MBNA |
Bank of America |
environmental violation |
2002 |
DE-ENV |
$225,000 |
HANOVER INSURANCE GROUP |
Hanover Insurance |
environmental violation |
2002 |
MA-ENV |
$10,000 |
American Express Financial Advisors Inc. |
Ameriprise Financial |
investor protection violation |
2002 |
FINRA |
$350,000 |
Deutsche Bank Securities Inc. |
Deutsche Bank |
investor protection violation |
2002 |
FINRA |
(*) $1,650,000 |
Goldman, Sachs & Co. |
Goldman Sachs |
investor protection violation |
2002 |
FINRA |
(*) $1,650,000 |
Morgan Stanley & Co. Incorporated |
Morgan Stanley |
investor protection violation |
2002 |
FINRA |
(*) $1,650,000 |
Salomon Smith Barney Inc. |
Morgan Stanley |
investor protection violation |
2002 |
FINRA |
(*) $1,650,000 |
U.S. Bancorp Piper Jaffray Inc. |
Piper Sandler |
investor protection violation |
2002 |
FINRA |
(*) $1,650,000 |
Salomon Smith Barney |
Morgan Stanley |
investor protection violation |
2002 |
FINRA |
$5,000,000 |
U.S. Bancorp Piper Jaffray |
Piper Sandler |
investor protection violation |
2002 |
FINRA |
$250,000 |
Interactive Brokers, L.L.C. |
Interactive Brokers Group |
investor protection violation |
2002 |
FINRA |
$230,000 |
Credit Suisse First Boston Corporation |
Credit Suisse |
investor protection violation |
2002 |
FINRA |
(*) $50,000,000 |
Knight Securities L.P. |
Virtu Financial |
investor protection violation |
2002 |
FINRA |
$1,500,000 |
First American Financial Corp. |
First American Financial |
environmental violation |
2002 |
CA-SCAQMD |
$6,500 |
R.R. DONNELLEY & SONS COMPANY |
Chatham Asset Management |
workplace safety or health violation |
2002 |
OSHA |
$55,000 |
ALLSTATE |
Allstate |
workplace safety or health violation |
2002 |
OSHA |
$69,500 |
VITOL SA, INC |
Vitol |
environmental violation |
2002 |
EPA |
$95,000 |
Morgan Stanley Capital Group, Inc. |
Morgan Stanley |
environmental violation |
2002 |
EPA |
$7,500 |
A.G. Edwards & Sons, Inc. |
Wells Fargo |
data submission deficiencies |
2003 |
CFTC |
$45,000 |
Cleco Corporation |
Macquarie |
energy market violation |
2003 |
FERC |
$2,850,000 |
Crawford Healthcare Management of Norfolk & Baltimore |
Crawford & Co. |
fraud |
2003 |
DOJ_CRIMINAL |
$8,000,000 |
PNC ICLC Corp. |
PNC Financial Services |
accounting fraud or deficiencies |
2003 |
DOJ_CRIMINAL |
$115,000,000 |
Bank of America |
Bank of America |
economic sanction violation |
2003 |
OFAC |
$158,038 |
Bank of New York |
Bank of New York Mellon |
economic sanction violation |
2003 |
OFAC |
$24,750 |
Barclays Bank PLC |
Barclays |
economic sanction violation |
2003 |
OFAC |
$10,107 |
Credit Lyonnais, NY |
Credit Agricole |
economic sanction violation |
2003 |
OFAC |
$5,500 |
Deutsche Bank A.G. |
Deutsche Bank |
economic sanction violation |
2003 |
OFAC |
$5,500 |
Guy Carpenter & Company, Inc |
Marsh & McLennan |
economic sanction violation |
2003 |
OFAC |
$50,000 |
HSBC Bank USA |
HSBC |
economic sanction violation |
2003 |
OFAC |
$5,500 |
HSBC Bank USA |
HSBC |
economic sanction violation |
2003 |
OFAC |
$11,000 |
National City Bank |
PNC Financial Services |
economic sanction violation |
2003 |
OFAC |
$5,500 |
Northern Trust, IBC |
Northern Trust |
economic sanction violation |
2003 |
OFAC |
$18,027 |
Societe Generale |
Societe Generale |
economic sanction violation |
2003 |
OFAC |
$6,600 |
Societe Generale |
Societe Generale |
economic sanction violation |
2003 |
OFAC |
$11,000 |
