Och-Ziff Capital Management Group LLC | Sculptor Capital Management | Foreign Corrupt Practices Act | 2016 | DOJ_CRIMINAL | $213,000,000 |
JPMorgan Securities | JPMorgan Chase | Foreign Corrupt Practices Act | 2016 | DOJ_CRIMINAL | $72,000,000 |
Nomura Asset Acceptance Corporation and Nomura Home Equity Loan, Inc. | Nomura | toxic securities abuses | 2016 | NCUA | $3,000,000 |
RBC Capital Markets LLC | Royal Bank of Canada | investor protection violation | 2016 | SEC | $2,500,000 |
Raymond James & Associates | Raymond James Financial | investor protection violation | 2016 | SEC | $600,000 |
BOK Financial Corporation | BOK Financial | investor protection violation | 2016 | SEC | $1,667,720 |
Park National Corporation | Park National Corp. | accounting fraud or deficiencies | 2016 | SEC | $500,000 |
Merrill Lynch | Bank of America | investor protection violation | 2016 | SEC | $12,500,000 |
UBS Financial Services | UBS | investor protection violation | 2016 | SEC | $15,025,882 |
Och-Ziff Capital Management Group | Sculptor Capital Management | Foreign Corrupt Practices Act | 2016 | SEC | $199,045,167 |
Credit Suisse AG | UBS | accounting fraud or deficiencies | 2016 | SEC | $90,000,000 |
Deutsche Bank Securities | Deutsche Bank | investor protection violation | 2016 | SEC | $9,500,000 |
Bank Leumi | Bank Leumi | investor protection violation | 2016 | SEC | $1,600,000 |
JPMorgan Chase & Co. | JPMorgan Chase | Foreign Corrupt Practices Act | 2016 | SEC | $130,000,000 |
Stifel, Nicolaus & Co., Inc. | Stifel Financial | investor protection violation | 2016 | SEC | $24,500,000 |
Deutsche Bank | Deutsche Bank | investor protection violation | 2016 | SEC | $18,500,000 |
Morgan Stanley & Co. LLC | Morgan Stanley | investor protection violation | 2016 | SEC | $7,500,000 |
First Tennessee Bank | First Horizon National | discriminatory practices (non-employment) | 2016 | HUD | $1,900,000 |
Ameriprise Financial, Inc. | Ameriprise Financial | employment discrimination | 2016 | OFCCP | $128,200 |
Bank of America | Bank of America | employment discrimination | 2016 | EEOC | $30,000 |
Farmers Insurance Exchange | Farmers Insurance Exchange | employment discrimination | 2016 | EEOC | $225,000 |
Citigroup Technology Inc | Citigroup | wage and hour violation | 2016 | WHD | $1,967,689 |
Univest Corporation of Pennsylvania | Univest Financial | Family and Medical Leave Act | 2016 | WHD | $5,076 |
Wells Fargo Bank, N. A. | Wells Fargo | Family and Medical Leave Act | 2016 | WHD | $11,874 |
Citizens Bank of Pennsylvania | Citizens Financial Group | discriminatory practices (non-employment) | 2016 | HUD | $115,000 |
TIAA-CREF | TIAA | labor relations violation | 2016 | NLRB | $304,216 |
RR Donnelly & Sons Company | Chatham Asset Management | wage and hour violation | 2016 | WHD | $104,981 |
PNC Bank N.A. | PNC Financial Services | False Claims Act and related | 2016 | USAO | $9,500,000 |
Ally Financial Inc. | Ally Financial | toxic securities abuses | 2016 | USAO | $52,000,000 |
BB&T Securities, LLC | Truist Financial | investor protection violation | 2016 | SEC | $200,000 |
WL Ross & Co. LLC | Invesco | investor protection violation | 2016 | SEC | $2,300,000 |
Wells Fargo Bank N.A. Municipal Products Group | Wells Fargo | investor protection violation | 2016 | SEC | $440,000 |
Mitsubishi UFJ Securities (USA), Inc. | Mitsubishi UFJ Financial Group | investor protection violation | 2016 | SEC | $20,000 |
TD Securities (USA) LLC | Toronto-Dominion Bank | investor protection violation | 2016 | SEC | $500,000 |
Hilltop Securities Inc. | Hilltop Holdings | investor protection violation | 2016 | SEC | $360,000 |
