Bear, Stearns & Co. Inc. | JPMorgan Chase | investor protection violation | 2003 | SEC | $80,000,000 |
Bear, Stearns & Co. Inc. | JPMorgan Chase | investor protection violation | 2003 | MULTI-FIN | (*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $25,000,000 |
Bear, Stearns & Co. Inc. | JPMorgan Chase | investor protection violation | 2004 | FINRA | $4,950,000 |
Bear, Stearns & Co. Inc. | JPMorgan Chase | investor protection violation | 2004 | FINRA | $280,469 |
Bear, Stearns & Co., Inc. | JPMorgan Chase | investor protection violation | 2006 | SEC | $1,500,000 |
Bear, Stearns & Co., Inc. | JPMorgan Chase | investor protection violation | 2006 | SEC | $250,000,000 |
Bear, Stearns & Co., Inc. | JPMorgan Chase | investor protection violation | 2005 | IL-SEC | $10,000 |
Bear, Stearns & Co., Inc. | JPMorgan Chase | investor protection violation | 2008 | FINRA | $150,000 |
Berkley National Insurance Company | W.R. Berkley | insurance violation | 2016 | TX-INS | $8,000 |
Berkley National Insurance Company | W.R. Berkley | insurance violation | 2018 | WA-INS | $10,000 |
Berkshire Life Insurance Company of America | Guardian Life Insurance | insurance violation | 2019 | CT-INS | $7,500 |
Berthel Fisher & Company | Berthel Fisher | investor protection violation | 2003 | MN-FIN | $10,000 |
Berthel Fisher & Company Financial Services, Inc | Berthel Fisher | investor protection violation | 2019 | NH-BSR | $415,407 |
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 & Company Financial Services, Inc. | Berthel Fisher | investor protection violation | 2014 | FINRA | $775,000 |
Berthel Fisher & Company Financial Services, Inc. | Berthel Fisher | investor protection violation | 2021 | SEC | $389,425 |
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 |
BGC Financial LP | BGC Partners | price-fixing or anti-competitive practices | 2019 | NY-AG | $7,500,000 |
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 |
BGC Partners, Inc. | BGC Partners | investor protection violation | 2020 | SEC | $1,400,000 |
Big Cajun 2 - Louisiana Generating LLC | Macquarie | environmental violation | 2005 | EPA | $19,250 |
Binance Holdings Limited | Binance Holdings | anti-money-laundering deficiencies | 2023 | DOJ_NATSEC | $4,316,126,163 |
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 |
Binance Holdings Limited, | Binance Holdings | anti-money-laundering deficiencies | 2023 | FINCEN | (*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $3,400,000,000 |
Binance Holdings, Ltd | Binance Holdings | economic sanction violation | 2023 | OFAC | (*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $968,618,825 |
BlackRock Advisors LLC | BlackRock | investor protection violation | 2015 | SEC | $12,000,000 |
BlackRock Advisors, LLC | BlackRock | investor protection violation | 2023 | SEC | $2,500,000 |
Blackrock Fund Advisors | BlackRock | investor protection violation | 2017 | SEC | $1,500,000 |
BlackRock Inc. | BlackRock | investor protection violation | 2017 | SEC | $340,000 |
BlackRock Institutional Trust Company | BlackRock | investor protection violation | 2014 | SEC | $1,675,350 |
BlackRock Institutional Trust Company NA | BlackRock | investor protection violation | 2012 | CFTC | $250,000 |
BlackRock Institutional Trust Company, N.A. | BlackRock | benefit plan administrator violation | 2021 | private lawsuit-federal | $9,650,000 |
BMO Capital Markets Corp | Bank of Montreal | investor protection violation | 2023 | SEC | $25,000,000 |
