Liberty Mutual |
Liberty Mutual Insurance |
wage and hour violation |
2005 |
private lawsuit-federal |
$6,400,000 |
Mastercard International Inc. |
MasterCard |
price-fixing or anti-competitive practices |
2008 |
WV-AG |
$6,400,000 |
Visa USA Inc. |
Visa |
price-fixing or anti-competitive practices |
2008 |
WV-AG |
$6,400,000 |
CashCall, Inc. |
CashCall Inc. |
consumer protection violation |
2014 |
WA-FIN |
$6,390,670 |
Standard Chartered Bank (Switzerland) SA, en liquidation |
Standard Chartered |
tax violations |
2015 |
DOJ_TAX |
$6,337,000 |
Barclays PLC |
Barclays |
Foreign Corrupt Practices Act |
2019 |
SEC |
$6,308,726 |
American Security Insurance Co. |
Assurant |
consumer protection violation |
2017 |
MA-AG |
$6,300,000 |
Lasalle Bank MidWest National Association |
Bank of America |
banking violation |
2005 |
OCC |
$6,250,000 |
KeyCorp |
KeyCorp |
wage and hour violation |
2012 |
private lawsuit-federal |
$6,250,000 |
PHH Mortgage Corporation |
Ocwen Financial |
mortgage abuses |
2013 |
NJ-AG |
$6,250,000 |
AmeriSave Mortgage Corporation |
AmeriSave Mortgage |
privacy violation |
2020 |
private lawsuit-federal |
$6,250,000 |
USAA Casualty Insurance and United Services Auto Association |
USAA |
insurance violation |
2003 |
NJ-DBI |
$6,200,000 |
TIAA-CREF Life Insurance Company |
TIAA |
insurance violation |
2013 |
MULTI-FIN |
$6,200,000 |
CareFirst BlueChoice, Inc. |
CareFirst of Maryland |
insurance violation |
2012 |
MD-INS |
$6,168,545 |
Ditech |
Ditech Holding Corporation |
wage and hour violation |
2002 |
private lawsuit-federal |
$6,150,000 |
Farmers Insurance Exchange |
Farmers Insurance Exchange |
employment discrimination |
2016 |
private lawsuit-federal |
$6,140,000 |
New York Life Investment Management LLC |
New York Life Insurance |
investor protection violation |
2009 |
SEC |
$6,100,784 |
AIG Federal Savings Bank and Wilmington Finance Inc. |
American International Group |
discriminatory practices (non-employment) |
2010 |
DOJ_RIGHTS |
$6,100,000 |
Imperial Sugar Company |
Louis Dreyfus |
workplace safety or health violation |
2010 |
OSHA |
$6,050,000 |
HSBC Finance Corporation et al. |
HSBC |
discriminatory practices (non-employment) |
2010 |
private lawsuit-federal |
$6,050,000 |
Stifel and Nicolaus & Company, Incorporated |
Stifel Financial |
investor protection violation |
2019 |
SEC |
$6,037,175 |
Transamerica Financial Advisors, Inc. |
Aegon |
investor protection violation |
2019 |
SEC |
$6,023,072 |
Santander Bank, National Association |
Banco Santander |
banking violation |
2015 |
OCC |
$6,000,000 |
THE BANK OF NEW YORK MELLON |
Bank of New York Mellon |
banking violation |
2012 |
FED |
$6,000,000 |
Chicago Board Options Exchange |
CBOE Holdings |
investor protection violation |
2013 |
SEC |
$6,000,000 |
Vitol Inc. and Vitol Capital Management Ltd. |
Vitol |
investor protection violation |
2010 |
CFTC |
$6,000,000 |
Citibank N.A. |
Citigroup |
consumer protection violation |
2017 |
CFPB |
$6,000,000 |
Bank of America |
Bank of America |
wage and hour violation |
2017 |
private lawsuit-federal |
$6,000,000 |
PNC Financial Services |
PNC Financial Services |
wage and hour violation |
2016 |
private lawsuit-federal |
$6,000,000 |
TD Bank |
Toronto-Dominion Bank |
wage and hour violation |
2014 |
private lawsuit-federal |
$6,000,000 |
Combined Insurance Company of America |
Chubb Limited |
wage and hour violation |
2010 |
private lawsuit-federal |
$6,000,000 |
New York Life Insurance |
New York Life Insurance |
employment discrimination |
2006 |
private lawsuit-federal |
$6,000,000 |
First Horizon National Corporation |
First Horizon National |
benefit plan administrator violation |
