UBS Financial Services | UBS | investor protection violation | 2012 | FINRA | $2,354,584 |
TP ICAP PLC | TP ICAP PLC | price-fixing or anti-competitive practices | 2023 | private lawsuit-federal | $2,375,000 |
Oppenheimer & Co. | Oppenheimer Holdings | wage and hour violation | 2011 | private lawsuit-federal | $2,375,901 |
TIAA-CREF Individual & Institutional Services, LLC | TIAA | investor protection violation | 2019 | SEC | $2,395,722 |
JPMorgan Chase | JPMorgan Chase | wage and hour violation | 2015 | private lawsuit-federal | $2,400,000 |
SunTrust Mortgage | Truist Financial | wage and hour violation | 2012 | private lawsuit-federal | $2,400,000 |
Farmers Insurance Group | Zurich Insurance | consumer protection violation | 2003 | TX-AG | $2,400,000 |
Marsh & McLennan Companies, Inc. | Marsh & McLennan | kickbacks and bribery | 2009 | CT-AG | $2,400,000 |
QBE Insurance | QBE Insurance | consumer protection violation | 2018 | MA-AG | $2,400,000 |
Universal Underwriters Life Insurance Co. | Zurich Insurance | consumer protection violation | 2008 | TX-AG | $2,400,000 |
Western and Southern Life Insurance Company | Western & Southern Financial Group | insurance violation | 2005 | MULTI-FIN | $2,400,000 |
Piper Jaffray & Co. | Piper Sandler | investor protection violation | 2004 | FINRA | $2,400,000 |
Industrial and Commercial Bank of China Ltd. | Industrial and Commercial Bank of China | banking violation | 2024 | FED | $2,400,000 |
Wedbush Securities | Wedbush Securities | investor protection violation | 2014 | SEC | $2,440,000 |
Merrill Lynch, Pierce, Fenner & Smith Incorporated | Bank of America | investor protection violation | 2014 | FINRA | $2,440,000 |
Pacific Life | Pacific Life | insurance violation | 2015 | MULTI-AG | $2,450,000 |
JPMorgan Chase | JPMorgan Chase | consumer protection violation | 2012 | private lawsuit-federal | $2,463,000 |
Chicago Board Options Exchange | CBOE Holdings | price-fixing or anti-competitive practices | 2006 | private lawsuit-federal | $2,468,410 |
Goldman Sachs Execution & Clearing L.P. | Goldman Sachs | price-fixing or anti-competitive practices | 2006 | private lawsuit-federal | $2,468,410 |
Barclays Bank PLC | Barclays | economic sanction violation | 2016 | OFAC | $2,485,890 |
Citigroup Global Markets Inc. | Citigroup | investor protection violation | 2014 | FINRA | $2,488,000 |
M&T Bank Corporation | M&T Bank | wage and hour violation | 2018 | private lawsuit-federal | $2,490,000 |
JPMorgan Chase | JPMorgan Chase | wage and hour violation | 2010 | private lawsuit-federal | $2,492,729 |
U.S. Bancorp | U.S. Bancorp | discriminatory practices (non-employment) | 2005 | private lawsuit-federal | $2,495,000 |
Asset Acceptance LLC | Encore Capital Group | consumer protection violation | 2012 | FTC | $2,500,000 |
Deutsche Bank AG | Deutsche Bank | data submission deficiencies | 2015 | CFTC | $2,500,000 |
E*TRADE Securities | Morgan Stanley | investor protection violation | 2014 | SEC | $2,500,000 |
Scottrade | Charles Schwab Corp. | data submission deficiencies | 2014 | SEC | $2,500,000 |
Morgan Stanley & Co. Incorporated | Morgan Stanley | investor protection violation | 2000 | SEC | $2,500,000 |
RBC Capital Markets LLC | Royal Bank of Canada | investor protection violation | 2016 | SEC | $2,500,000 |
Merrill Lynch | Bank of America | investor protection violation | 2017 | CFTC | $2,500,000 |
Bank of America | Bank of America | investor protection violation | 2017 | USAO | $2,500,000 |
TD Ameritrade | Charles Schwab Corp. | wage and hour violation | 2009 | private lawsuit-federal | $2,500,000 |
Home Loan Center Inc. | LendingTree | wage and hour violation | 2009 | private lawsuit-federal | $2,500,000 |
Bank of America | Bank of America | wage and hour violation | 2007 | private lawsuit-state | $2,500,000 |
