BNP Paribas Securities Corp. | BNP Paribas | investor protection violation | 2020 | SEC | $250,000 |
BNP Paribas Securities Corp. and BNP Paribas Prime Brokerage, Inc. | BNP Paribas | anti-money-laundering deficiencies | 2019 | FINRA | $15,000,000 |
BNP Paribas | BNP Paribas | investor protection violation | 2022 | CFTC | $6,000,000 |
BNP Paribas Group | BNP Paribas | price-fixing or anti-competitive practices | 2018 | private lawsuit-federal | $115,000,000 |
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 Corp. | BNP Paribas | price-fixing or anti-competitive practices | 2020 | private lawsuit-federal | $20,833,333 |
BNP ParibasSA | BNP Paribas | price-fixing or anti-competitive practices | 2016 | private lawsuit-federal | $155,333,333 |
BNP Paribas, S.A. | BNP Paribas | price-fixing or anti-competitive practices | 2022 | private lawsuit-federal | $7,000,000 |
BNP Paribas | BNP Paribas | investor protection violation | 2023 | CFTC | $75,000,000 |
BNP Paribas Securities Corp. | BNP Paribas | investor protection violation | 2023 | SEC | $35,000,000 |
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 |
Comenity Bank and Comenity Capital Bank | Bread Financial Holdings | banking violation | 2015 | FDIC | $63,950,000 |
Alliance Data Systems, Inc. | Bread Financial Holdings | wage and hour violation | 2003 | WHD | $40,320 |
New England Life Insurance Co. | Brighthouse Financial | insurance violation | 2006 | CO-INS | $32,000 |
New England Life Insurance Company | Brighthouse Financial | insurance violation | 2005 | MA-INS | $13,000 |
NEW ENGLAND LIFE INSURANCE CO. | Brighthouse Financial | insurance violation | 2002 | VA-INS | $9,000 |
BROADRIDGE FINANCIAL SOLUTIONS INC | Broadridge Financial Solutions | environmental violation | 2008 | NJ-ENV | $6,500 |
BROADRIDGE FINANCIAL SOLUTIONS | Broadridge Financial Solutions | workplace safety or health violation | 2018 | OSHA | $15,522 |
BROADRIDGE FINANCIAL SOLUTIONS, INC. | Broadridge Financial Solutions | workplace safety or health violation | 2019 | OSHA | $8,335 |
Brown & Brown | Brown & Brown | employment discrimination | 2017 | EEOC | $100,000 |
Brown & Brown Insurance of Arizona, Inc. | Brown & Brown | tax violations | 2014 | CT-AG | $37,650 |
Brown & Brown, Inc. | Brown & Brown | consumer protection violation | 2006 | FL-AG | $5,800,000 |
Pacific Resources Benefits Advisors, LLC | Brown & Brown | tax violations | 2014 | CT-AG | $5,400 |
Brown & Brown of Washington, Inc. | Brown & Brown | insurance violation | 2012 | AK-INS | $30,000 |
Brown & Brown Insurance Agency of Virginia, Inc. | Brown & Brown | insurance violation | 2006 | VA-INS | $5,000 |
Brown & Brown Insurance Agency of Virginia, Inc. | Brown & Brown | insurance violation | 2014 | NC-INS | $7,500 |
Brown Brothers Harriman & Co. | Brown Brothers Harriman | investor protection violation | 2014 | SEC | $120,000 |
Brown Brothers Harriman & Co. | Brown Brothers Harriman | anti-money-laundering deficiencies | 2014 | FINRA | $8,000,000 |
BancorpSouth Bank | Cadence Bank | mortgage abuses | 2016 | CFPB | $10,600,000 |
BANCORPSOUTH BANK | Cadence Bank | banking violation | 2011 | FDIC | $46,500 |
Cadence Bank N.A. | Cadence Bank | discriminatory practices (non-employment) | 2021 | DOJ_RIGHTS | $5,545,000 |
Cadence Bank, National Association | Cadence Bank | banking violation | 2021 | OCC | $3,000,000 |
Cadence Bank | Cadence Bank | banking violation | 2022 | FDIC | $320,500 |
BancorpSouth Bank | Cadence Bank | consumer protection violation | 2016 | private lawsuit-federal | $24,000,000 |
