Raymond James and Associates Inc. | Raymond James Financial | investor protection violation | 2016 | VT-FIN | $4,200,000 |
Citibank | Citigroup | consumer protection violation | 2021 | MULTI-AG | $4,200,000 |
Prospect Mortgage Company LLC | Homebridge Financial Services | mortgage abuses | 2017 | USAO | $4,157,000 |
Litton Loan Servicing LP | Ocwen Financial | consumer protection violation | 2016 | private lawsuit-federal | $4,121,000 |
Wells Fargo Bank N.A. | Wells Fargo | consumer protection violation | 2016 | DOJ_RIGHTS | $4,100,000 |
Bank of America | Bank of America | wage and hour violation | 2003 | private lawsuit-state | $4,100,000 |
Louis Dreyfus Energy Services | Louis Dreyfus | False Claims Act and related | 2012 | DOJ_CIVIL | $4,084,000 |
IMPERIAL SUGAR COMPANY; IMPERIAL-SAVANNAH, L.P. | Louis Dreyfus | workplace safety or health violation | 2008 | OSHA | $4,050,000 |
Wells Fargo Bank | Wells Fargo | False Claims Act and related | 2008 | USAO | $4,046,786 |
Nasdaq, Inc. | Nasdaq Inc. | economic sanction violation | 2023 | OFAC | $4,040,923 |
Wells Fargo Bank | Wells Fargo | consumer protection violation | 2016 | CFPB | $4,010,000 |
Wells Fargo Bank, National Association | Wells Fargo | banking violation | 2015 | OCC | $4,000,000 |
Capital One, National Association | Capital One Financial | banking violation | 2014 | OCC | $4,000,000 |
J.P. Morgan Securities LLC | JPMorgan Chase | investor protection violation | 2016 | SEC | $4,000,000 |
Morgan Stanley & Co. LLC | Morgan Stanley | investor protection violation | 2014 | SEC | $4,000,000 |
Bank of America | Bank of America | wage and hour violation | 2016 | private lawsuit-state | $4,000,000 |
Fifth Third Bank | Fifth Third Bancorp | wage and hour violation | 2014 | private lawsuit-federal | $4,000,000 |
Wells Fargo Advisors | Wells Fargo | wage and hour violation | 2013 | private lawsuit-federal | $4,000,000 |
Aon Corp. | Aon | consumer protection violation | 2008 | FL-AG | $4,000,000 |
HSBC | HSBC | consumer protection violation | 2016 | MA-AG | $4,000,000 |
H&R Block | H&R Block | consumer protection violation | 2002 | NY-NYCDCWP | $4,000,000 |
Wells Fargo Bank | Wells Fargo | consumer protection violation | 2015 | NY-DFS | $4,000,000 |
Asurion Insurance Services, Inc. and Asurion Protection Services LLC | Asurion | insurance violation | 2020 | NY-DFS | $4,000,000 |
Bankers Life and Casualty Company | CNO Financial | insurance violation | 2012 | MULTI-FIN | $4,000,000 |
Life Insurance Company of Georgia and Southland Life Insurance Company | Prudential PLC | insurance violation | 2002 | MULTI-FIN | $4,000,000 |
Merrill Lynch, Pierce, Fenner & Smith Incorporated | Bank of America | investor protection violation | 2019 | FINRA | $4,000,000 |
Wells Fargo Securities, LLC and Wells Fargo Prime Services, LLC | Wells Fargo | investor protection violation | 2016 | FINRA | $4,000,000 |
Deutsche Bank Securities Inc. | Deutsche Bank | investor protection violation | 2014 | FINRA | $4,000,000 |
Merrill Lynch, Pierce, Fenner & Smith Inc. | Bank of America | investor protection violation | 2014 | FINRA | $4,000,000 |
Morgan Stanley & Co., LLC | Morgan Stanley | investor protection violation | 2014 | FINRA | $4,000,000 |
Wells Fargo Securities, LLC | Wells Fargo | investor protection violation | 2014 | FINRA | $4,000,000 |
Friedman, Billings, Ramsey & Co., Inc. | Arlington Asset Investment Corp. | investor protection violation | 2006 | FINRA | $4,000,000 |
MML Investors Services, LLC | Massachusetts Mutual Life Insurance | investor protection violation | 2021 | MA-SEC | $4,000,000 |
Trustmark National Bank | Trustmark | banking violation | 2021 | OCC | $4,000,000 |
Goldman Sachs Asset Management, L.P. | Goldman Sachs | investor protection violation | 2022 | SEC | $4,000,000 |
