Bank of America, National Association |
Bank of America |
banking violation |
2015 |
OCC |
$30,000,000 |
Ameriprise Financial, Inc. |
Ameriprise Financial |
investor protection violation |
2005 |
SEC |
$30,000,000 |
Deutsche Bank AG and Deutsche Bank Securities Inc. |
Deutsche Bank |
investor protection violation |
2018 |
CFTC |
$30,000,000 |
Countrywide Financial |
Bank of America |
wage and hour violation |
2005 |
private lawsuit-state |
$30,000,000 |
Wachovia National Bank, N.A. |
Wells Fargo |
benefit plan administrator violation |
2000 |
EBSA |
$30,000,000 |
Bank of America, N.A. |
Bank of America |
interest rate benchmark manipulation |
2018 |
CFTC |
$30,000,000 |
Liberty Mutual Retirement Benefit Plan |
Liberty Mutual Insurance |
benefit plan administrator violation |
2018 |
private lawsuit-federal |
$30,000,000 |
Credit Suisse Securities |
Credit Suisse |
investor protection violation |
2016 |
NY-AG |
$30,000,000 |
Citibank, N.A. |
Citigroup |
banking violation |
2019 |
OCC |
$30,000,000 |
Citigroup Global Markets Inc. |
Citigroup |
investor protection violation |
2013 |
MA-SEC |
$30,000,000 |
Natixis Funding Corp. |
Natixis |
price-fixing or anti-competitive practices |
2016 |
MULTI-AG |
$29,950,000 |
Wilmington Trust N.A. |
M&T Bank |
benefit plan administrator violation |
2017 |
private lawsuit-federal |
$29,773,250 |
Credit Suisse Group AG |
Credit Suisse |
Foreign Corrupt Practices Act |
2018 |
SEC |
$29,700,000 |
Walter Investment Management Corp. |
Ditech Holding Corporation |
False Claims Act and related |
2015 |
DOJ_CIVIL |
$29,630,000 |
U.S. Bank National Association |
U.S. Bancorp |
mortgage abuses |
2020 |
DOJ_UTP |
$29,000,000 |
CitiFinancial Servicing and CitiMortgage, Inc. |
Citigroup |
consumer protection violation |
2017 |
CFPB |
$28,800,000 |
Deutsche Bank Securities Inc. |
Deutsche Bank |
investor protection violation |
2005 |
MULTI-FIN |
(*) $28,750,000 |
Navy Federal Credit Union |
Navy Federal Credit Union |
consumer protection violation |
2016 |
CFPB |
$28,500,000 |
Option One Mortgage Corporation |
Ocwen Financial |
toxic securities abuses |
2012 |
SEC |
$28,200,000 |
Morgan Stanley Mortgage Capital Holdings |
Morgan Stanley |
toxic securities abuses |
2011 |
NV-AG |
$28,200,000 |
Bear Stearns Companies, LLC |
JPMorgan Chase |
mortgage abuses |
2008 |
FTC |
$28,000,000 |
TCF National Bank |
TCF Financial Corp. |
consumer protection violation |
2018 |
CFPB |
$28,000,000 |
Bank of New York Mellon |
Bank of New York Mellon |
investor protection violation |
2013 |
FL-AG |
$28,000,000 |
PHH Mortgage Corporation |
Ocwen Financial |
mortgage abuses |
2016 |
NY-DFS |
$28,000,000 |
Coutts & Co Ltd. |
Royal Bank of Scotland |
tax violations |
2019 |
DOJ_TAX |
$27,900,000 |
Wells Fargo |
Wells Fargo |
wage and hour violation |
2018 |
private lawsuit-state |
$27,500,000 |
National City Mortgage |
PNC Financial Services |
wage and hour violation |
2008 |
private lawsuit-federal |
$27,500,000 |
Ameriprise Financial, Inc. |
Ameriprise Financial |
benefit plan administrator violation |
2015 |
private lawsuit-federal |
$27,500,000 |
Chemoil Corporation |
Glencore |
environmental violation |
2016 |
EPA |
$27,000,000 |
Banco Bilbao Vizcaya Argentaria, S.A. |
Banco Bilbao Vizcaya Argentaria |
banking violation |
2016 |
FED |
$27,000,000 |
Arthur J. Gallagher & Co. |
Arthur J. Gallagher & Co. |
consumer protection violation |
2005 |
IL-AG |
$27,000,000 |
Bank of Louisville |
Truist Financial |
investor protection violation |
2002 |
KY-INS |
$27,000,000 |
CHEMOIL CORPORATION |
Glencore |
environmental violation |
2016 |
EPA |
(*) $27,000,000 |
