1st Financial Bank U.S.A. |
1st Financial Bank USA |
banking violation |
2005 |
WI-AG |
$43,142 |
1st Financial Bank USA |
1st Financial Bank USA |
banking violation |
2010 |
FDIC |
$10,140,000 |
1ST FINANCIAL BANK USA |
1st Financial Bank USA |
banking violation |
2009 |
FDIC |
$140,000 |
A.G. Edwards |
Wells Fargo |
wage and hour violation |
2009 |
private lawsuit-federal |
$12,000,000 |
A.G. Edwards |
Wells Fargo |
wage and hour violation |
2007 |
private lawsuit-federal |
$20,000,000 |
A.G. Edwards & Sons, Inc. |
Wells Fargo |
data submission deficiencies |
2003 |
CFTC |
$45,000 |
A.G. Edwards & Sons, Inc. |
Wells Fargo |
financial institution supervision failures |
2007 |
SEC |
$3,860,000 |
A.G. Edwards & Sons, Inc. |
Wells Fargo |
investor protection violation |
2006 |
SEC |
$125,000 |
A.G. Edwards & Sons, Inc. |
Wells Fargo |
investor protection violation |
2008 |
NJ-AG |
$387,000 |
A.G. Edwards and Sons Inc. |
Wells Fargo |
economic sanction violation |
2008 |
OFAC |
$122,358 |
ABN AMRO Bank N.V. renamed the Royal Bank of Scotland N.V. |
ABN AMRO |
economic sanction violation |
2010 |
DOJ_CRIMINAL |
$500,000,000 |
ABN AMRO Bank, Inc |
ABN AMRO |
economic sanction violation |
2004 |
OFAC |
$25,847 |
ABN AMRO Bank, N.V. |
ABN AMRO |
economic sanction violation |
2006 |
OFAC |
$40,000,000 |
ABN AMRO Bank, N.V. |
ABN AMRO |
investor protection violation |
2013 |
SEC |
$5,547,408 |
ABN AMRO Clearing Chicago LLC |
ABN AMRO |
securities issuance or trading violation |
2013 |
CFTC |
$1,000,000 |
ABN AMRO Clearing Chicago LLC |
ABN AMRO |
securities issuance or trading violation |
2018 |
CFTC |
$160,000 |
ABN AMRO Incorporated |
ABN AMRO |
investor protection violation |
2001 |
SEC |
$200,000 |
ABN AMRO Mortgage Group |
ABN AMRO |
mortgage abuses |
2006 |
HUD |
$41,000,000 |
Ace America's Cash Express |
ACE Cash Express |
wage and hour violation |
2004 |
CA-LCO |
$75,000 |
Ace America's Cash Express, Inc. |
ACE Cash Express |
wage and hour violation |
2004 |
WHD |
$26,295 |
ACE Cash Express |
ACE Cash Express |
consumer protection violation |
2014 |
CFPB |
$15,000,000 |
Ace Cash Express, Inc. |
ACE Cash Express |
wage and hour violation |
2012 |
WHD |
$18,852 |
Ace Cash Express, Inc. |
ACE Cash Express |
wage and hour violation |
2005 |
WHD |
$12,796 |
ACE Cash Express, Inc. |
ACE Cash Express |
payday lending violation |
2002 |
CO-AG |
$1,300,000 |
ACE Group Holdings, Inc. |
Chubb Limited |
price-fixing or anti-competitive practices |
2007 |
MULTI-AG |
$4,500,000 |
ACE Limited |
Chubb Limited |
price-fixing or anti-competitive practices |
2007 |
PA-AG |
$9,000,000 |
ACE, Ltd |
Chubb Limited |
price-fixing or anti-competitive practices |
2006 |
MULTI-AG |
$80,000,000 |
AEGON USA Investment Management LLC et al. |
Aegon |
investor protection violation |
2018 |
SEC |
$97,600,000 |
AFB&T |
Synovus Financial |
banking violation |
2009 |
FDIC |
$7,040 |
Aflac Inc. |
Aflac |
consumer protection violation |
2017 |
MULTI-AG |
$350,000 |
AIG Federal Savings Bank and Wilmington Finance Inc. |
American International Group |
discriminatory practices |
2010 |
DOJ_RIGHTS |
$6,100,000 |
AIM Advisors |
Invesco |
securities issuance or trading violation |
2004 |
MULTI-AG |
(*) $125,000,000 |
AIM Advisors, Inc. and AIM Distributors, Inc. |
Invesco |
securities issuance or trading violation |
2004 |
SEC |
$50,000,000 |
Alliance Capital Management |
AXA |
securities issuance or trading violation |
2003 |
NY-AG |
(*) $600,000,000 |
Alliance Capital Management L.P. |
AXA |
securities issuance or trading violation |
2003 |
SEC |
$250,000,000 |