American Express Bank FSB | American Express | consumer protection violation | 2016 | private lawsuit-federal | $4,000,000 |
BMO Harris | Bank of Montreal | consumer protection violation | 2013 | private lawsuit-federal | $4,000,000 |
Washington Mutual | JPMorgan Chase | consumer protection violation | 2012 | private lawsuit-federal | $4,000,000 |
M&T Bank | M&T Bank | consumer protection violation | 2015 | private lawsuit-federal | $4,000,000 |
PayPal, Inc. | PayPal Holdings | consumer protection violation | 2017 | private lawsuit-federal | $4,000,000 |
J.P. Morgan Securities LLC | JPMorgan Chase | investor protection violation | 2023 | SEC | $4,000,000 |
AllianceBernstein Investment Research and Management, Inc. | Equitable Holdings | investor protection violation | 2005 | FINRA | $3,984,087 |
Navient | Navient | consumer protection violation | 2022 | ID-AG | $3,972,316 |
BMO Capital Markets Corporation | Bank of Montreal | investor protection violation | 2019 | SEC | $3,946,000 |
American Express Centurion Bank | American Express | banking violation | 2012 | FDIC | $3,900,000 |
Wells Fargo | Wells Fargo | wage and hour violation | 2017 | private lawsuit-federal | $3,900,000 |
BMO Financial | Bank of Montreal | wage and hour violation | 2015 | private lawsuit-federal | $3,900,000 |
Arthur J. Gallagher | Arthur J. Gallagher & Co. | wage and hour violation | 2011 | private lawsuit-federal | $3,900,000 |
Synovus Financial Corp. | Synovus Financial | consumer protection violation | 2015 | private lawsuit-federal | $3,900,000 |
RBC Capital Markets LLC | Royal Bank of Canada | investor protection violation | 2020 | SEC | $3,889,007 |
Santander Consumer USA Holdings, Inc. | Banco Santander | consumer protection violation | 2017 | DE-AG | $3,875,000 |
A.G. Edwards & Sons, Inc. | Wells Fargo | investor protection violation | 2007 | SEC | $3,860,000 |
Chase Bank | JPMorgan Chase | consumer protection violation | 2006 | MULTI-AG | $3,850,000 |
El Paso Electric | JPMorgan Chase | environmental violation | 2015 | EPA | $3,800,000 |
Charles Schwab | Charles Schwab Corp. | wage and hour violation | 2014 | private lawsuit-federal | $3,800,000 |
Transamerica Corporation | Aegon | benefit plan administrator violation | 2016 | private lawsuit-federal | $3,800,000 |
UBS Securities LLC and UBS Financial Services, Inc | UBS | investor protection violation | 2011 | NJ-AG | $3,790,487 |
Friedman, Billings, Ramsey & Co., Inc. | Arlington Asset Investment Corp. | insider trading | 2006 | SEC | $3,755,839 |
JPMorgan Chase Bank, N.A. | JPMorgan Chase | wage and hour violation | 2020 | private lawsuit-federal | $3,750,000 |
Oppenheimer & Co. Inc. | Oppenheimer Holdings | investor protection violation | 2015 | FINRA | $3,750,000 |
Barclays Capital Inc. | Barclays | investor protection violation | 2013 | FINRA | $3,750,000 |
Fidelity Distributors Corp. et al. | Fidelity Investments | investor protection violation | 2007 | FINRA | $3,750,000 |
American International Group Inc. | American International Group | price-fixing or anti-competitive practices | 2012 | private lawsuit-federal | $3,727,272 |
Aon Corporation | Aon | price-fixing or anti-competitive practices | 2012 | private lawsuit-federal | $3,727,272 |
Crum & Forster Holdings Corp. | Fairfax Financial Holdings | price-fixing or anti-competitive practices | 2012 | private lawsuit-federal | $3,727,272 |
Fireman's Fund Insurance Corp. | Allianz | price-fixing or anti-competitive practices | 2012 | private lawsuit-federal | $3,727,272 |
Hartford Fire Insurance Co. | Hartford Financial Services | price-fixing or anti-competitive practices | 2012 | private lawsuit-federal | $3,727,272 |