State Street Bank & Trust Co |
State Street Corp. |
economic sanction violation |
2003 |
OFAC |
$22,000 |
UBS (USA) Inc |
UBS |
economic sanction violation |
2003 |
OFAC |
$14,750 |
UBS (USA) Inc |
UBS |
economic sanction violation |
2003 |
OFAC |
$5,000 |
Union Bank of CA |
Mitsubishi UFJ Financial Group |
economic sanction violation |
2003 |
OFAC |
$14,913 |
Union Bank of CA |
Mitsubishi UFJ Financial Group |
economic sanction violation |
2003 |
OFAC |
$12,000 |
Wells Fargo Bank |
Wells Fargo |
economic sanction violation |
2003 |
OFAC |
$5,500 |
National City Bank |
PNC Financial Services |
banking violation |
2003 |
OCC |
$56,800 |
Canadian Imperial Bank of Commerce |
Canadian Imperial Bank of Commerce |
accounting fraud or deficiencies |
2003 |
SEC |
$80,000,000 |
Alliance Capital Management L.P. |
Equitable Holdings |
investor protection violation |
2003 |
SEC |
$250,000,000 |
Morgan Stanley DW Inc. |
Morgan Stanley |
investor protection violation |
2003 |
SEC |
$50,000,000 |
J.P. Morgan Securities Inc. |
JPMorgan Chase |
investor protection violation |
2003 |
SEC |
$25,000,000 |
American International Group, Inc. |
American International Group |
accounting fraud or deficiencies |
2003 |
SEC |
$10,000,000 |
Goldman Sachs |
Goldman Sachs |
investor protection violation |
2003 |
SEC |
$9,305,382 |
Massachusetts Financial Services Company |
Sun Life Financial |
investor protection violation |
2003 |
SEC |
$917,858 |
UBS PaineWebber, Inc. |
UBS |
investor protection violation |
2003 |
SEC |
$500,000 |
Deutsche Asset Management, Inc. |
Deutsche Bank |
investor protection violation |
2003 |
SEC |
$750,000 |
Lehman Brothers, Inc. |
Lehman Brothers |
investor protection violation |
2003 |
SEC |
$2,500,000 |
SG Cowen Securities Corporation |
Cowen Inc. |
investor protection violation |
2003 |
SEC |
$5,000,000 |
Citigroup, Inc. |
Citigroup |
accounting fraud or deficiencies |
2003 |
SEC |
$101,000,000 |
Citigroup, Inc. |
Citigroup |
accounting fraud or deficiencies |
2003 |
SEC |
$19,000,000 |
J.P. Morgan Chase & Co. |
JPMorgan Chase |
accounting fraud or deficiencies |
2003 |
SEC |
$135,000,000 |
Prudential Securities, Inc. |
Wells Fargo |
investor protection violation |
2003 |
SEC |
$382,000 |
Bear, Stearns & Co. Inc. |
JPMorgan Chase |
investor protection violation |
2003 |
SEC |
$80,000,000 |
Citigroup Global Markets Inc. f/k/a Salomon Smith Barney Inc. |
Citigroup |
investor protection violation |
2003 |
SEC |
$400,000,000 |
Credit Suisse First Boston LLC |
Credit Suisse |
investor protection violation |
2003 |
SEC |
$200,000,000 |
Goldman, Sachs & Co. |
Goldman Sachs |
investor protection violation |
2003 |
SEC |
$110,000,000 |
J.P. Morgan Securities Inc. |
JPMorgan Chase |
investor protection violation |
2003 |
SEC |
$80,000,000 |
Lehman Brothers Inc. |
Lehman Brothers |
investor protection violation |
2003 |
SEC |
$80,000,000 |
Merrill Lynch, Pierce, Fenner & Smith, Incorporated |
Bank of America |
investor protection violation |
2003 |
SEC |
$200,000,000 |
Morgan Stanley & Co. Incorporated |
Morgan Stanley |
investor protection violation |
2003 |
SEC |
$125,000,000 |
U.S. Bancorp Piper Jaffray Inc. |
Piper Sandler |
investor protection violation |
2003 |
SEC |
$32,500,000 |
UBS Warburg LLC |
UBS |
investor protection violation |
2003 |
SEC |
$80,000,000 |
Merrill Lynch & Co. Inc. |
Bank of America |
accounting fraud or deficiencies |
2003 |
