Nyrstar Clarksville | Trafigura | environmental violation | 2019 | TN-ENV | $622,389 |
JPMorgan Chase | JPMorgan Chase | benefit plan administrator violation | 2019 | private lawsuit-federal | $75,000,000 |
Oppenheimer & Co. Inc. | Oppenheimer Holdings | investor protection violation | 2019 | FINRA | $4,600,000 |
Citigroup Global Markets Inc. | Citigroup | investor protection violation | 2019 | FINRA | $280,000 |
J.P. Morgan Securities LLC | JPMorgan Chase | investor protection violation | 2019 | FINRA | $280,000 |
LPL Financial LLC | LPL Financial | investor protection violation | 2019 | FINRA | $280,000 |
Morgan Stanley Smith Barney LLC | Morgan Stanley | investor protection violation | 2019 | FINRA | $280,000 |
Merrill Lynch, Pierce, Fenner & Smith Incorporated | Bank of America | investor protection violation | 2019 | FINRA | $280,000 |
Credit Suisse Securities (USA) LLC | Credit Suisse | investor protection violation | 2019 | FINRA | $6,500,000 |
Robinhood Financial, LLC | Robinhood Markets | investor protection violation | 2019 | FINRA | $1,250,000 |
Merrill Lynch, Pierce, Fenner & Smith Incorporated | Bank of America | investor protection violation | 2019 | FINRA | $4,000,000 |
Raymond James & Associates, Inc. and Raymond James Financial Services, Inc. | Raymond James Financial | investor protection violation | 2019 | FINRA | $8,000,000 |
BNP Paribas Securities Corp. and BNP Paribas Prime Brokerage, Inc. | BNP Paribas | anti-money-laundering deficiencies | 2019 | FINRA | $15,000,000 |
UBS Financial Services Inc. | UBS | investor protection violation | 2019 | FINRA | $2,000,000 |
J.P. Morgan Securities LLC | JPMorgan Chase | investor protection violation | 2019 | FINRA | $1,100,000 |
Citigroup Global Markets Inc. | Citigroup | investor protection violation | 2019 | FINRA | $1,250,000 |
AXA Advisors, LLC | Equitable Holdings | investor protection violation | 2019 | FINRA | $772,000 |
Cantor Fitzgerald & Co. | Cantor Fitzgerald | investor protection violation | 2019 | FINRA | $2,000,000 |
Buckeye Terminals LLC-Macungie | IFM Investors | railroad safety violation | 2019 | FRA | $5,000 |
JP Morgan Chase Bank, NA | JPMorgan Chase | employment discrimination | 2019 | CA-DFEH | $60,000 |
Franklin Resources, Inc. | Franklin Resources | benefit plan administrator violation | 2019 | private lawsuit-federal | $13,850,000 |
SYNAGRO-WWT, INC. | Goldman Sachs | workplace safety or health violation | 2019 | OSHA | $8,525 |
BROADRIDGE FINANCIAL SOLUTIONS, INC. | Broadridge Financial Solutions | workplace safety or health violation | 2019 | OSHA | $8,335 |
BOYD CORPORATION | Goldman Sachs | workplace safety or health violation | 2019 | OSHA | $6,300 |
BUCKEYE PARTNERS, L.P. | IFM Investors | workplace safety or health violation | 2019 | OSHA | $13,500 |
WHEELABRATOR CONCORD INC. | Macquarie | workplace safety or health violation | 2019 | OSHA | $7,100 |
WHEELABRATOR NORTH ANDOVER | Macquarie | workplace safety or health violation | 2019 | OSHA | $7,500 |
Nyrstar Gordonsville, LLC | Trafigura | workplace safety or health violation | 2019 | MSHA | $7,401 |
Nyrstar Tennessee Mines, Strawberry Plains LLC | Trafigura | workplace safety or health violation | 2019 | MSHA | $5,776 |
Nyrstar Gordonsville, LLC | Trafigura | workplace safety or health violation | 2019 | MSHA | $11,041 |
Nyrstar Gordonsville, LLC | Trafigura | workplace safety or health violation | 2019 | MSHA | $36,151 |
Nyrstar Gordonsville, LLC | Trafigura | workplace safety or health violation | 2019 | MSHA | $8,016 |
Nyrstar Gordonsville, LLC | Trafigura | workplace safety or health violation | 2019 | MSHA | $72,600 |
LOUIS DREYFUS COMPANY AGRICULTURAL INDUSTRIES | Louis Dreyfus | environmental violation | 2019 | EPA | $155,806 |
