Conseco Life Insurance Company |
CNO Financial |
insurance violation |
2010 |
MULTI-FIN |
$11,000,000 |
Barclays Bank PLC |
Barclays |
insider trading |
2007 |
SEC |
$10,943,561 |
Wells Fargo Bank |
Wells Fargo |
wage and hour violation |
2020 |
private lawsuit-federal |
$10,928,870 |
Merrill Lynch |
Bank of America |
investor protection violation |
2015 |
SEC |
$10,900,000 |
Travelers Insurance Company |
Travelers |
False Claims Act and related |
2004 |
USAO |
$10,900,000 |
ING Life Insurance and Annuity Company |
Voya Financial |
insurance violation |
2013 |
MULTI-AG |
$10,700,000 |
Bankers Life and Casualty Company and BLC Financial Services, Inc. |
CNO Financial |
investor protection violation |
2012 |
MULTI-FIN |
$10,641,000 |
BancorpSouth Bank |
BancorpSouth |
mortgage abuses |
2016 |
CFPB |
$10,600,000 |
EZCORP Inc. |
EZCORP Inc. |
consumer protection violation |
2015 |
CFPB |
$10,500,000 |
HSBC Bank USA, N.A. |
HSBC |
investor protection violation |
2007 |
SEC |
$10,500,000 |
Aon |
Aon |
wage and hour violation |
2011 |
private lawsuit-state |
$10,500,000 |
Citigroup |
Citigroup |
accounting fraud or deficiencies |
2018 |
SEC |
$10,500,000 |
Travelers Companies |
Travelers |
insurance violation |
2012 |
CA-INS |
$10,500,000 |
State Farm Insurance Group |
State Farm Insurance |
insurance violation |
2020 |
NY-DFS |
$10,443,700 |
BBVA Suiza S.A. |
Banco Bilbao Vizcaya Argentaria |
tax violations |
2015 |
DOJ_TAX |
$10,390,000 |
AmTrust Financial Services Inc. |
AmTrust Financial Services |
investor protection violation |
2020 |
SEC |
$10,300,000 |
Invesco Trust Company |
Invesco |
benefit plan administrator violation |
2016 |
EBSA |
$10,270,000 |
1st Financial Bank USA |
1st Financial Bank USA |
banking violation |
2010 |
FDIC |
$10,140,000 |
Allianz Life Insurance Company of North America |
Allianz |
insurance violation |
2008 |
CA-INS |
$10,050,000 |
U.S. Bank National Association |
U.S. Bancorp |
banking violation |
2016 |
OCC |
$10,000,000 |
RBS Citizens, National Association |
Citizens Financial Group |
banking violation |
2015 |
OCC |
$10,000,000 |
TCF National Bank |
TCF Financial Corp. |
banking violation |
2013 |
OCC |
$10,000,000 |
TD Ameritrade Inc. |
Charles Schwab Corp. |
investor protection violation |
2011 |
SEC |
$10,000,000 |
HSBC |
HSBC |
mortgage abuses |
2014 |
USAO |
$10,000,000 |
Merrill Lynch |
Bank of America |
investor protection violation |
2016 |
SEC |
$10,000,000 |
Merrill Lynch |
Bank of America |
investor protection violation |
2011 |
SEC |
$10,000,000 |
Santander Bank, N.A. |
Banco Santander |
consumer protection violation |
2016 |
CFPB |
$10,000,000 |
MF Global Inc. |
MF Global |
investor protection violation |
2009 |
CFTC |
$10,000,000 |
BankAtlantic |
Truist Financial |
anti-money-laundering deficiencies |
2006 |
DOJ_CRIMINAL |
$10,000,000 |
Bank of China |
Bank of China |
banking violation |
2002 |
OCC |
$10,000,000 |
Morgan Stanley & Co. |
Morgan Stanley |
investor protection violation |
2006 |
SEC |
$10,000,000 |
Morgan Stanley & Co. |
Morgan Stanley |
data submission deficiencies |
2006 |
SEC |
$10,000,000 |
Southwest Securities, Inc. |
Hilltop Holdings |
investor protection violation |
2005 |
SEC |
$10,000,000 |
Banc of America Securities LLC |
Bank of America |
investor protection violation |
2004 |
SEC |
$10,000,000 |
American International Group, Inc. |
American International Group |
accounting fraud or deficiencies |
2003 |
SEC |
$10,000,000 |
AmSouth |
Regions Financial |
anti-money-laundering deficiencies |
2004 |
FINCEN |
$10,000,000 |
NASDAQ Stock Market, LLC and NASDAQ Execution Services, LLC |