Canadian Imperial Bank of Commerce | Canadian Imperial Bank of Commerce | investor protection violation | 2005 | SEC | $125,000,000 |
Canadian Imperial Bank of Commerce | Canadian Imperial Bank of Commerce | accounting fraud or deficiencies | 2003 | SEC | $80,000,000 |
CIBC World Markets Corporation | Canadian Imperial Bank of Commerce | investor protection violation | 2005 | SEC | $496,598 |
Canadian Imperial Bank of Commerce | Canadian Imperial Bank of Commerce | investor protection violation | 2005 | NY-AG | (*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $125,000,000 |
CIBC World Markets Corp. | Canadian Imperial Bank of Commerce | investor protection violation | 2008 | FINRA | $350,000 |
CIBC World Markets Corp. | Canadian Imperial Bank of Commerce | investor protection violation | 2008 | FINRA | $200,000 |
CIBC World Markets Corp. | Canadian Imperial Bank of Commerce | investor protection violation | 2005 | FINRA | $40,000 |
Cantor Fitzgerald | Cantor Fitzgerald | investor protection violation | 2012 | CFTC | $700,000 |
Cantor Fitzgerald & Co. | Cantor Fitzgerald | investor protection violation | 2011 | CFTC | $100,000 |
Cantor Fitzgerald & Co. | Cantor Fitzgerald | investor protection violation | 2018 | SEC | $1,250,000 |
Cantor Fitzgerald & Co. | Cantor Fitzgerald | investor protection violation | 2019 | SEC | $647,000 |
Cantor Fitzgerald & Co. | Cantor Fitzgerald | investor protection violation | 2020 | SEC | $3,200,000 |
Cantor Fitzgerald & Co. | Cantor Fitzgerald | investor protection violation | 2019 | FINRA | $2,000,000 |
Cantor Fitzgerald & Co. | Cantor Fitzgerald | investor protection violation | 2015 | FINRA | $7,300,000 |
Cantor Fitzgerald | Cantor Fitzgerald | investor protection violation | 2022 | CFTC | $6,000,000 |
Cantor Fitzgerald & Co. | Cantor Fitzgerald | investor protection violation | 2022 | SEC | $10,000,000 |
Cantor Fitzgerald & Co. | Cantor Fitzgerald | price-fixing or anti-competitive practices | 2020 | private lawsuit-federal | $20,833,333 |
Cantor Fitzgerald & Co. | Cantor Fitzgerald | investor protection violation | 2023 | SEC | $1,400,000 |
Capital City Bank | Capital City Bank Group | banking violation | 2007 | FED | $85,045 |
Capital City Mortgage Corporation | Capital City Bank Group | consumer protection violation | 2005 | FTC | $750,000 |
Capital One Bank (U.S.A.), N.A. | Capital One Financial | consumer protection violation | 2012 | CFPB | $165,000,000 |
Capital One, National Association | Capital One Financial | banking violation | 2014 | OCC | $4,000,000 |
Capital One Bank (USA), National Association | Capital One Financial | banking violation | 2012 | OCC | $35,000,000 |
Capital One Financial Corporation | Capital One Financial | accounting fraud or deficiencies | 2013 | SEC | $3,500,000 |
Chevy Chase Bank F.S.B. | Capital One Financial | mortgage abuses | 2013 | DOJ_RIGHTS | $2,850,000 |
Capital One N.A. | Capital One Financial | consumer protection violation | 2012 | DOJ_RIGHTS | $12,000,000 |
Capital One, National Association | Capital One Financial | banking violation | 2009 | OCC | $125,000 |
Capital One | Capital One Financial | wage and hour violation | 2015 | private lawsuit-federal | $3,000,000 |
Capital One | Capital One Financial | wage and hour violation | 2012 | private lawsuit-federal | $3,200,000 |
Capital One Bank (USA), National Association | Capital One Financial | anti-money-laundering deficiencies | 2018 | OCC | $100,000,000 |
Capital One Bank (USA) N.A. | Capital One Financial | bankruptcy professional violation | 2011 | DOJ_UTP | $2,350,000 |
Capital One | Capital One Financial | consumer protection violation | 2015 | MO-AG | $740,000 |
