Citigroup | Citigroup | toxic securities abuses | 2011 | NCUA | $20,500,000 |
Jackson National Life Insurance Company | Jackson Financial | employment discrimination | 2020 | EEOC | $20,500,000 |
Capital One N.A. | Capital One Financial | consumer protection violation | 2014 | private lawsuit-federal | $20,350,000 |
UniCredit Bank Austria AG | UniCredit | economic sanction violation | 2019 | OFAC | (*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $20,326,340 |
Oppenheimer & Co., Inc. | Oppenheimer Holdings | anti-money-laundering deficiencies | 2015 | FINCEN | $20,000,000 |
BAC Home Loans Servicing LP fka Countrywide Home Loans Servicing LP | Bank of America | mortgage abuses | 2011 | DOJ_CIVIL | $20,000,000 |
Edward D. Jones & Co. LP | Jones Financial | investor protection violation | 2015 | SEC | $20,000,000 |
JPMorgan Chase Bank | JPMorgan Chase | accounting fraud or deficiencies | 2012 | CFTC | $20,000,000 |
Guggenheim Partners Investment Management LLC | Guggenheim Partners | investor protection violation | 2015 | SEC | $20,000,000 |
New York Stock Exchange, Inc. | IntercontinentalExchange Group | investor protection violation | 2005 | SEC | $20,000,000 |
Citigroup Global Markets, Inc. | Citigroup | investor protection violation | 2005 | SEC | $20,000,000 |
Franklin Advisers, Inc. and Franklin Templeton Distributors, Inc. | Franklin Resources | investor protection violation | 2004 | SEC | $20,000,000 |
Wells Fargo Bank, National Association | Wells Fargo | consumer protection violation | 2016 | OCC | $20,000,000 |
Bank of America Corporation | Bank of America | investor protection violation | 2014 | SEC | $20,000,000 |
Wells Fargo | Wells Fargo | wage and hour violation | 2010 | private lawsuit-federal | $20,000,000 |
A.G. Edwards | Wells Fargo | wage and hour violation | 2007 | private lawsuit-federal | $20,000,000 |
Washington Mutual Pension Plan | JPMorgan Chase | benefit plan administrator violation | 2010 | private lawsuit-federal | $20,000,000 |
Citigroup | Citigroup | toxic securities abuses | 2008 | MA-AG | $20,000,000 |
OppenheimerFunds Inc. | Invesco | investor protection violation | 2009 | OR-AG | $20,000,000 |
Royal Bank of Scotland | NatWest Group PLC | toxic securities abuses | 2018 | IL-AG | $20,000,000 |
The Hartford Financial Services Group | Hartford Financial Services | investor protection violation | 2006 | MULTI-AG | $20,000,000 |
UniCredit Bank Austria AG | UniCredit | economic sanction violation | 2019 | NY-MANDA | $20,000,000 |
ABN AMRO | ABN AMRO | economic sanction violation | 2005 | NY-DFS | $20,000,000 |
AXA Equitable | Equitable Holdings | insurance violation | 2014 | NY-DFS | $20,000,000 |
Wells Fargo & Co. | Wells Fargo | investor protection violation | 2020 | MD-AG | $20,000,000 |
Bank of America N.A. | Bank of America | price-fixing or anti-competitive practices | 2014 | private lawsuit-federal | $20,000,000 |
Goldman Sachs | Goldman Sachs | price-fixing or anti-competitive practices | 2020 | private lawsuit-federal | $20,000,000 |
Robinhood Financial LLC | Robinhood Markets | privacy violation | 2023 | private lawsuit-federal | $20,000,000 |
Bank of America | Bank of America | consumer protection violation | 2013 | private lawsuit-federal | $20,000,000 |
OneMain Financial | OneMain Holdings | consumer protection violation | 2023 | CFPB | $20,000,000 |
Interactive Brokers Corp. and Interactive Brokers LLC | Interactive Brokers Group | investor protection violation | 2023 | CFTC | $20,000,000 |
Barclays Bank PLC | Barclays | price-fixing or anti-competitive practices | 2020 | private lawsuit-federal | $19,975,000 |
John Hancock Investment Management Services, LLC | Manulife Financial | investor protection violation | 2007 | SEC | $19,787,879 |
Ally Financial Inc. | Ally Financial | consumer protection violation | 2018 | private lawsuit-federal | $19,717,222 |