AllianceBernstein |
AXA |
wage and hour violation |
2013 |
private lawsuit-federal |
$2,980,000 |
AllianceBernstein, L.P. |
AXA |
investor protection violation |
2007 |
SEC |
$450,000 |
Allianz Asset Management of America, L.P. |
Allianz |
benefit plan administrator violation |
2018 |
private lawsuit-federal |
$12,000,000 |
Allianz Dresdner Asset Management of America LP |
Allianz |
investor protection violation |
2004 |
NJ-AG |
$18,000,000 |
Allianz Life Insurance Company of North America |
Allianz |
investor protection violation |
2007 |
MN-AG |
$500,000 |
Allianz Life Insurance Company of North America |
Allianz |
consumer protection violation |
2015 |
MULTI-AG |
$4,700,000 |
Allianz Life Insurance Company of North America |
Allianz |
consumer protection violation |
2012 |
MULTI-AG |
$10,000,000 |
Allianz SE |
Allianz |
Foreign Corrupt Practices Act |
2012 |
SEC |
$12,396,423 |
Allied Home Mortgage |
Americus Mortgage |
wage and hour violation |
2004 |
WHD |
$14,037 |
Allied Home Mortgage |
Americus Mortgage |
fraud |
2017 |
USAO |
$296,298,325 |
Allied Home Mortgage Capital Corporation |
Americus Mortgage |
consumer protection violation |
2003 |
HUD |
$370,000 |
Allied Home Mortgage Capital Corporation |
Americus Mortgage |
wage and hour violation |
2006 |
WHD |
$14,479 |
Allied Home Mortgage Capital Corporation |
Americus Mortgage |
wage and hour violation |
2006 |
WHD |
$1,800,282 |
Allied Home Mortgage Capital Corporation |
Americus Mortgage |
wage and hour violation |
2006 |
WHD |
$30,928 |
Allied Home Mortgage Capital Corporation |
Americus Mortgage |
wage and hour violation |
2005 |
WHD |
$9,830 |
ALLO COMMUNICATIONS |
Nelnet |
workplace safety or health violation |
2011 |
OSHA |
$10,500 |
ALLSTATE |
Allstate |
workplace safety or health violation |
2002 |
OSHA |
$69,500 |
Allstate |
Allstate |
consumer protection violation |
2003 |
TX-AG |
$3,440,000 |
Allstate Company, Inc. |
Allstate |
wage and hour violation |
2007 |
MA-AG |
$125,000 |
Allstate Insurance |
Allstate |
wage and hour violation |
2017 |
private lawsuit-state |
$2,000,000 |
Allstate Insurance |
Allstate |
wage and hour violation |
2005 |
private lawsuit-state |
$120,000,000 |
Allstate Insurance Co. |
Allstate |
privacy violation |
2003 |
PA-AG |
$10,000 |
Allstate Insurance Company |
Allstate |
employment discrimination |
2009 |
EEOC |
$4,500,000 |
Allstate Insurance Company |
Allstate |
wage and hour violation |
2018 |
private lawsuit-state |
$5,500,000 |
Ally Financial |
Ally Financial |
mortgage abuses |
2012 |
MULTI-AG |
(*) $109,628,425 |
Ally Financial Inc. |
Ally Financial |
banking violation |
2012 |
FED |
$207,000,000 |
Ally Financial Inc. |
Ally Financial |
toxic securities abuses |
2016 |
USAO |
$52,000,000 |
Ally Financial Inc. (formerly GMAC) |
Ally Financial |
mortgage abuses |
2012 |
DOJ_CIVIL |
$309,600,000 |
Ally Financial Inc. and Ally Bank |
Ally Financial |
consumer protection violation |
2013 |
CFPB |
$98,000,000 |
Ally Financial Services |
Ally Financial |
wage and hour violation |
2019 |
WHD |
$198,311 |
Ambac Financial Group et al. |
Ambac Financial |
toxic securities abuses |
2013 |
USAO |
$101,900,000 |
Ambac Financial Group, Inc. |
Ambac Financial |
benefit plan administrator violation |
2012 |
private lawsuit-federal |
$2,550,000 |
American Bankers Insurance Co. |
Assurant |
consumer protection violation |
2006 |
MA-AG |
$20,000 |
American Express |
American Express |
consumer protection violation |
2013 |
CFPB |
$69,100,000 |
American Express |
American Express |
consumer protection violation |
2012 |