HSBC Securities |
HSBC |
mortgage abuses |
2018 |
MA-AG |
$26,800,000 |
Societe Generale |
Societe Generale |
price-fixing or anti-competitive practices |
2016 |
MULTI-AG |
$26,750,000 |
UBS Financial Services Inc. of Puerto Rico |
UBS |
investor protection violation |
2012 |
SEC |
$26,600,000 |
Merrill Lynch |
Bank of America |
investor protection violation |
2010 |
MULTI-FIN |
$26,563,094 |
Nomura Securities International Inc. |
Nomura |
investor protection violation |
2019 |
SEC |
$26,400,000 |
PaineWebber Incorporated |
UBS |
investor protection violation |
2000 |
SEC |
$26,200,000 |
Banc of America Securities LLC |
Bank of America |
fraud |
2007 |
SEC |
$26,000,000 |
LPL Financial LLC |
LPL Financial |
investor protection violation |
2018 |
MULTI-FIN |
$26,000,000 |
Merrill Lynch Pierce Fenner & Smith Inc. |
Bank of America |
investor protection violation |
2012 |
IL-SEC |
$25,930,000 |
LPL Financial LLC |
LPL Financial |
investor protection violation |
2019 |
MULTI-AG |
$25,848,000 |
Wells Fargo Bank, N.A. |
Wells Fargo |
wage and hour violation |
2020 |
private lawsuit-federal |
$25,696,122 |
Prudential Insurance Company of America |
Prudential Financial |
insurance violation |
2001 |
NJ-DBI |
$25,100,000 |
PayPal Inc. |
PayPal Holdings |
consumer protection violation |
2015 |
CFPB |
$25,000,000 |
Bank of America, National Association |
Bank of America |
banking violation |
2014 |
OCC |
$25,000,000 |
American International Group, Inc. |
American International Group |
accounting fraud or deficiencies |
2006 |
DOJ_CRIMINAL |
$25,000,000 |
Riggs Bank National Association |
PNC Financial Services |
anti-money-laundering deficiencies |
2004 |
OCC |
$25,000,000 |
ICAP plc |
ICAP |
investor protection violation |
2009 |
SEC |
$25,000,000 |
Zurich Financial Services |
Zurich Insurance |
accounting fraud or deficiencies |
2008 |
SEC |
$25,000,000 |
The BISYS Group |
Citigroup |
accounting fraud or deficiencies |
2007 |
SEC |
$25,000,000 |
Doral Financial Corporation |
Doral Financial |
accounting fraud or deficiencies |
2006 |
SEC |
$25,000,000 |
J.P. Morgan Securities Inc. |
JPMorgan Chase |
investor protection violation |
2003 |
SEC |
$25,000,000 |
Citigroup Global Markets Inc. |
Citigroup |
investor protection violation |
2017 |
CFTC |
$25,000,000 |
Merrill Lynch, Pierce, Fenner & Smith Incorporated |
Bank of America |
benefit plan administrator violation |
2017 |
private lawsuit-federal |
$25,000,000 |
Citibank, N.A. |
Citigroup |
banking violation |
2019 |
OCC |
$25,000,000 |
J.P. Morgan Securities LLC |
JPMorgan Chase |
investor protection violation |
2010 |
FL-AG |
$25,000,000 |
MBIA, Inc. |
MBIA |
investor protection violation |
2007 |
NY-AG |
$25,000,000 |
Merrill Lynch Commodities Inc. |
Bank of America |
price-fixing or anti-competitive practices |
2019 |
DOJ_CRIMINAL |
$25,000,000 |
Wachovia Capital Markets LLC |
Wells Fargo |
investor protection violation |
2006 |
MULTI-AG |
$25,000,000 |
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 |
Bear, Stearns & Co. Inc. |
JPMorgan Chase |
investor protection violation |
2003 |
MULTI-FIN |
(*) $25,000,000 |
Goldman Sachs & Co. |
Goldman Sachs |
investor protection violation |
2003 |
MULTI-FIN |
(*) $25,000,000 |
J.P. Morgan Securities Inc. |
JPMorgan Chase |
investor protection violation |
2003 |
MULTI-FIN |
(*) $25,000,000 |
JPMorgan Chase & Co. |
JPMorgan Chase |
investor protection violation |
2008 |
MULTI-FIN |
(*) $25,000,000 |
Lehman Brothers Inc. |
Lehman Brothers |
investor protection violation |
2003 |
MULTI-FIN |
(*) $25,000,000 |
Morgan Stanley & Co. |
Morgan Stanley |
investor protection violation |
