Bank of New York Mellon |
Bank of New York Mellon |
banking violation |
2015 |
USAO |
$714,000,000 |
BNY Mellon Capital Markets, LLC |
Bank of New York Mellon |
investor protection violation |
2015 |
SEC |
$120,000 |
Mellon Bank, N.A. |
Bank of New York Mellon |
False Claims Act and related |
2007 |
DOJ_CIVIL |
$16,500,000 |
The Bank of New York |
Bank of New York Mellon |
economic sanction violation |
2005 |
OFAC |
$5,844 |
Bank of New York |
Bank of New York Mellon |
economic sanction violation |
2004 |
OFAC |
$137,500 |
Bank of New York |
Bank of New York Mellon |
economic sanction violation |
2004 |
OFAC |
$34,623 |
Bank of New York |
Bank of New York Mellon |
economic sanction violation |
2004 |
OFAC |
$27,500 |
Bank of New York |
Bank of New York Mellon |
economic sanction violation |
2004 |
OFAC |
$5,500 |
Mellon Bank N.A. |
Bank of New York Mellon |
economic sanction violation |
2004 |
OFAC |
$10,400 |
Bank of New York |
Bank of New York Mellon |
economic sanction violation |
2003 |
OFAC |
$24,750 |
BNY Mellon |
Bank of New York Mellon |
investor protection violation |
2017 |
SEC |
$6,600,000 |
Bank of New York Mellon Corporation |
Bank of New York Mellon |
banking violation |
2017 |
FED |
$3,000,000 |
The Bank of New York |
Bank of New York Mellon |
anti-money-laundering deficiencies |
2005 |
USAO |
$38,000,000 |
Bank of New York Mellon (Shanghai Branch) |
Bank of New York Mellon |
export control violation |
2011 |
BIS |
$30,000 |
BNY Mellon Securities LLC |
Bank of New York Mellon |
investor protection violation |
2011 |
SEC |
$24,045,447 |
Bank of New York Mellon |
Bank of New York Mellon |
benefit plan administrator violation |
2015 |
EBSA |
$84,000,000 |
Bank of New York Mellon |
Bank of New York Mellon |
banking violation |
2018 |
FED |
$16,000 |
The Bank Of New York |
Bank of New York Mellon |
investor protection violation |
2007 |
SEC |
$750,000 |
BANK OF NEW YORK MELLON - 101 BARCLAY |
Bank of New York Mellon |
environmental violation |
2005 |
EPA |
$15,000 |
Dreyfus Corporation |
Bank of New York Mellon |
investor protection violation |
2000 |
SEC |
$950,000 |
Bank of New York Mellon Corporation |
Bank of New York Mellon |
benefit plan administrator violation |
2015 |
private lawsuit-federal |
$335,000,000 |
Bank of New York Mellon Corporation |
Bank of New York Mellon |
benefit plan administrator violation |
2009 |
private lawsuit-federal |
$2,200,000 |
Bank of New York Mellon |
Bank of New York Mellon |
investor protection violation |
2018 |
SEC |
$54,000,000 |
Bank of New York Mellon |
Bank of New York Mellon |
investor protection violation |
2013 |
FL-AG |
$28,000,000 |
Bank of New York Mellon |
Bank of New York Mellon |
employment discrimination |
2010 |
NJ-AG |
$188,037 |
Bank of New York Mellon |
Bank of New York Mellon |
banking violation |
2015 |
NY-AG |
$167,500,000 |
Bank of New York Mellon Corp. |
Bank of New York Mellon |
investor protection violation |
2011 |
MULTI-AG |
$1,300,000 |
BNY Mellon Shareowner Services |
Bank of New York Mellon |
investor protection violation |
2010 |
MA-AG |
$30,000 |
Dreyfus Corporation |
Bank of New York Mellon |
investor protection violation |
2000 |
NY-AG |
$2,000,000 |
Bank of New York Mellon |
Bank of New York Mellon |
investor protection violation |
2019 |
CFTC |
$750,000 |
Mellon Bank N.A. |
Bank of New York Mellon |
False Claims Act and related |
2006 |
USAO |
$18,130,405 |
BNY Mellon Capital Markets LLC |
Bank of New York Mellon |
investor protection violation |
2011 |
TX-SEC |
$500,000 |
BARCLAYS BANK PLC |
Barclays |