CFPB |
$99,100,000 |
American Express |
American Express |
economic sanction violation |
2004 |
OFAC |
$18,391 |
American Express |
American Express |
consumer protection violation |
2017 |
CFPB |
$96,000,000 |
American Express |
American Express |
economic sanction violation |
2017 |
OFAC |
$204,277 |
American Express Bank International |
American Express |
anti-money-laundering deficiencies |
2007 |
DOJ_CRIMINAL |
$55,000,000 |
American Express Bank Ltd. |
American Express |
economic sanction violation |
2004 |
OFAC |
$5,041 |
American Express Bank, FSB |
American Express |
banking violation |
2013 |
OCC |
$7,500,000 |
American Express Bank, FSB |
American Express |
banking violation |
2012 |
OCC |
$6,500,000 |
American Express Centurion Bank |
American Express |
banking violation |
2013 |
FDIC |
$3,600,000 |
American Express Centurion Bank |
American Express |
banking violation |
2012 |
FDIC |
$3,900,000 |
American Express Centurion Bank |
American Express |
banking violation |
2009 |
FDIC |
$250,000 |
American Express Centurion Bank |
American Express |
tax violations |
2012 |
CT-AG |
$14,970 |
American Express Co. |
American Express |
consumer protection violation |
2003 |
NY-AG |
$3,285,000 |
AMERICAN EXPRESS COMPANY |
American Express |
banking violation |
2012 |
FED |
$9,000,000 |
American Express Company |
American Express |
economic sanction violation |
2004 |
OFAC |
$5,500 |
American Express Financial Advisors |
Ameriprise Financial |
employment discrimination |
2002 |
private lawsuit-federal |
$31,000,000 |
American Express Financial Advisors Inc. |
Ameriprise Financial |
securities issuance or trading violation |
2004 |
SEC |
$3,706,693 |
American Express Financial Advisors Inc. |
Ameriprise Financial |
financial institution supervision failures |
2005 |
NJ-AG |
$5,000,000 |
American Express Publishing Corporation |
American Express |
consumer protection violation |
2000 |
MULTI-AG |
$200,000 |
American Express Travel Related Services Co., Inc. |
American Express |
economic sanction violation |
2007 |
OFAC |
$16,625 |
American Express Travel Related Services Comp |
American Express |
Family and Medical Leave Act |
2004 |
WHD |
$26,722 |
AMERICAN FAMILY INSURANCE |
American Family Insurance |
workplace safety or health violation |
2012 |
OSHA |
$12,500 |
American Heritage Life Insurance Co. |
Allstate |
consumer protection violation |
2007 |
TX-AG |
$1,700,000 |
American International Group |
American International Group |
economic sanction violation |
2017 |
OFAC |
$148,698 |
American International Group |
American International Group |
wage and hour violation |
2009 |
MA-AG |
$900,000 |
American International Group |
American International Group |
False Claims Act and related |
2008 |
MA-AG |
$218,920 |
American International Group |
American International Group |
False Claims Act and related |
2007 |
MA-AG |
$58,500,000 |
American International Group |
American International Group |
price-fixing or anti-competitive practices |
2006 |
NY-AG |
(*) $1,619,000,000 |
American International Group |
American International Group |
investor protection violation |
2010 |
OH-AG |
$725,000,000 |
American International Group |
American International Group |
price-fixing or anti-competitive practices |
2010 |
OH-AG |
$9,000,000 |
AMERICAN INTERNATIONAL GROUP INC GROUP LIFE & MEDICAL INSURANCE PLAN |
American International Group |
benefit plan administrator violation |
2005 |
EBSA |
$50,001 |
American International Group Inc. |
American International Group |
investor protection violation |
2010 |
OR-AG |
$8,000,000 |