Bank of America N.A. | Bank of America | consumer protection violation | 2013 | private lawsuit-federal | $19,610,000 |
UBS AG | UBS | investor protection violation | 2015 | SEC | $19,500,000 |
Countrywide Securities Corporation and Merrill Lynch, Pierce, Fenner & Smith, Inc. | Bank of America | toxic securities abuses | 2016 | VA-AG | $19,500,000 |
Chase Bank USA et al. | JPMorgan Chase | price-fixing or anti-competitive practices | 2022 | private lawsuit-federal | $19,500,000 |
Western Asset Management Company | Franklin Resources | investor protection violation | 2014 | SEC | $19,400,000 |
Deutsche Investment Management Americas, Inc. et al. | Deutsche Bank | investor protection violation | 2006 | SEC | $19,329,729 |
Amerisave Mortgage Corporation and Novo Appraisal Management Company | AmeriSave Mortgage | consumer protection violation | 2014 | CFPB | $19,300,000 |
Nationwide Mutual Insurance Company | Nationwide | Fair Credit Reporting Act violation | 2006 | private lawsuit-federal | $19,250,000 |
Progressive Direct Insurance Company | Progressive | consumer protection violation | 2022 | private lawsuit-federal | $19,228,696 |
Cash America International Inc. | FirstCash | payday lending violation | 2013 | CFPB | $19,000,000 |
Citigroup, Inc. | Citigroup | accounting fraud or deficiencies | 2003 | SEC | $19,000,000 |
Edward D. Jones & Co. | Jones Financial | wage and hour violation | 2008 | private lawsuit-federal | $19,000,000 |
Metropolitan Life Insurance Company | MetLife | consumer protection violation | 2006 | NY-AG | $19,000,000 |
Chatham Asset Management LLC | Chatham Asset Management | investor protection violation | 2023 | SEC | $18,800,000 |
Wells Fargo & Co. | Wells Fargo | employment discrimination | 2021 | private lawsuit-federal | $18,700,000 |
Citizens Bank, N.A. | Citizens Financial Group | consumer protection violation | 2015 | CFPB | $18,500,000 |
Discover Bank | Discover Financial Services | consumer protection violation | 2015 | CFPB | $18,500,000 |
Wilmington Trust | M&T Bank | accounting fraud or deficiencies | 2014 | SEC | $18,500,000 |
Deutsche Bank | Deutsche Bank | investor protection violation | 2016 | SEC | $18,500,000 |
UBS Financial Services Incorporated of Puerto Rico | UBS | investor protection violation | 2015 | FINRA | $18,500,000 |
HSBC Bank PLC | HSBC | price-fixing or anti-competitive practices | 2020 | private lawsuit-federal | $18,500,000 |
State Farm Mutual Automobile Insurance Company | State Farm Insurance | consumer protection violation | 2019 | private lawsuit-federal | $18,500,000 |
Wells Fargo Bank, N.A. | Wells Fargo | consumer protection violation | 2020 | private lawsuit-federal | $18,500,000 |
Citigroup Global Markets | Citigroup | investor protection violation | 2017 | SEC | $18,300,000 |
JPMorgan Chase & Co. | JPMorgan Chase | consumer protection violation | 2014 | private lawsuit-federal | $18,300,000 |
Commerce Bank NA | Commerce Bancshares | consumer protection violation | 2013 | private lawsuit-federal | $18,300,000 |
Pruco Securities, LLC | Prudential Financial | investor protection violation | 2020 | SEC | $18,252,341 |
Allstate Life Insurance Company of New York | Allstate | insurance violation | 2007 | NY-DFS | $18,250,000 |
Mellon Bank N.A. | Bank of New York Mellon | False Claims Act and related | 2006 | USAO | $18,130,405 |
U.S. Bank National Association | U.S. Bancorp | investor protection violation | 2015 | CFTC | $18,000,000 |
Coast National Insurance | Zurich Insurance | wage and hour violation | 2002 | private lawsuit-state | $18,000,000 |
Allianz Dresdner Asset Management of America LP | Allianz | investor protection violation | 2004 | NJ-AG | $18,000,000 |
Franklin/Templeton Distributors, Inc. | Franklin Resources | investor protection violation | 2004 | CA-AG | $18,000,000 |