foreign exchange market manipulation |
2015 |
FED |
$342,000,000 |
Barclays PLC |
Barclays |
foreign exchange market manipulation |
2015 |
DOJ_CRIMINAL |
$710,000,000 |
Barclays Bank PLC |
Barclays |
interest rate benchmark manipulation |
2012 |
DOJ_CRIMINAL |
$160,000,000 |
Barclays Bank PLC |
Barclays |
economic sanction violation |
2010 |
DOJ_CRIMINAL |
$298,000,000 |
Barclays Capital Inc. |
Barclays |
investor protection violation |
2016 |
SEC |
$35,000,000 |
Barclays Capital Inc. |
Barclays |
investor protection violation |
2014 |
SEC |
$15,000,000 |
Barclays Bank PLC |
Barclays |
toxic securities abuses |
2014 |
FHFA |
$280,000,000 |
Barclays Capital Inc. |
Barclays |
toxic securities abuses |
2015 |
NCUA |
$325,000,000 |
Barclays |
Barclays |
interest rate benchmark manipulation |
2015 |
CFTC |
$400,000,000 |
Barclays |
Barclays |
interest rate benchmark manipulation |
2015 |
CFTC |
$115,000,000 |
Barclays PLC |
Barclays |
interest rate benchmark manipulation |
2012 |
CFTC |
$200,000,000 |
Barclays Bank PLC |
Barclays |
energy market manipulation |
2017 |
FERC |
$105,000,000 |
Barclays Bank PLC |
Barclays |
economic sanction violation |
2016 |
OFAC |
$2,485,890 |
Barclays Capital Inc. |
Barclays |
investor protection violation |
2016 |
CFTC |
$800,000 |
Barclays Bank PLC |
Barclays |
investor protection violation |
2016 |
CFTC |
$560,000 |
Barclays Bank PLC |
Barclays |
economic sanction violation |
2004 |
OFAC |
$14,970 |
Barclays Bank PLC |
Barclays |
economic sanction violation |
2003 |
OFAC |
$10,107 |
Barclays Bank PLC |
Barclays |
insider trading |
2007 |
SEC |
$10,943,561 |
Barclays Bank PLC |
Barclays |
data submission deficiencies |
2016 |
CFTC |
$500,000 |
Barclays Capital Inc. |
Barclays |
wage and hour violation |
2009 |
WHD |
$9,707 |
Barclays Capital |
Barclays |
investor protection violation |
2017 |
SEC |
$97,037,659 |
Barclays Capital Inc. |
Barclays |
investor protection violation |
2017 |
SEC |
$12,710,040 |
Barclays Capital Inc. |
Barclays |
investor protection violation |
2016 |
SEC |
$500,000 |
Barclays Capital, Inc. |
Barclays |
toxic securities abuses |
2018 |
USAO |
$2,000,000,000 |
Barclays Bank PLC |
Barclays |
interest rate benchmark manipulation |
2016 |
MULTI-AG |
$100,000,000 |
Barclays Bank PLC |
Barclays |
toxic securities abuses |
2013 |
MA-AG |
$36,100,000 |
Barclays Capital Inc. |
Barclays |
investor protection violation |
2016 |
NY-AG |
$35,000,000 |
Barclays Capital Inc. |
Barclays |
toxic securities abuses |
2016 |
VA-AG |
$9,000,000 |
Barclays PLC |
Barclays |
foreign exchange market manipulation |
2018 |
DOJ_CRIMINAL |
$12,896,011 |
Barclays PLC |
Barclays |
Foreign Corrupt Practices Act |
2019 |
SEC |
$6,308,726 |
Barclays plc |
Barclays |
economic sanction violation |
2010 |
NY-MANDA |
(*) $149,000,000 |
Barclays Bank PLC |
Barclays |
foreign exchange market manipulation |
2015 |
NY-DFS |
$485,000,000 |
Barclays Bank PLC |
Barclays |
foreign exchange market manipulation |
2015 |
NY-DFS |
$150,000,000 |
Barclays Bank PLC |
Barclays |
workplace whistleblower retaliation |
2018 |
NY-DFS |
$15,000,000 |
BC Capital Group S.A., BC Capital Group International Limited, and BC Capital Group Holdings S.A. |
BC Capital Group |
investor protection violation |
2016 |
CFTC |
$490,246,741 |
BCS Insurance Company |
BCS Financial Corporation |
insurance violation |
2016 |
NY-DFS |
$100,000 |
BCS Insurance Company |
BCS Financial Corporation |
insurance violation |
2017 |
MULTI-FIN |
$1,000,000 |
Berthel Fisher & Company |
Berthel Fisher |
investor protection violation |