Nasdaq Inc. |
investor protection violation |
2013 |
SEC |
$10,000,000 |
BMO Harris Bank, N.A. |
Bank of Montreal |
fraud |
2018 |
USAO |
$10,000,000 |
Metropolitan Life |
MetLife |
employment discrimination |
2003 |
private lawsuit-federal |
$10,000,000 |
State Street Corporation |
State Street Corp. |
benefit plan administrator violation |
2014 |
private lawsuit-federal |
$10,000,000 |
Merrill Lynch |
Bank of America |
benefit plan administrator violation |
2012 |
private lawsuit-federal |
$10,000,000 |
Bear Stearns Companies, Inc. |
JPMorgan Chase |
benefit plan administrator violation |
2012 |
private lawsuit-federal |
$10,000,000 |
Allianz Life Insurance Company of North America |
Allianz |
insurance violation |
2012 |
MULTI-AG |
$10,000,000 |
CIT Group/Equipment Financing, Inc. |
CIT |
consumer protection violation |
2005 |
MULTI-AG |
$10,000,000 |
Credit Suisse Securities (USA) LLC |
Credit Suisse |
investor protection violation |
2018 |
NY-AG |
(*) $10,000,000 |
Merrill Lynch Pierce Fenner & Smith Inc. |
Bank of America |
investor protection violation |
2005 |
NJ-AG |
$10,000,000 |
Premera Blue Cross |
Premera Blue Cross |
privacy violation |
2019 |
MULTI-AG |
$10,000,000 |
RBS Securities Inc. |
Royal Bank of Scotland |
toxic securities abuses |
2016 |
VA-AG |
$10,000,000 |
State Farm Mutual Automobile Insurance Co. |
State Farm Insurance |
consumer protection violation |
2005 |
TX-AG |
$10,000,000 |
Wells Fargo Financial Leasing, Inc. |
Wells Fargo |
consumer protection violation |
2005 |
MULTI-AG |
$10,000,000 |
GFI Securities, LLC |
BGC Partners |
investor protection violation |
2019 |
CFTC |
$10,000,000 |
Metropolitan Life Insurance Company, Inc. |
MetLife |
insurance violation |
2014 |
NY-MANDA |
$10,000,000 |
MetLife, Inc. |
MetLife |
investor protection violation |
2019 |
SEC |
$10,000,000 |
QBE Insurance Corp. |
QBE Insurance |
insurance violation |
2013 |
NY-DFS |
$10,000,000 |
Allstate |
Allstate |
insurance violation |
2010 |
MULTI-FIN |
$10,000,000 |
UBS Financial Services Inc. |
UBS |
investor protection violation |
2020 |
SEC |
$10,000,000 |
Wells Fargo & Co. |
Wells Fargo |
discriminatory practices (non-employment) |
2019 |
private lawsuit-federal |
$10,000,000 |
Goldman Sachs |
Goldman Sachs |
employment discrimination |
2019 |
OFCCP |
$9,995,000 |
TD Bank |
Toronto-Dominion Bank |
wage and hour violation |
2015 |
private lawsuit-federal |
$9,900,000 |
PROGRESSIVE DIRECT INSURANCE |
Progressive |
insurance violation |
2017 |
VA-INS |
$9,839,379 |
RBC Capital Markets Corporation |
Royal Bank of Canada |
investor protection violation |
2008 |
MULTI-FIN |
(*) $9,800,000 |
Banc of America Investment Services, Inc. |
Bank of America |
investor protection violation |
2008 |
SEC |
$9,763,634 |
CashCall Inc. |
CashCall Inc. |
consumer protection violation |
2017 |
SC-FIN |
$9,650,000 |
Countrywide Home Loans Inc. |
Bank of America |
wage and hour violation |
2015 |
private lawsuit-federal |
$9,649,000 |
U.S. Bank Pension Plan |
U.S. Bancorp |
benefit plan administrator violation |
2012 |
private lawsuit-federal |
$9,600,000 |
General Motors Acceptance Corp. |
Ally Financial |
discriminatory practices (non-employment) |
2004 |
private lawsuit-federal |
$9,600,000 |
Deutsche Bank Securities |
Deutsche Bank |
investor protection violation |
2016 |
SEC |
$9,500,000 |
PNC Bank N.A. |
PNC Financial Services |
False Claims Act and related |
2016 |
USAO |
$9,500,000 |
Wells Fargo Advisors, LLC |
Wells Fargo |
wage and hour violation |
2018 |
private lawsuit-federal |
$9,500,000 |
Massachusetts Mutual Life Insurance Co. |