Capital One Bank | Capital One Financial | banking violation | 2005 | WI-AG | $80,032 |
Capital One Bank (USA), National Association | Capital One Financial | banking violation | 2020 | OCC | $80,000,000 |
Capital One | Capital One Financial | privacy violation | 2015 | private lawsuit-federal | $73,000,000 |
Capital One, National Association | Capital One Financial | anti-money-laundering deficiencies | 2021 | FINCEN | $290,000,000 |
CAPITAL ONE NATIONAL ASSOCIATION | Capital One Financial | environmental violation | 2010 | TX-ENV | $8,400 |
Capital One Bank | Capital One Financial | discriminatory practices (non-employment) | 2022 | DOJ_RIGHTS | $49,728 |
Capital One Bank | Capital One Financial | privacy violation | 2022 | private lawsuit-federal | $95,000,000 |
Capital One, N.A. | Capital One Financial | consumer protection violation | 2022 | CA-MULTI | $2,000,000 |
Capital One Financial Corp. | Capital One Financial | consumer protection violation | 2019 | private lawsuit-federal | $900,000 |
Capital One N.A. | Capital One Financial | consumer protection violation | 2021 | private lawsuit-federal | $13,000,000 |
Capital One N.A. | Capital One Financial | consumer protection violation | 2015 | private lawsuit-federal | $7,334,000 |
Capital One N.A. | Capital One Financial | consumer protection violation | 2015 | private lawsuit-federal | $31,767,200 |
Capital One N.A. | Capital One Financial | consumer protection violation | 2014 | private lawsuit-federal | $20,350,000 |
Capital One N.A. | Capital One Financial | consumer protection violation | 2014 | private lawsuit-federal | $3,062,400 |
Capital One N.A. | Capital One Financial | consumer protection violation | 2013 | private lawsuit-federal | $10,000,000 |
Capital One, N.A. | Capital One Financial | consumer protection violation | 2015 | private lawsuit-federal | $4,724,638 |
CashCall and Western Sky | CashCall Inc. | consumer protection violation | 2016 | NC-AG | $9,000,000 |
CashCall Inc. | CashCall Inc. | consumer protection violation | 2014 | IA-AG | $1,500,000 |
CashCall Inc. | CashCall Inc. | consumer protection violation | 2015 | WV-AG | $13,000,000 |
CashCall Inc., WS Funding | CashCall Inc. | consumer protection violation | 2017 | DC-AG | $2,962,573 |
CashCall, Inc. | CashCall Inc. | consumer protection violation | 2016 | MN-AG | $11,700,000 |
CashCall, Inc. | CashCall Inc. | consumer protection violation | 2017 | VA-AG | $15,335,000 |
CashCall, Inc., WS Funding, LLC, and Delbert Services Corporation | CashCall Inc. | consumer protection violation | 2016 | CO-AG | $7,384,005 |
Western Sky Financial LLC, CashCall, Inc., WS Funding, LLC and Delbert Services Corp. | CashCall Inc. | consumer protection violation | 2016 | IN-AG | $1,000,000 |
Western Sky Financial, CashCall Inc. and WS Funding | CashCall Inc. | consumer protection violation | 2016 | AR-AG | $750,000 |
Western Sky Financial, LLC | CashCall Inc. | consumer protection violation | 2014 | NY-AG | $1,500,000 |
Western Sky Financial, LLC and CashCall, Inc. | CashCall Inc. | consumer protection violation | 2015 | MI-AG | $24,700,000 |
Western Sky Financial, LLC et al. | CashCall Inc. | consumer protection violation | 2014 | CO-AG | $565,000 |
Western Sky Financial, LLC, CashCall, Inc. | CashCall Inc. | consumer protection violation | 2017 | GA-AG | $42,000,000 |
Western Sky Financial, LLC, WS Funding, LLC, CashCall, Inc., Delbert Services Corp. | CashCall Inc. | consumer protection violation | 2015 | MA-AG | $259,115 |
CashCall, Inc. | CashCall Inc. | payday lending violation | 2017 | AZ-DIFI | $250,000 |