Credit Suisse Alternative Capital, LLC and Credit Suisse Asset Management, LLC | UBS | investor protection violation | 2011 | SEC | $2,500,000 |
Bank of Hawaii | Bank of Hawaii | benefit plan administrator violation | 2009 | EBSA | $2,500,000 |
AXA Equitable Life Insurance Company | Equitable Holdings | benefit plan administrator violation | 2011 | private lawsuit-federal | $2,500,000 |
Hanover Insurance Group | Hanover Insurance | consumer protection violation | 2010 | MA-AG | $2,500,000 |
HSBC Securities (USA) Inc. | HSBC | toxic securities abuses | 2016 | VA-AG | $2,500,000 |
Jackson National Life Insurance Co. | Jackson Financial | insurance violation | 2015 | MULTI-AG | $2,500,000 |
Stewart Title Company of California | Stewart Information Services | consumer protection violation | 2002 | CA-AG | $2,500,000 |
Societe Generale International Limited | Societe Generale | investor protection violation | 2019 | CFTC | $2,500,000 |
Ocwen Loan Servicing, LLC | Ocwen Financial | consumer protection violation | 2015 | CA-DFPI | $2,500,000 |
Merrill Lynch, Pierce, Fenner & Smith Inc. | Bank of America | investor protection violation | 2015 | MA-SEC | $2,500,000 |
Transamerica Life Insurance Co. et al. | Aegon | insurance violation | 2014 | MN-FIN | $2,500,000 |
The Lincoln National Life Insurance Co. et al. | Lincoln National | insurance violation | 2014 | MN-FIN | $2,500,000 |
American Family Life Insurance Company of Columbus | Aflac | insurance violation | 2018 | MULTI-FIN | $2,500,000 |
Deutsche Bank Securities Inc. | Deutsche Bank | investor protection violation | 2017 | FINRA | $2,500,000 |
Merrill Lynch | Bank of America | investor protection violation | 2010 | FINRA | $2,500,000 |
SunAmerica Securities, Inc. | American International Group | investor protection violation | 2005 | FINRA | $2,500,000 |
Washington Federal Bank, National Association | Washington Federal Inc. | banking violation | 2021 | OCC | $2,500,000 |
UBS Securities LLC | UBS | investor protection violation | 2022 | FINRA | $2,500,000 |
Stewart Title Guaranty Corporation | Stewart Information Services | price-fixing or anti-competitive practices | 2022 | NY-AG | $2,500,000 |
IBERIABANK Corporation | First Horizon National | consumer protection violation | 2012 | private lawsuit-federal | $2,500,000 |
JPMorgan Chase & Co. | JPMorgan Chase | consumer protection violation | 2020 | private lawsuit-federal | $2,500,000 |
Zions First National Bank | Zions Bancorporation | consumer protection violation | 2014 | private lawsuit-federal | $2,500,000 |
STIFEL, NICOLAUS & COMPANY, INC. | Stifel Financial | investor protection violation | 2023 | MA-SEC | $2,500,000 |
BlackRock Advisors, LLC | BlackRock | investor protection violation | 2023 | SEC | $2,500,000 |
Ameritas Life Insurance Corp. | Ameritas Mutual Holding Company | insurance violation | 2015 | NJ-DBI | $2,524,290 |
Ambac Financial Group, Inc. | Ambac Financial | benefit plan administrator violation | 2012 | private lawsuit-federal | $2,550,000 |
Raymond James Financial Services, Inc. | Raymond James Financial | investor protection violation | 2004 | SEC | $2,595,129 |
Resource Life Insurance Co. | Assurant | consumer protection violation | 2010 | TX-AG | $2,600,000 |
U.S. Bancorp | U.S. Bancorp | consumer protection violation | 2005 | CA-AG | $2,600,000 |
Willis Group Holdings Ltd. | Willis Towers Watson | consumer protection violation | 2007 | FL-AG | $2,600,000 |
Scottrade, Inc. | Charles Schwab Corp. | investor protection violation | 2015 | FINRA | $2,600,000 |
AXA Advisors, LLC | Equitable Holdings | investor protection violation | 2007 | FINRA | $2,600,000 |
MidFirst Bank | MidFirst Bank | consumer protection violation | 2014 | private lawsuit-federal | $2,600,000 |