BMO Capital Markets Corp. | Bank of Montreal | investor protection violation | 2019 | SEC | $1,950,000 |
BMO Capital Markets Corp. | Bank of Montreal | investor protection violation | 2008 | FINRA | $150,000 |
BMO Capital Markets Corporation | Bank of Montreal | investor protection violation | 2019 | SEC | $3,946,000 |
BMO Capital Markets GKST Inc. | Piper Sandler | investor protection violation | 2015 | SEC | $250,000 |
BMO Financial | Bank of Montreal | wage and hour violation | 2016 | private lawsuit-federal | $700,000 |
BMO Financial | Bank of Montreal | wage and hour violation | 2015 | private lawsuit-federal | $3,900,000 |
BMO Harris | Bank of Montreal | consumer protection violation | 2013 | private lawsuit-federal | $9,400,000 |
BMO Harris | Bank of Montreal | consumer protection violation | 2013 | private lawsuit-federal | $4,000,000 |
BMO Harris Bank | Bank of Montreal | employment discrimination | 2013 | EEOC | $400,000 |
BMO Harris Bank N.A. | Bank of Montreal | Family and Medical Leave Act | 2015 | WHD | $11,304 |
BMO Harris Bank, N.A. | Bank of Montreal | fraud | 2018 | USAO | $10,000,000 |
BMO Harris Financial Advisors Inc. and BMO Asset Management Corp. | Bank of Montreal | investor protection violation | 2019 | SEC | $37,980,000 |
BNP Paribas | BNP Paribas | False Claims Act and related | 2014 | DOJ_CIVIL | $80,000,000 |
BNP Paribas | BNP Paribas | economic sanction violation | 2014 | NY-DFS | (*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $2,240,000,000 |
BNP Paribas | BNP Paribas | investor protection violation | 2022 | CFTC | $6,000,000 |
BNP Paribas | BNP Paribas | investor protection violation | 2023 | CFTC | $75,000,000 |
BNP Paribas (Suisse) SA | BNP Paribas | tax violations | 2015 | DOJ_TAX | $59,783,000 |
BNP Paribas Commodity Futures, Ltd. | BNP Paribas | data submission deficiencies | 2008 | CFTC | $25,000 |
BNP Paribas Group | BNP Paribas | price-fixing or anti-competitive practices | 2018 | private lawsuit-federal | $115,000,000 |
BNP Paribas S.A. | BNP Paribas | economic sanction violation | 2015 | DOJ_CRIMINAL | $8,973,600,000 |
BNP Paribas S.A. | BNP Paribas | price-fixing or anti-competitive practices | 2017 | FED | $246,000,000 |
BNP Paribas S.A. | BNP Paribas | economic sanction violation | 2014 | NY-MANDA | (*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $2,243,400,000 |
BNP Paribas S.A. | BNP Paribas | price-fixing or anti-competitive practices | 2017 | NY-DFS | $350,000,000 |
BNP Paribas SA | BNP Paribas | price-fixing or anti-competitive practices | 2018 | private lawsuit-federal | $33,500,000 |
BNP Paribas SA | BNP Paribas | price-fixing or anti-competitive practices | 2022 | private lawsuit-federal | $8,000,000 |
BNP Paribas Securities | BNP Paribas | investor protection violation | 2015 | CFTC | $140,000 |
BNP Paribas Securities Corp. | BNP Paribas | price-fixing or anti-competitive practices | 2018 | CFTC | $90,000,000 |
BNP Paribas Securities Corp. | BNP Paribas | investor protection violation | 2020 | SEC | $250,000 |
BNP Paribas Securities Corp. | BNP Paribas | price-fixing or anti-competitive practices | 2020 | private lawsuit-federal | $20,833,333 |
BNP Paribas Securities Corp. | BNP Paribas | investor protection violation | 2023 | SEC | $35,000,000 |
BNP Paribas Securities Corp. and BNP Paribas Prime Brokerage, Inc. | BNP Paribas | anti-money-laundering deficiencies | 2019 | FINRA | $15,000,000 |