2012 |
private lawsuit-federal |
$6,000,000 |
Fifth Third Bancorp |
Fifth Third Bancorp |
benefit plan administrator violation |
2016 |
private lawsuit-federal |
$6,000,000 |
BB&T Leasing Corporation |
Truist Financial |
consumer protection violation |
2006 |
MULTI-AG |
$6,000,000 |
Countrywide Financial Corp. |
Bank of America |
mortgage abuses |
2009 |
CO-AG |
$6,000,000 |
Encore Capital Group Inc. |
Encore Capital Group |
consumer protection violation |
2018 |
MULTI-AG |
$6,000,000 |
Lender Processing Services, Inc. |
Fidelity National Financial |
mortgage abuses |
2014 |
NV-AG |
$6,000,000 |
TravelersCompanies, Inc. |
Travelers |
price-fixing or anti-competitive practices |
2007 |
MULTI-AG |
$6,000,000 |
Israel Discount Bank of New York |
Israel Discount Bank |
anti-money-laundering deficiencies |
2006 |
NY-DFS |
$6,000,000 |
American Modern Insurance Group Inc. |
Munich Re |
insurance violation |
2015 |
MULTI-FIN |
$6,000,000 |
Principal Life Insurance Company |
Principal Financial |
insurance violation |
2020 |
NY-DFS |
$6,000,000 |
Morgan Stanley |
Morgan Stanley |
wage and hour violation |
2016 |
private lawsuit-federal |
$5,995,000 |
National Union Fire Insurance Co. |
American International Group |
insurance violation |
2013 |
CA-INS |
$5,991,132 |
Transamerica Asset Management, Inc. |
Aegon |
investor protection violation |
2020 |
SEC |
$5,946,782 |
Transamerica Life Insurance Company |
Aegon |
insurance violation |
2019 |
NJ-DBI |
$5,942,519 |
Prudential Securities Incorporated |
Wells Fargo |
investor protection violation |
2000 |
SEC |
$5,880,000 |
Brown & Brown, Inc. |
Brown & Brown |
consumer protection violation |
2006 |
FL-AG |
$5,800,000 |
Wachovia Bank |
Wells Fargo |
wage and hour violation |
2004 |
WHD |
$5,798,744 |
Credit Suisse Securities (USA) LLC |
Credit Suisse |
investor protection violation |
2017 |
SEC |
$5,754,714 |
Nationwide Insurance |
Nationwide |
consumer protection violation |
2015 |
WV-AG |
$5,750,000 |
Progressive Express Insurance Co. et al. |
Progressive |
insurance violation |
2002 |
FL-OFR |
$5,750,000 |
BB&T Securities |
Truist Financial |
investor protection violation |
2019 |
SEC |
$5,709,753 |
JPMorgan Chase |
JPMorgan Chase |
wage and hour violation |
2017 |
private lawsuit-federal |
$5,707,279 |
Deutsche Bank Securities Inc. |
Deutsche Bank |
toxic securities abuses |
2016 |
VA-AG |
$5,621,897 |
Unum Group |
Unum |
kickbacks and bribery |
2008 |
USAO |
$5,550,000 |
ABN AMRO Bank, N.V. |
ABN AMRO |
investor protection violation |
2013 |
SEC |
$5,547,408 |
UBS as successor to Piper Jaffray |
UBS |
wage and hour violation |
2008 |
private lawsuit-federal |
$5,500,000 |
Allstate Insurance Company |
Allstate |
wage and hour violation |
2018 |
private lawsuit-state |
$5,500,000 |
Nationwide Mutual Insurance Company |
Nationwide |
privacy violation |
2017 |
MULTI-AG |
$5,500,000 |
UBS Financial Services Inc. |
UBS |
investor protection violation |
2007 |
CT-SEC |
$5,500,000 |
UBS Global Asset Management |
UBS |
benefit plan administrator violation |
2006 |
private lawsuit-federal |
$5,493,000 |
Stifel Nicolaus & Company, Inc. |
Stifel Financial |
investor protection violation |
2010 |
NJ-BOS |
$5,415,381 |
Wells Fargo Bank N.A., d/b/a Wells Fargo Dealer Services |
Wells Fargo |
Servicemembers Civil Relief Act |
2017 |
DOJ_RIGHTS |
$5,400,000 |
Progressive |
Progressive |
wage and hour violation |
2004 |
private lawsuit-federal |
$5,400,000 |
Santander USA Holdings Inc. |
Banco Santander |
consumer protection violation |
2015 |
MA-AG |
$5,400,000 |
Farmers Insurance Exchange |
Farmers Insurance Exchange |
wage and hour violation |
2020 |
private lawsuit-federal |