SEC |
$80,000,000 |
Cleco Corporation |
Macquarie |
energy market violation |
2003 |
FERC |
$2,850,000 |
Allied Home Mortgage Capital Corporation |
Americus Mortgage |
consumer protection violation |
2003 |
HUD |
$370,000 |
Household International |
HSBC |
wage and hour violation |
2003 |
WHD |
$54,328 |
Bear Stearns Companies Inc. |
JPMorgan Chase |
wage and hour violation |
2003 |
WHD |
$358,974 |
Alliance Data Systems, Inc. |
Bread Financial Holdings |
wage and hour violation |
2003 |
WHD |
$40,320 |
Piccari Press, Inc. |
Chatham Asset Management |
labor relations violation |
2003 |
NLRB |
$10,000 |
Banco Popular de Puerto Rico |
Popular Inc. |
anti-money-laundering deficiencies |
2003 |
DOJ_CRIMINAL |
$21,600,000 |
Credit Lyonnais |
Credit Agricole |
fraud |
2003 |
USAO |
$100,000,000 |
H & R Block |
H&R Block |
wage and hour violation |
2003 |
CA-LCO |
$12,000 |
Bank of America |
Bank of America |
wage and hour violation |
2003 |
private lawsuit-state |
$4,100,000 |
Metropolitan Life |
MetLife |
employment discrimination |
2003 |
private lawsuit-federal |
$10,000,000 |
R.R. Donnelley & Sons |
Chatham Asset Management |
employment discrimination |
2003 |
private lawsuit-federal |
$15,000,000 |
Brut, LLC |
Nasdaq Inc. |
investor protection violation |
2003 |
SEC |
$45,000 |
Spear, Leeds & Kellogg, L.P. |
Goldman Sachs |
investor protection violation |
2003 |
SEC |
$450,000 |
Providian Financial Corp. |
JPMorgan Chase |
benefit plan administrator violation |
2003 |
private lawsuit-federal |
$8,600,000 |
Alliance Capital Management |
Equitable Holdings |
investor protection violation |
2003 |
NY-AG |
(*) $600,000,000 |
Allstate |
Allstate |
consumer protection violation |
2003 |
TX-AG |
$3,440,000 |
Allstate Insurance Co. |
Allstate |
privacy violation |
2003 |
PA-AG |
$10,000 |
American Express Co. |
American Express |
consumer protection violation |
2003 |
NY-AG |
$3,285,000 |
Bankers Life and Casualty Co. |
CNO Financial |
privacy violation |
2003 |
KS-AG |
$15,000 |
Farmers Insurance Group |
Zurich Insurance |
consumer protection violation |
2003 |
TX-AG |
$2,400,000 |
First Niagara Bank |
KeyCorp |
consumer protection violation |
2003 |
NY-AG |
$33,500 |
H&R Block |
H&R Block |
consumer protection violation |
2003 |
MULTI-AG |
$3,300,000 |
United American Insurance Co. |
Globe Life Inc. |
consumer protection violation |
2003 |
CT-AG |
$45,000 |
US Bank NA |
U.S. Bancorp |
consumer protection violation |
2003 |
NY-AG |
$33,500 |
USAA Federal Savings Bank |
USAA |
consumer protection violation |
2003 |
NY-AG |
$33,500 |
Wells Fargo Financial Bank |
Wells Fargo |
consumer protection violation |
2003 |
NY-AG |
$33,500 |
Citigroup, Inc. |
Citigroup |
accounting fraud or deficiencies |
2003 |
NY-MANDA |
$25,000,000 |
J.P. Morgan Chase & Co. |
JPMorgan Chase |
accounting fraud or deficiencies |
2003 |
NY-MANDA |
$25,000,000 |
Wells Fargo Home Mortgage, Inc. |
Wells Fargo |
consumer protection violation |
2003 |
CA-SCCDA |
$25,000 |
Wells Fargo Financial Texas, Inc. |
Wells Fargo |
employment discrimination |
2003 |
EEOC |
$110,000 |
Edward D. Jones and Co.,LP |
Jones Financial |
investor protection violation |
2003 |
AK-DBS |
$11,000 |
Federal Insurance Co. et al. |
Chubb Limited |
insurance violation |
2003 |
CA-INS |
$403,652 |
State Farm Mutual Automobile Insurance Co. |
State Farm Insurance |
insurance violation |
2003 |
CA-INS |
$250,000 |