BNP Paribas USA Inc. | BNP Paribas | price-fixing or anti-competitive practices | 2018 | DOJ_ANTITRUST | $90,000,000 |
BNP Paribas, S.A. | BNP Paribas | price-fixing or anti-competitive practices | 2022 | private lawsuit-federal | $7,000,000 |
BNP ParibasSA | BNP Paribas | price-fixing or anti-competitive practices | 2016 | private lawsuit-federal | $155,333,333 |
BNY Mellon | Bank of New York Mellon | Foreign Corrupt Practices Act | 2015 | SEC | $14,800,000 |
BNY Mellon | Bank of New York Mellon | investor protection violation | 2017 | SEC | $6,600,000 |
BNY Mellon | Bank of New York Mellon | consumer protection violation | 2019 | private lawsuit-federal | $10,000,000 |
BNY Mellon Capital Markets LLC | Bank of New York Mellon | investor protection violation | 2011 | TX-SEC | $500,000 |
BNY Mellon Capital Markets LLC | Bank of New York Mellon | investor protection violation | 2022 | SEC | $956,833 |
BNY Mellon Capital Markets, LLC | Bank of New York Mellon | investor protection violation | 2015 | SEC | $120,000 |
BNY Mellon Capital Markets, LLC | Bank of New York Mellon | investor protection violation | 2008 | FINRA | $250,000 |
BNY Mellon Investment Adviser, Inc. | Bank of New York Mellon | investor protection violation | 2022 | SEC | $1,500,000 |
BNY Mellon Securities LLC | Bank of New York Mellon | investor protection violation | 2011 | SEC | $24,045,447 |
BNY Mellon Shareowner Services | Bank of New York Mellon | investor protection violation | 2010 | MA-AG | $30,000 |
BofA Securities Inc. and Merrill Lynch, Pierce, Fenner & Smith Inc. | Bank of America | investor protection violation | 2022 | SEC | $125,000,000 |
BofA Securities, Inc. | Bank of America | investor protection violation | 2022 | FINRA | $5,000,000 |
BofA Securities, Inc. | Bank of America | investor protection violation | 2023 | FINRA | $24,000,000 |
BOK Financial Corporation | BOK Financial | investor protection violation | 2016 | SEC | $1,667,720 |
BOK Financial Corporation dba the Bank of Albuquerque | BOK Financial | employment discrimination | 2014 | EEOC | $230,000 |
Bok Financial Securities, Inc. | BOK Financial | investor protection violation | 2019 | SEC | $197,801 |
BOK Financial Securities, Inc. | BOK Financial | insurance violation | 2020 | CA-INS | $5,000 |
BOWNE & COMPANY, INC. | Chatham Asset Management | workplace safety or health violation | 2006 | OSHA | $5,250 |
BOYD CORPORATION | Goldman Sachs | workplace safety or health violation | 2019 | OSHA | $6,300 |
BOYD CORPORATION | Goldman Sachs | workplace safety or health violation | 2022 | OSHA | $14,917 |
Branch Banking & Trust Co. | Truist Financial | economic sanction violation | 2014 | OFAC | $19,125 |
Branch Banking & Trust Co. | Truist Financial | consumer protection violation | 2017 | private lawsuit-federal | $3,350,000 |
Branch Banking & Trust Company (BB&T) | Truist Financial | False Claims Act and related | 2016 | DOJ_CIVIL | $83,000,000 |
Branch Banking & Trust Corporation | Truist Financial | campaign finance violation | 2001 | FEC | $22,000 |
Branch Banking and Trust (BB&T) | Truist Financial | employment discrimination | 2010 | EEOC | $24,000 |
Branch Banking and Trust Company | Truist Financial | wage and hour violation | 2011 | WHD | $12,314 |
Branch Banking and Trust Company | Truist Financial | investor protection violation | 2016 | SC-SEC | $97,500 |
Bristol West Casualty Insurance Co. | Zurich Insurance | insurance violation | 2017 | MN-FIN | $20,000 |