PNC Bank, National Association | PNC Financial Services | banking violation | 2022 | OCC | $2,614,456 |
New England Securities Corp. | MetLife | investor protection violation | 2006 | SEC | $2,614,865 |
Norddeutsche Landesbank Girozentrale | Norddeutsche Landesbank | employment discrimination | 2008 | private lawsuit-federal | $2,618,600 |
U.S. Bancorp Piper Jaffray Inc. | Piper Sandler | investor protection violation | 2003 | MT-FIN | $2,625,000 |
Merrill Lynch | Bank of America | wage and hour violation | 2016 | private lawsuit-state | $2,645,000 |
Hartford Fire Insurance | Hartford Financial Services | wage and hour violation | 2016 | private lawsuit-federal | $2,650,000 |
Morgan Stanley & Co. | Morgan Stanley | investor protection violation | 2005 | FINRA | $2,650,000 |
U.S. Bank | U.S. Bancorp | privacy violation | 2019 | private lawsuit-federal | $2,670,336 |
Stifel, Nicolaus & Co., Inc. | Stifel Financial | investor protection violation | 2019 | SEC | $2,700,000 |
Allstate Insurance Co. | Allstate | consumer protection violation | 2012 | private lawsuit-federal | $2,727,555 |
National Union Fire Insurance Company of Pittsburgh, Pa. | American International Group | insurance violation | 2012 | MN-FIN | $2,731,385 |
Citigroup Global Markets, Inc | Citigroup | investor protection violation | 2012 | FINRA | $2,741,489 |
Vitol Inc. | Vitol | energy market violation | 2019 | FERC | $2,742,881 |
Convergex Execution Solutions LLC | Toronto-Dominion Bank | data submission deficiencies | 2018 | SEC | $2,750,000 |
PNC Financial Services Group, Inc. | PNC Financial Services | wage and hour violation | 2020 | private lawsuit-federal | $2,750,000 |
LPL Financial, LLC | LPL Financial | investor protection violation | 2018 | FINRA | $2,750,000 |
Raymond James Financial Services Inc. | Raymond James Financial | investor protection violation | 2007 | FINRA | $2,750,000 |
PHH Mortgage Corp. | Ocwen Financial | consumer protection violation | 2023 | private lawsuit-federal | $2,771,068 |
Oppenheimer & Company, Inc. | Oppenheimer Holdings | anti-money-laundering deficiencies | 2005 | FINCEN | $2,800,000 |
Charles Schwab & Co., Inc. | Charles Schwab Corp. | investor protection violation | 2018 | SEC | $2,800,000 |
Countrywide Home Loans | Bank of America | mortgage abuses | 2009 | IN-AG | $2,800,000 |
Oppenheimer Asset Management Inc. and Oppenheimer Alternative Investment Management, LLC | Oppenheimer Holdings | investor protection violation | 2013 | 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. $2,800,000 |
Charles Schwab & Co., Inc. | Charles Schwab Corp. | investor protection violation | 2011 | CT-SEC | $2,800,000 |
J.P. Morgan Securities | JPMorgan Chase | investor protection violation | 2014 | MULTI-FIN | $2,800,000 |
RBC Capital Markets, LLC | Royal Bank of Canada | investor protection violation | 2014 | MULTI-FIN | $2,800,000 |
The Signal, LP, an Assurant Company | Assurant | insurance violation | 2020 | NY-DFS | $2,800,000 |
J.P. Morgan Securities | JPMorgan Chase | investor protection violation | 2017 | FINRA | $2,800,000 |
Merrill Lynch, Pierce, Fenner and Smith Inc. | Bank of America | investor protection violation | 2016 | FINRA | $2,800,000 |
Merrill Lynch, Pierce, Fenner & Smith, Inc. | Bank of America | investor protection violation | 2012 | FINRA | $2,800,000 |
ICAP Corporates LLC | CME Group | investor protection violation | 2009 | FINRA | $2,800,000 |
Bank of America | Bank of America | consumer protection violation | 2014 | HI-AG | $2,825,000 |
Citibank | Citigroup | consumer protection violation | 2014 | HI-AG | $2,825,000 |
Discover Financial Services | Discover Financial Services | consumer protection violation | 2014 | HI-AG | $2,825,000 |