCIAL CORPORATION | CNG Financial | labor relations violation | 2001 | NLRB | $6,000 |
First Union Bank | Wells Fargo | labor relations violation | 2000 | NLRB | $9,116 |
The Prudential Insurance Company of America | Prudential Financial | labor relations violation | 2018 | NLRB | $17,842 |
Academy Mortgage Corporation | Academy Mortgage Corp. | labor relations violation | 2018 | NLRB | $6,061 |
Neovia | Goldman Sachs | labor relations violation | 2023 | NLRB | $7,000 |
The McClatchy Company | Chatham Asset Management | labor relations violation | 2022 | NLRB | $15,482 |
Torchmark Corporation | Globe Life Inc. | Medicare Parts C and D Enforcement Action | 2014 | CMS | $40,000 |
Torchmark Corporation | Globe Life Inc. | Medicare Parts C and D Enforcement Action | 2013 | CMS | $150,000 |
Bank Julius Baer & Co. Ltd. | Julius Baer Group | money laundering | 2021 | DOJ_CRIMINAL | $79,000,000 |
Goldman Sachs | Goldman Sachs | mortgage abuses | 2013 | FED | $330,000,000 |
Morgan Stanley | Morgan Stanley | mortgage abuses | 2013 | FED | $227,000,000 |
HSBC Bank USA NA | HSBC | mortgage abuses | 2016 | DOJ | $470,000,000 |