2003 |
MN-FIN |
$10,000 |
Berthel Fisher & Company Financial Services, Inc. |
Berthel Fisher |
investor protection violation |
2007 |
MO-SEC |
$230,469 |
Berthel Fisher & Company Financial Services, Inc. |
Berthel Fisher |
investor protection violation |
2011 |
MO-SEC |
$5,000 |
Berthel Fisher & Company Financial Services, Inc. |
Berthel Fisher |
investor protection violation |
2013 |
MO-SEC |
$80,000 |
Berthel Fisher and Company Financial Services Inc. |
Berthel Fisher |
investor protection violation |
2003 |
ND-SEC |
$12,303 |
Berthel Fisher and Company Financial Services Inc. |
Berthel Fisher |
investor protection violation |
2004 |
ND-SEC |
$20,000 |
Berthel Fisher and Company Financial Services Inc. |
Berthel Fisher |
investor protection violation |
2006 |
ND-SEC |
$8,000 |
Berthel, Fisher & Company Financial Services, Inc. |
Berthel Fisher |
investor protection violation |
2007 |
NE-DBF |
$5,000 |
Berthel Fisher & Company Financial Services, Inc |
Berthel Fisher |
investor protection violation |
2019 |
NH-BSR |
$415,407 |
BGC Financial, L.P. |
BGC Partners |
investor protection violation |
2019 |
CFTC |
$3,000,000 |
BGC Financial, LP |
BGC Partners |
investor protection violation |
2019 |
CFTC |
$15,000,000 |
GFI Securities, LLC |
BGC Partners |
investor protection violation |
2019 |
CFTC |
$10,000,000 |
BGC Financial LP |
BGC Partners |
foreign exchange market manipulation |
2019 |
NY-AG |
$7,500,000 |
GFI Securities LLC |
BGC Partners |
foreign exchange market manipulation |
2019 |
NY-AG |
$5,000,000 |
GFI Securities LLC |
BGC Partners |
investor protection violation |
2019 |
SEC |
$4,300,000 |
BGC Partners, Inc. |
BGC Partners |
investor protection violation |
2020 |
SEC |
$1,400,000 |
BlackRock Advisors LLC |
BlackRock |
investor protection violation |
2015 |
SEC |
$12,000,000 |
BlackRock Institutional Trust Company NA |
BlackRock |
investor protection violation |
2012 |
CFTC |
$250,000 |
BlackRock Institutional Trust Company |
BlackRock |
investor protection violation |
2014 |
SEC |
$1,675,350 |
BlackRock Inc. |
BlackRock |
investor protection violation |
2017 |
SEC |
$340,000 |
Blackrock Fund Advisors |
BlackRock |
investor protection violation |
2017 |
SEC |
$1,500,000 |
Companion Life Insurance Co. |
BlueCross BlueShield of South Carolina |
insurance violation |
2019 |
CO-INS |
$147,775 |
Companion Life Insurance Co. |
BlueCross BlueShield of South Carolina |
insurance violation |
2016 |
DE-INS |
$487,000 |
Companion Life Insurance Co. |
BlueCross BlueShield of South Carolina |
insurance violation |
2017 |
KS-INS |
$100,000 |
Companion Life Insurance Co. |
BlueCross BlueShield of South Carolina |
insurance violation |
2012 |
MT-INS |
$12,500 |
Companion Life Insurance Company |
BlueCross BlueShield of South Carolina |
insurance violation |
2013 |
NY-DFS |
$150,000 |
Companion Life Insurance Company |
BlueCross BlueShield of South Carolina |
insurance violation |
2016 |
NY-DFS |
$146,485 |
Companion Life Insurance Co. |
BlueCross BlueShield of South Carolina |
insurance violation |
2019 |
NY-DFS |
$648,122 |
Companion Life Insurance Company |
BlueCross BlueShield of South Carolina |
insurance violation |
2017 |
SD-INS |
$40,000 |
COMPANION LIFE INSURANCE CO. |
BlueCross BlueShield of South Carolina |
insurance violation |
2016 |
VA-INS |
$44,220 |
Companion Life Insurance Company |
BlueCross BlueShield of South Carolina |
insurance violation |
2019 |
VT-FIN |
$1,656,000 |
BNP Paribas S.A. |
BNP Paribas |
economic sanction violation |
2015 |
DOJ_CRIMINAL |
$8,973,600,000 |