Wells Fargo & Company | Wells Fargo | wage and hour violation | 2020 | private lawsuit-federal | $35,000,000 |
PNC Financial Services Group, Inc. | PNC Financial Services | wage and hour violation | 2020 | private lawsuit-federal | $2,750,000 |
Blue Shield of California Promise Health Plan | California Physicians' Service | Medicare Parts C and D Enforcement Action | 2020 | CMS | $148,506 |
M&T Bank | M&T Bank | employment discrimination | 2020 | EEOC | $100,000 |
Jackson National Life Insurance Company | Jackson Financial | employment discrimination | 2020 | EEOC | $20,500,000 |
Glacier Bank | Glacier Bancorp | banking violation | 2020 | FDIC | $16,750 |
Wells Fargo & Company | Wells Fargo | fraud | 2020 | DOJ_CIVIL | $3,000,000,000 |
Union Bancaire Privee, UBP SA | Union Bancaire Privee | tax violations | 2020 | DOJ_TAX | $14,000,000 |
Citibank, N.A. | Citigroup | banking violation | 2020 | OCC | $17,998,510 |
Wells Fargo Clearing Services and Wells Fargo Advisors Financial Network | Wells Fargo | investor protection violation | 2020 | SEC | $35,000,000 |
Wells Fargo & Co. | Wells Fargo | investor protection violation | 2020 | SEC | (*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $500,000,000 |
ABN AMRO Clearing Chicago LLC | ABN AMRO | investor protection violation | 2020 | SEC | $586,000 |
J.P. Morgan Securities LLC | JPMorgan Chase | investor protection violation | 2020 | SEC | $1,822,438 |
LendingClub Corporation | LendingClub Corp. | consumer protection violation | 2020 | MA-AG | $1,250,000 |
Wilmington Trust, N.A. | M&T Bank | benefit plan administrator violation | 2020 | EBSA | $88,000,000 |
American Security Insurance Company | Assurant | employment discrimination | 2020 | EEOC | $49,000 |
East West Bank | East West Bancorp | banking violation | 2020 | FED | $129,108 |
Bank Hapoalim B.M, | Bank Hapoalim | tax violations | 2020 | FED | $37,350,000 |
Guaranteed Rate Inc. | Guaranteed Rate Inc. | False Claims Act and related | 2020 | DOJ_CIVIL | $15,060,000 |
Bank Hapoalim B.M. | Bank Hapoalim | anti-money-laundering deficiencies | 2020 | DOJ_CRIMINAL | $30,063,317 |
Bank Hapoalim B.M. and Bank Hapoalim (Switzerland) Ltd. | Bank Hapoalim | tax violations | 2020 | DOJ_TAX | $616,910,000 |
Industrial Bank of Korea | Industrial Bank of Korea | anti-money-laundering deficiencies | 2020 | USAO | $51,000,000 |
Buckeye Partners, LP | IFM Investors | environmental violation | 2020 | PHMSA | $209,002 |
U.S. Bancorp Investments, Inc. | U.S. Bancorp | investor protection violation | 2020 | SEC | $15,992,441 |
Morgan Stanley Smith Barney LLC | Morgan Stanley | investor protection violation | 2020 | SEC | $5,000,000 |
RBC Capital Markets LLC | Royal Bank of Canada | investor protection violation | 2020 | SEC | $3,889,007 |
Merrill Lynch, Pierce and Fenner & Smith, Incorporated | Bank of America | investor protection violation | 2020 | SEC | $325,376 |
Cantor Fitzgerald & Co. | Cantor Fitzgerald | investor protection violation | 2020 | SEC | $3,200,000 |
HSBC Securities (USA) Inc. | HSBC | investor protection violation | 2020 | SEC | $725,000 |
Santander Consumer USA Inc. | Banco Santander | consumer protection violation | 2020 | MULTI-AG | $550,000,000 |
American General Life Insurance Company | American International Group | insurance violation | 2020 | MA-AG | $363,000 |
Securian Financial Services, Inc. | Securian Financial | investor protection violation | 2020 | AK-DBS | $10,000 |
Solium Financial Services LLC | Morgan Stanley | investor protection violation | 2020 | AK-DBS | $10,527 |
Solium Financial Services LLC | Morgan Stanley | investor protection violation | 2020 | AL-SEC | $18,874 |