$5,400,000 |
Wells Fargo Bank, N.A. and Wells Fargo Insurance, Inc. |
Wells Fargo |
insurance violation |
2019 |
CA-INS |
$5,345,816 |
UBS O'Connor, LLC |
UBS |
investor protection violation |
2013 |
SEC |
$5,297,716 |
American International Group, Inc. |
American International Group |
tax violations |
2006 |
MI-AG |
$5,279,484 |
JPMorgan Chase Bank, N.A. |
JPMorgan Chase |
economic sanction violation |
2018 |
OFAC |
$5,263,171 |
HSBC |
HSBC |
toxic securities abuses |
2012 |
NCUA |
$5,250,000 |
American Express Travel Related Services Company, Inc. |
American Express |
economic sanction violation |
2013 |
OFAC |
$5,226,120 |
Goldman, Sachs & Co. |
Goldman Sachs |
investor protection violation |
2000 |
SEC |
$5,200,000 |
CIT Group Inc. |
CIT |
mortgage abuses |
2018 |
FED |
$5,200,000 |
ING Life Insurance and Annuity Co. |
Voya Financial |
benefit plan administrator violation |
2013 |
EBSA |
$5,200,000 |
National Union Fire Insurance Company |
American International Group |
insurance violation |
2019 |
NY-DFS |
$5,200,000 |
New Day Financial, LLC d/b/a NewDay USA |
New Day Financial LLC |
investor protection violation |
2015 |
MULTI-FIN |
$5,160,000 |
Zurich Life Insurance Company Ltd |
Zurich Insurance |
tax violations |
2019 |
DOJ_TAX |
$5,115,000 |
Wells Fargo Advisors LLC |
Wells Fargo |
investor protection violation |
2018 |
SEC |
$5,108,441 |
Old Republic Title Co. |
Old Republic International |
consumer protection violation |
2002 |
CA-MULTI |
$5,096,963 |
Premier Insurance Company of Massachusetts |
Travelers |
consumer protection violation |
2011 |
MA-AG |
$5,000,386 |
Wells Fargo Advisors LLC |
Wells Fargo |
investor protection violation |
2014 |
SEC |
$5,000,000 |
Morgan Stanley |
Morgan Stanley |
investor protection violation |
2012 |
CFTC |
$5,000,000 |
LavaFlow Inc. |
Citigroup |
investor protection violation |
2014 |
SEC |
$5,000,000 |
New York Stock Exchange |
IntercontinentalExchange Group |
investor protection violation |
2012 |
SEC |
$5,000,000 |
Republic New York Securities Corporation |
HSBC |
investor protection violation |
2001 |
CFTC |
$5,000,000 |
U.S. Trust Corporation |
Bank of America |
banking violation |
2001 |
FED |
$5,000,000 |
SG Cowen Securities Corporation |
Cowen Inc. |
investor protection violation |
2003 |
SEC |
$5,000,000 |
Merrill Lynch, Pierce, Fenner & Smith Incorporated |
Bank of America |
investor protection violation |
2000 |
SEC |
$5,000,000 |
Wells Fargo Home Mortgage |
Wells Fargo |
discriminatory practices (non-employment) |
2014 |
HUD |
$5,000,000 |
First American Title Insurance Company |
First American Financial |
kickbacks and bribery |
2007 |
HUD |
$5,000,000 |
Chicago Title Insurance Company |
Fidelity National Financial |
mortgage abuses |
2005 |
HUD |
$5,000,000 |
State Farm |
State Farm Insurance |
wage and hour violation |
2013 |
private lawsuit-federal |
$5,000,000 |
Credit Suisse Securities (USA) LLC |
Credit Suisse |
investor protection violation |
2018 |
SEC |
$5,000,000 |
LendingClub Asset Management LLC |
LendingClub Corp. |
investor protection violation |
2018 |
SEC |
$5,000,000 |
Teachers Insurance and Annuity Insurance Association of America |
TIAA |
benefit plan administrator violation |
2017 |
private lawsuit-federal |
$5,000,000 |
UNUM Life Insurance Company of America |
Unum |
benefit plan administrator violation |
2010 |
private lawsuit-federal |
$5,000,000 |
Citibank N.A. |
Citigroup |
bankruptcy professional violation |
2018 |
DOJ_UTP |
$5,000,000 |
UBS Financial Services Inc. |
UBS |
investor protection violation |
2018 |
SEC |
$5,000,000 |
UBS Financial Services Inc. |
UBS |
anti-money-laundering deficiencies |
2018 |
FINCEN |
$5,000,000 |