Janney Montgomery Scott LLC | Penn Mutual | investor protection violation | 2016 | SEC | $500,000 |
Keybanc Capital Markets Inc. | KeyCorp | investor protection violation | 2016 | SEC | $440,000 |
Barclays Capital Inc. | Barclays | investor protection violation | 2016 | SEC | $500,000 |
Flagstar Bank, FSB | New York Community Bancorp | banking violation | 2016 | OCC | $500,000 |
Wells Fargo Bank, National Association | Wells Fargo | consumer protection violation | 2016 | OCC | $20,000,000 |
First Niagara Bank, National Association | KeyCorp | banking violation | 2016 | OCC | $2,000,000 |
First National Bank of Omaha | First National of Nebraska | banking violation | 2016 | OCC | $3,000,000 |
PNC Financial Services | PNC Financial Services | wage and hour violation | 2016 | private lawsuit-federal | $6,000,000 |
Hartford Fire Insurance | Hartford Financial Services | wage and hour violation | 2016 | private lawsuit-federal | $2,650,000 |
Merrill Lynch | Bank of America | wage and hour violation | 2016 | private lawsuit-state | $2,645,000 |
Bank of America | Bank of America | wage and hour violation | 2016 | private lawsuit-state | $4,000,000 |
HSBC | HSBC | wage and hour violation | 2016 | private lawsuit-federal | $6,982,000 |
BMO Financial | Bank of Montreal | wage and hour violation | 2016 | private lawsuit-federal | $700,000 |
Bank of America | Bank of America | wage and hour violation | 2016 | private lawsuit-federal | $3,250,000 |
PNC Bank | PNC Financial Services | wage and hour violation | 2016 | private lawsuit-federal | $1,500,000 |
Morgan Stanley | Morgan Stanley | wage and hour violation | 2016 | private lawsuit-federal | $5,995,000 |
AXA Advisors | Equitable Holdings | wage and hour violation | 2016 | private lawsuit-federal | $2,300,000 |
Merrill Lynch | Bank of America | wage and hour violation | 2016 | private lawsuit-federal | $14,000,000 |
New York Life | New York Life Insurance | wage and hour violation | 2016 | private lawsuit-federal | $94,818 |
JPMorgan Chase | JPMorgan Chase | wage and hour violation | 2016 | private lawsuit-federal | $950,000 |
Banco Popular | Popular Inc. | wage and hour violation | 2016 | private lawsuit-federal | $50,243 |
Bank of America | Bank of America | wage and hour violation | 2016 | private lawsuit-federal | $36,000,000 |
Bank of America | Bank of America | wage and hour violation | 2016 | private lawsuit-federal | $2,250,000 |
NEOVIA LOGISTICS | Goldman Sachs | aviation safety violation | 2016 | FAA | $35,000 |
Invesco Trust Company | Invesco | benefit plan administrator violation | 2016 | EBSA | $10,270,000 |
Farmers Insurance Exchange | Farmers Insurance Exchange | employment discrimination | 2016 | private lawsuit-federal | $6,140,000 |
Massachusetts Mutual Life Insurance Co. | Massachusetts Mutual Life Insurance | benefit plan administrator violation | 2016 | private lawsuit-federal | $30,900,000 |
State Street Corporation | State Street Corp. | benefit plan administrator violation | 2016 | private lawsuit-federal | $60,000,000 |
Fifth Third Bancorp | Fifth Third Bancorp | benefit plan administrator violation | 2016 | private lawsuit-federal | $6,000,000 |
Transamerica Corporation | Aegon | benefit plan administrator violation | 2016 | private lawsuit-federal | $3,800,000 |
Wells Fargo Bank | Wells Fargo | employment screening violation | 2016 | private lawsuit-federal | $12,000,000 |
Bank of America | Bank of America | fraud | 2016 | DC-AG | $13,000,000 |
Barclays Bank PLC | Barclays | price-fixing or anti-competitive practices | 2016 | MULTI-AG | $100,000,000 |