Liberty Mutual Holding Co. Inc. | Liberty Mutual Insurance | price-fixing or anti-competitive practices | 2012 | private lawsuit-federal | $3,727,272 |
Travelers Companies Inc. | Travelers | price-fixing or anti-competitive practices | 2012 | private lawsuit-federal | $3,727,272 |
Willis Group Holdings Ltd. | Willis Towers Watson | price-fixing or anti-competitive practices | 2012 | private lawsuit-federal | $3,727,272 |
American Express Financial Advisors Inc. | Ameriprise Financial | investor protection violation | 2004 | SEC | $3,706,693 |
Ocwen Financial Corp. | Ocwen Financial | mortgage abuses | 2014 | MA-AG | $3,700,000 |
Santander | Banco Santander | consumer protection violation | 2021 | MS-AG | $3,700,000 |
Susquehanna Bank | Truist Financial | consumer protection violation | 2014 | private lawsuit-federal | $3,680,000 |
Bank of America, NA | Bank of America | discriminatory practices (non-employment) | 2005 | private lawsuit-federal | $3,670,000 |
Stifel, Nicolaus & Company, Incorporated | Stifel Financial | investor protection violation | 2020 | FINRA | $3,650,000 |
Gerber Life Insurance Co. | Western & Southern Financial Group | insurance violation | 2020 | NC-INS | $3,635,665 |
Flagstar Bank, FSB | New York Community Bancorp | banking violation | 2021 | OCC | $3,620,000 |
American Express Centurion Bank | American Express | banking violation | 2013 | FDIC | $3,600,000 |
Citizens Republic Bancorp Inc. | Huntington Bancshares | banking violation | 2011 | DOJ_RIGHTS | $3,600,000 |
ZB N.A. (fka Zions First National Bank) | Zions Bancorporation | consumer protection violation | 2017 | USAO | $3,600,000 |
Voya Holdings Inc. | Voya Financial | investor protection violation | 2018 | SEC | $3,600,000 |
Morgan Stanley Smith Barney | Morgan Stanley | investor protection violation | 2018 | SEC | $3,600,000 |
Student Loan Xpress, Inc. | First Citizens BancShares | consumer protection violation | 2010 | KY-AG | $3,600,000 |
Chase Investment Services Corporation | JPMorgan Chase | investor protection violation | 2011 | FINRA | $3,600,000 |
Navient Corp. and Navient Solutions, LLC | Navient | consumer protection violation | 2022 | NH-AG | $3,590,988 |
Citigroup | Citigroup | wage and hour violation | 2006 | private lawsuit-federal | $3,550,000 |
Oppenheimer & Co. Inc. and Oppenheimer Asset Management Inc. | Oppenheimer Holdings | investor protection violation | 2019 | SEC | $3,528,377 |
Wells Fargo Bank N.A. | Wells Fargo | discriminatory practices (non-employment) | 2011 | private lawsuit-state | $3,520,000 |
Cole Taylor Bank | Fifth Third Bancorp | banking violation | 2014 | FED | $3,510,000 |
Capital One Financial Corporation | Capital One Financial | accounting fraud or deficiencies | 2013 | SEC | $3,500,000 |
Assurant Inc. | Assurant | accounting fraud or deficiencies | 2010 | SEC | $3,500,000 |
Prospect Mortgage, LLC | Homebridge Financial Services | consumer protection violation | 2017 | CFPB | $3,500,000 |
PNC Financial Services Group | PNC Financial Services | mortgage abuses | 2018 | FED | $3,500,000 |
Wells Fargo Advisors, LLC | Wells Fargo | anti-money-laundering deficiencies | 2017 | SEC | $3,500,000 |
UBS Financial Services, Inc. | UBS | investor protection violation | 2017 | SEC | $3,500,000 |
Wells Fargo Advisors | Wells Fargo | wage and hour violation | 2017 | private lawsuit-federal | $3,500,000 |
KeyBank | KeyCorp | wage and hour violation | 2014 | private lawsuit-federal | $3,500,000 |
Union Bank | U.S. Bancorp | wage and hour violation | 2012 | private lawsuit-federal | $3,500,000 |
United Community Banks, Inc. | United Community Banks Inc. | benefit plan administrator violation | 2013 | private lawsuit-federal | $3,500,000 |
ING Groep N.V. | Voya Financial | benefit plan administrator violation | 2013 | private lawsuit-federal | $3,500,000 |