Waddell & Reed, Inc. | Macquarie | investor protection violation | 2005 | MULTI-FIN | $18,000,000 |
RBS Financial Products, Inc. | NatWest Group PLC | toxic securities abuses | 2020 | MD-AG | $18,000,000 |
Charles Schwab & Company, Inc. | Charles Schwab Corp. | investor protection violation | 2011 | FINRA | $18,000,000 |
LendingClub Corp. | LendingClub Corp. | consumer protection violation | 2021 | FTC | $18,000,000 |
Cleco Power | Macquarie | utility administrative violation | 2004 | LA-PSC | $18,000,000 |
Societe Generale | Societe Generale | price-fixing or anti-competitive practices | 2018 | private lawsuit-federal | $18,000,000 |
Bank of the West | Bank of Montreal | consumer protection violation | 2012 | private lawsuit-federal | $18,000,000 |
J.P. Morgan Securities LLC | JPMorgan Chase | investor protection violation | 2024 | SEC | $18,000,000 |
Citibank, N.A. | Citigroup | banking violation | 2020 | OCC | $17,998,510 |
UBS AG | UBS | price-fixing or anti-competitive practices | 2020 | private lawsuit-federal | $17,900,000 |
Societe Generale Private Banking (Suisse) SA | Societe Generale | tax violations | 2015 | DOJ_TAX | $17,807,000 |
Barclays Bank PLC | Barclays | price-fixing or anti-competitive practices | 2023 | private lawsuit-federal | $17,750,000 |
UBS Willow Management LLC and UBS Fund Advisor LLC | UBS | investor protection violation | 2015 | SEC | $17,500,000 |
Wells Fargo & Company | Wells Fargo | benefit plan administrator violation | 2011 | private lawsuit-federal | $17,500,000 |
United States Fidelity & Guaranty | Travelers | False Claims Act and related | 2007 | CT-AG | $17,500,000 |
VITOL, S.A. | Vitol | kickbacks and bribery | 2007 | NY-MANDA | $17,500,000 |
Deutsche Bank Securities Inc. | Deutsche Bank | investor protection violation | 2013 | MA-SEC | $17,500,000 |
UnumProvident Corporation | Unum | consumer protection violation | 2006 | NY-AG | $17,400,000 |
Wells Fargo Clearing Services, LLC and Wells Fargo Advisors Financial Network, LLC | Wells Fargo | investor protection violation | 2019 | SEC | $17,363,847 |
Ameriprise Financial Services, Inc. | Ameriprise Financial | investor protection violation | 2009 | SEC | $17,300,000 |
Countrywide Securities Corp. | Bank of America | mortgage abuses | 2013 | MA-AG | $17,300,000 |
Wells Fargo | Wells Fargo | toxic securities abuses | 2018 | IL-AG | $17,250,000 |
Deutsche Asset Management, Inc. and Deutsche Investment Management Americas, Inc. | Deutsche Bank | investor protection violation | 2006 | SEC | $17,200,000 |
Standard Chartered Bank | Standard Chartered | price-fixing or anti-competitive practices | 2018 | private lawsuit-federal | $17,200,000 |
Kemper Corp. | Kemper | privacy violation | 2022 | private lawsuit-federal | $17,100,000 |
Morgan Stanley & Co. Incorporated | Morgan Stanley | investor protection violation | 2007 | SEC | $17,000,000 |
Chubb | Chubb Limited | price-fixing or anti-competitive practices | 2006 | MULTI-AG | $17,000,000 |
Prudential Insurance Company of America | Prudential Financial | insurance violation | 2012 | MULTI-AG | $17,000,000 |
Nationstar Mortgage LLC | Mr. Cooper Group | consumer protection violation | 2018 | NY-DFS | $17,000,000 |
Raymond James & Associates, Inc. and Raymond James Financial Services, Inc. | Raymond James Financial | anti-money-laundering deficiencies | 2016 | FINRA | $17,000,000 |
Bank of America N.A. | Bank of America | price-fixing or anti-competitive practices | 2021 | private lawsuit-federal | $17,000,000 |
Zurich Capital Markets Inc. | Zurich Insurance | investor protection violation | 2007 | SEC | $16,800,000 |
JPMorgan Chase | JPMorgan Chase | wage and hour violation | 2017 | private lawsuit-federal | $16,666,667 |
Bank of America | Bank of America | wage and hour violation | 2010 | private lawsuit-state | $16,650,000 |