Massachusetts Mutual Life Insurance |
benefit plan administrator violation |
2015 |
private lawsuit-federal |
$9,475,000 |
Santander Consumer USA Inc. |
Banco Santander |
Servicemembers Civil Relief Act |
2015 |
DOJ_RIGHTS |
$9,350,000 |
HSBC Bank USA |
HSBC |
benefit plan administrator violation |
2005 |
private lawsuit-federal |
$9,350,000 |
Liberty National Life Insurance Company |
Globe Life Inc. |
discriminatory practices (non-employment) |
2006 |
private lawsuit-federal |
$9,350,000 |
LPL Financial LLC |
LPL Financial |
investor protection violation |
2019 |
SEC |
$9,333,516 |
Goldman Sachs |
Goldman Sachs |
investor protection violation |
2003 |
SEC |
$9,305,382 |
Western Sky Financial LLC et al. |
CashCall Inc. |
consumer protection violation |
2016 |
NC-BKG |
$9,275,000 |
American International Insurance Group Inc. |
American International Group |
insurance violation |
2008 |
PA-INS |
$9,125,400 |
Nationstar Mortgage, LLC dba Mr. Cooper |
Mr. Cooper Group |
consumer protection violation |
2017 |
CA-DFPI |
$9,118,784 |
Provident Funding Associates |
Provident Funding Associates |
consumer protection violation |
2015 |
CFPB |
$9,000,000 |
AMERICAN EXPRESS COMPANY |
American Express |
banking violation |
2012 |
FED |
$9,000,000 |
TMX Finance LLC |
TMX Finance |
consumer protection violation |
2016 |
CFPB |
$9,000,000 |
Union Savings Bank and Guardian Savings Bank |
Union Savings Bank |
discriminatory practices (non-employment) |
2016 |
DOJ_RIGHTS |
$9,000,000 |
Bank of America |
Bank of America |
wage and hour violation |
2015 |
private lawsuit-federal |
$9,000,000 |
JPMorgan Chase |
JPMorgan Chase |
wage and hour violation |
2012 |
private lawsuit-federal |
$9,000,000 |
Bank of America |
Bank of America |
wage and hour violation |
2006 |
private lawsuit-federal |
$9,000,000 |
ACE Limited |
Chubb Limited |
price-fixing or anti-competitive practices |
2007 |
PA-AG |
$9,000,000 |
American International Group |
American International Group |
price-fixing or anti-competitive practices |
2010 |
OH-AG |
$9,000,000 |
Barclays Capital Inc. |
Barclays |
toxic securities abuses |
2016 |
VA-AG |
$9,000,000 |
CashCall and Western Sky |
CashCall Inc. |
consumer protection violation |
2016 |
NC-AG |
$9,000,000 |
Prudential Insurance Company Of America |
Prudential Financial |
benefit plan administrator violation |
2019 |
private lawsuit-federal |
$9,000,000 |
Taylor, Bean & Whitaker Mortgage Corp. |
Taylor, Bean & Whitaker |
mortgage abuses |
2009 |
MULTI-FIN |
$9,000,000 |
Deutsche Bank AG |
Deutsche Bank |
investor protection violation |
2020 |
CFTC |
$9,000,000 |
JPMorgan Chase & Co. |
JPMorgan Chase |
employment discrimination |
2020 |
OFCCP |
$9,000,000 |
Merrill Lynch, Pierce, Fenner & Smith |
Bank of America |
investor protection violation |
2018 |
SEC |
$8,900,000 |
Household Finance Corp. of California and Beneficial California, Inc. |
HSBC |
mortgage abuses |
2002 |
CA-DFPI |
$8,900,000 |
Merrill Lynch, Pierce and Fenner & Smith Incorporated |
Bank of America |
investor protection violation |
2018 |
SEC |
$8,872,723 |
Citizens Bank |
Citizens Financial Group |
banking violation |
2015 |
FDIC |
$8,800,000 |
Morgan Stanley Investment Management |
Morgan Stanley |
investor protection violation |
2015 |
SEC |
$8,800,000 |
Ameriprise Financial Services, Inc. |
Ameriprise Financial |
investor protection violation |
2017 |
SEC |
$8,750,000 |
Citigroup |
Citigroup |
banking violation |
2018 |
FED |
$8,600,000 |
Providian Financial Corp. |
JPMorgan Chase |
benefit plan administrator violation |
2003 |
private lawsuit-federal |
$8,600,000 |