2003 |
MULTI-FIN |
(*) $25,000,000 |
UBS Warburg and UBS PaineWebber |
UBS |
investor protection violation |
2003 |
MULTI-FIN |
(*) $25,000,000 |
Merrill Lynch Commodities, Inc. |
Bank of America |
investor protection violation |
2019 |
CFTC |
(*) $24,900,000 |
UBS Financial Services Inc. |
UBS |
investor protection violation |
2006 |
NJ-AG |
$24,750,000 |
Western Sky Financial, LLC and CashCall, Inc. |
CashCall Inc. |
consumer protection violation |
2015 |
MI-AG |
$24,700,000 |
Wachovia Capital Markets LLC |
Wells Fargo |
investor protection violation |
2007 |
MULTI-FIN |
$24,650,000 |
Stifel, Nicolaus & Co., Inc. |
Stifel Financial |
investor protection violation |
2016 |
SEC |
$24,500,000 |
John Hancock Life Insurance Company |
Manulife Financial |
discriminatory practices (non-employment) |
2009 |
private lawsuit-federal |
$24,400,000 |
American International Group, Inc. |
American International Group |
benefit plan administrator violation |
2008 |
private lawsuit-federal |
$24,200,000 |
BNY Mellon Securities LLC |
Bank of New York Mellon |
investor protection violation |
2011 |
SEC |
$24,045,447 |
JPMorgan Chase |
JPMorgan Chase |
employment discrimination |
2018 |
private lawsuit-federal |
$24,000,000 |
BB&T Corporation |
Truist Financial |
benefit plan administrator violation |
2019 |
private lawsuit-federal |
$24,000,000 |
Hartford Life Insurance Company |
Hartford Financial Services |
insurance violation |
2012 |
NY-DFS |
$24,000,000 |
Wells Fargo |
Wells Fargo |
consumer protection violation |
2010 |
MULTI-AG |
$23,700,000 |
Citigroup Global Markets, Inc. |
Citigroup |
investor protection violation |
2017 |
NY-AG |
$23,500,000 |
UBS Financial Services, Inc. |
UBS |
investor protection violation |
2007 |
NY-AG |
$23,300,000 |
TIAA-CREF |
TIAA |
benefit plan administrator violation |
2014 |
private lawsuit-federal |
$22,800,000 |
Regions Financial Corp. |
Regions Financial |
benefit plan administrator violation |
2014 |
private lawsuit-federal |
$22,500,000 |
Morgan Stanley |
Morgan Stanley |
toxic securities abuses |
2016 |
IL-AG |
$22,500,000 |
Goldman Sachs |
Goldman Sachs |
investor protection violation |
2008 |
MULTI-FIN |
(*) $22,500,000 |
Citigroup Inc. |
Citigroup |
banking violation |
2012 |
FED |
$22,000,000 |
Goldman Sachs & Co. |
Goldman Sachs |
investor protection violation |
2012 |
SEC |
$22,000,000 |
Bank of America |
Bank of America |
wage and hour violation |
2001 |
private lawsuit-state |
$22,000,000 |
Santander Consumer USA Holdings Inc. |
Banco Santander |
consumer protection violation |
2017 |
MA-AG |
$22,000,000 |
Deutsche Bank Americas Holding Corp. |
Deutsche Bank |
benefit plan administrator violation |
2019 |
private lawsuit-federal |
$21,900,000 |
World Acceptance Corporation |
World Acceptance Corporation |
Foreign Corrupt Practices Act |
2020 |
SEC |
$21,700,000 |
Banco Popular de Puerto Rico |
Popular Inc. |
anti-money-laundering deficiencies |
2003 |
DOJ_CRIMINAL |
$21,600,000 |
Fifth Third Bank |
Fifth Third Bancorp |
consumer protection violation |
2015 |
CFPB |
$21,500,000 |
QBE Holdings Inc. |
QBE Insurance |
insurance violation |
2017 |
MULTI-FIN |
$21,164,000 |
SunTrust Mortgage Inc. |
Truist Financial |
banking violation |
2012 |
DOJ_RIGHTS |
$21,000,000 |
Merrill Lynch |
Bank of America |
wage and hour violation |
2013 |
private lawsuit-federal |
$21,000,000 |
Edward D. Jones & Co. |
Jones Financial |
wage and hour violation |
2008 |
private lawsuit-federal |
$21,000,000 |
Western Asset Management Company |
Franklin Resources |
benefit plan administrator violation |
2014 |
EBSA |
$21,000,000 |