Barclays Capital Inc. | Barclays | investor protection violation | 2016 | NY-AG | $35,000,000 |
Barclays Capital Inc. | Barclays | toxic securities abuses | 2016 | VA-AG | $9,000,000 |
CashCall and Western Sky | CashCall Inc. | consumer protection violation | 2016 | NC-AG | $9,000,000 |
CashCall, Inc. | CashCall Inc. | consumer protection violation | 2016 | MN-AG | $11,700,000 |
CashCall, Inc., WS Funding, LLC, and Delbert Services Corporation | CashCall Inc. | consumer protection violation | 2016 | CO-AG | $7,384,005 |
Citigroup Global Markets Inc. | Citigroup | toxic securities abuses | 2016 | VA-AG | $4,750,000 |
Countrywide Securities Corporation and Merrill Lynch, Pierce, Fenner & Smith, Inc. | Bank of America | toxic securities abuses | 2016 | VA-AG | $19,500,000 |
Credit Suisse Securities | UBS | investor protection violation | 2016 | NY-AG | $30,000,000 |
Credit Suisse Securities (USA) LLC | UBS | toxic securities abuses | 2016 | VA-AG | $1,200,000 |
Deutsche Bank Securities Inc. | Deutsche Bank | toxic securities abuses | 2016 | VA-AG | $5,621,897 |
Deutsche Bank Securities, Inc. | Deutsche Bank | investor protection violation | 2016 | 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. $37,000,000 |
Ditech Financial, LLC | Ditech Holding Corporation | consumer protection violation | 2016 | MA-AG | $1,400,000 |
Goldman Sachs | Goldman Sachs | toxic securities abuses | 2016 | MULTI-AG | (*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $225,000,000 |
Goldman, Sachs & Co. | Goldman Sachs | toxic securities abuses | 2016 | VA-AG | $2,900,000 |
Great American Life | Massachusetts Mutual Life Insurance | insurance violation | 2016 | MULTI-AG | $400,000 |
Hartford Fire and Casualty Group | Hartford Financial Services | insurance violation | 2016 | MULTI-AG | $2,100,000 |
Healthnow New York | Highmark Inc. | consumer protection violation | 2016 | NY-AG | $60,000 |
Horizon Healthcare Services, Inc. | Horizon Healthcare Services | benefit plan administrator violation | 2016 | private lawsuit-federal | $33,000,000 |
HSBC | HSBC | mortgage abuses | 2016 | MULTI-AG | (*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $59,500,000 |
HSBC | HSBC | consumer protection violation | 2016 | MA-AG | $4,000,000 |
HSBC Securities (USA) Inc. | HSBC | toxic securities abuses | 2016 | VA-AG | $2,500,000 |
Insurance Company of the State of Pennsylvania | American International Group | False Claims Act and related | 2016 | NV-AG | $300,000 |
Morgan Stanley | Morgan Stanley | toxic securities abuses | 2016 | IL-AG | $22,500,000 |
Morgan Stanley | Morgan Stanley | toxic securities abuses | 2016 | NY-AG | $550,000,000 |
Morgan Stanley & Co. LLC | Morgan Stanley | toxic securities abuses | 2016 | VA-AG | $6,900,000 |
PayPal Inc. | PayPal Holdings | privacy violation | 2016 | TX-AG | $175,000 |
QBE Insurance | QBE Insurance | consumer protection violation | 2016 | MA-AG | $375,000 |
RBS Securities Inc. | NatWest Group PLC | toxic securities abuses | 2016 | VA-AG | $10,000,000 |
RBS Securities, Inc. | NatWest Group PLC | toxic securities abuses | 2016 | CT-AG | $120,000,000 |
Societe Generale | Societe Generale | price-fixing or anti-competitive practices | 2016 | MULTI-AG | $26,750,000 |
Standard Insurance Company | Meiji Yasuda Life Insurance | insurance violation | 2016 | MULTI-AG | $277,000 |
State Street Bank and Trust Co. | State Street Corp. | investor protection violation | 2016 | MA-AG | (*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $75,500,000 |
UBS Securities LLC | UBS | toxic securities abuses | 2016 | VA-AG | $850,000 |