American Family Connect Property and Casualty Insurance Company | American Family Insurance | insurance violation | 2020 | AZ-DIFI | $50,000 |
Solium Financial Services LLC | Morgan Stanley | investor protection violation | 2020 | CA-DFPI | $52,047 |
Societe Generale Financial Corporation | Societe Generale | banking violation | 2020 | CA-DFPI | $10,250 |
Harleysville Insurance Co. | Nationwide | insurance violation | 2020 | CT-INS | $49,000 |
Allstate Indemnity Co. | Allstate | insurance violation | 2020 | CT-INS | $7,500 |
Solium Financial Services LLC | Morgan Stanley | investor protection violation | 2020 | CT-SEC | $51,136 |
American Bankers Insurance Company of Florida | Assurant | insurance violation | 2020 | CT-INS | $198,000 |
Hartford Underwriters Insurance Co. et al. | Hartford Financial Services | insurance violation | 2020 | DE-INS | $34,000 |
The Travelers Indemnity Company of America et al. | Travelers | insurance violation | 2020 | DE-INS | $6,000 |
Solium Financial Services LLC | Morgan Stanley | investor protection violation | 2020 | GA-SEC | $22,104 |
Solium Financial Services, LLC | Morgan Stanley | investor protection violation | 2020 | IA-INS | $10,147 |
Solium Financial Services LLC | Morgan Stanley | investor protection violation | 2020 | IN-SEC | $15,575 |
J.P. Morgan Securities LLC | JPMorgan Chase | investor protection violation | 2020 | KY-FIN | $325,000 |
Farmers Insurance Exchange | Farmers Insurance Exchange | insurance violation | 2020 | MD-INS | $90,000 |
First American Title Insurance Co. | First American Financial | insurance violation | 2020 | MD-INS | $52,000 |
National Union Fire Insurance Company of Pittsburgh, Pennsylvania et al. | American International Group | insurance violation | 2020 | MD-INS | $20,000 |
Solium Financial Services, LLC | Morgan Stanley | investor protection violation | 2020 | ME-SEC | $5,000 |
Raymond James & Associates, Inc. | Raymond James Financial | investor protection violation | 2020 | MI-SEC | $50,000 |
Liberty Insurance Corporation | Liberty Mutual Insurance | insurance violation | 2020 | MN-FIN | $15,000 |
Horace Mann Insurance Co. | Horace Mann Educators Corp. | insurance violation | 2020 | MN-FIN | $5,000 |
Progressive Casualty Insurance Company | Progressive | insurance violation | 2020 | MN-FIN | $5,000 |
Solium Financial Services LLC | Morgan Stanley | investor protection violation | 2020 | MO-SEC | $9,130 |
Great Plains Specialty Finance, Inc. dba Check 'n Go | CNG Financial | consumer protection violation | 2020 | NE-DBF | $9,700 |
Solium Financial Services LLC | Morgan Stanley | investor protection violation | 2020 | NH-BSR | $90,000 |
Asurion Insurance Services, Inc. and Asurion Protection Services LLC | Asurion | insurance violation | 2020 | NY-DFS | $4,000,000 |
Lincoln Life & Annuity Company of New York | Lincoln National | insurance violation | 2020 | NY-DFS | $193,166 |
MassMutual Life Insurance Company | Massachusetts Mutual Life Insurance | insurance violation | 2020 | NY-DFS | $1,399,708 |
Pacific Life & Annuity Company | Pacific Life | insurance violation | 2020 | NY-DFS | $425,533 |
Industrial Bank of Korea | Industrial Bank of Korea | anti-money-laundering deficiencies | 2020 | NY-DFS | $35,000,000 |
Bank Hapoalim B.M. | Bank Hapoalim | tax violations | 2020 | NY-DFS | $220,000,000 |
Great Plains Specialty Finance Inc. dba Check 'N Go | CNG Financial | consumer protection violation | 2020 | OK-DCC | $27,500 |
Solium Financial Services LLC | Morgan Stanley | investor protection violation | 2020 | OK-SEC | $9,968 |
Solium Financial Services LLC | Morgan Stanley | investor protection violation | 2020 | OR-FIN | $10,599 |