Travelers Indemnity Company et al. | Travelers | insurance violation | 2022 | WA-INS | $20,000 |
State Farm Mutual Automobile Insurance Company | State Farm Insurance | insurance violation | 2022 | WA-INS | $50,000 |
Cincinnati Insurance Company et al. | Cincinnati Financial | insurance violation | 2022 | WA-INS | $5,000 |
Fidelity National Title Company of Washington Inc | Fidelity National Financial | insurance violation | 2022 | WA-INS | $5,000 |
Austin Mutual Insurance Company | American Family Insurance | insurance violation | 2022 | WI-INS | $5,000 |
Bank of America | Bank of America | consumer protection violation | 2022 | CFPB | $10,000,000 |
Merrill Lynch, Pierce, Fenner & Smith, Inc. | Bank of America | investor protection violation | 2022 | FINRA | $15,200,000 |
Bank of America, N.A. | Bank of America | discriminatory practices (non-employment) | 2022 | HUD | $15,000 |
Glencore International A.G. and Glencore Ltd. | Glencore | Foreign Corrupt Practices Act | 2022 | DOJ_CRIMINAL | (*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $1,185,000,000 |
Jardine Lloyd Thompson Group Holdings Ltd. | Marsh & McLennan | Foreign Corrupt Practices Act | 2022 | DOJ_CRIMINAL | $29,081,951 |
Banco Popular de Puerto Rico | Popular Inc. | economic sanction violation | 2022 | OFAC | $255,938 |
USAA Federal Savings Bank | USAA | anti-money-laundering deficiencies | 2022 | OCC | $60,000,000 |
Charles Schwab & Co., Inc. et al. | Charles Schwab Corp. | investor protection violation | 2022 | SEC | $187,000,000 |
BNY Mellon Investment Adviser, Inc. | Bank of New York Mellon | investor protection violation | 2022 | SEC | $1,500,000 |
Wells Fargo Advisors | Wells Fargo | anti-money-laundering deficiencies | 2022 | SEC | $7,000,000 |
First Republic Investment Management, Inc. | JPMorgan Chase | investor protection violation | 2022 | SEC | $1,825,953 |
Allianz Global Investors U.S. LLC | Allianz | investor protection violation | 2022 | SEC | (*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $1,024,200,000 |
USAA Federal Savings Bank | USAA | anti-money-laundering deficiencies | 2022 | FINCEN | $80,000,000 |
Allianz Global Investors U.S. LLC | Allianz | investor protection violation | 2022 | USAO | $5,763,000,000 |
Kemper Corp. | Kemper | privacy violation | 2022 | private lawsuit-federal | $17,100,000 |
Interactive Brokers LLC | Interactive Brokers Group | investor protection violation | 2022 | CFTC | $1,010,828 |
Glencore International A.G. | Glencore | price-fixing or anti-competitive practices | 2022 | CFTC | $1,186,000,000 |
American Express Company | American Express | employment discrimination | 2022 | DOJ_RIGHTS | $29,008 |
UBS Financial Services Inc. | UBS | investor protection violation | 2022 | SEC | $25,000,000 |
New Hampshire Insurance Co. | American International Group | insurance violation | 2022 | AK-INS | $7,500 |
LAWYERS TITLE COMPANY | Fidelity National Financial | insurance violation | 2022 | CA-INS | $50,000 |
Wells Fargo Bank, National Association | Wells Fargo | wage and hour violation | 2022 | CA-LCO | $9,795 |
Ticor Title Company of California | Fidelity National Financial | wage and hour violation | 2022 | CA-LCO | $32,017 |
JPMorgan Chase Bank, N.A. | JPMorgan Chase | investor protection violation | 2022 | CFTC | $850,000 |
BNP Paribas | BNP Paribas | investor protection violation | 2022 | CFTC | $6,000,000 |
U.S. Bank | U.S. Bancorp | banking violation | 2022 | CFPB | $37,500,000 |
Bank of America | Bank of America | banking violation | 2022 | CFPB | $100,000,000 |
Pruco Life Insurance Company | Prudential Financial | insurance violation | 2022 | DE-INS | $32,000 |
Wells Fargo and Company | Wells Fargo | benefit plan administrator violation | 2022 | EBSA | $145,000,000 |
IAC Greencastle, LLC | Invesco | environmental violation | 2022 | IN-ENV | $14,000 |
MML Investors Services, LLC | Massachusetts Mutual Life Insurance | investor protection violation | 2022 | MA-SEC | $262,092 |
American General Life Insurance Co. | American International Group | insurance violation | 2022 | MO-INS | $117,300 |
John Hancock Life & Health Insurance Company | Manulife Financial | insurance violation | 2022 | NY-DFS | $26,300,000 |
Banner Life Insurance Company | Legal & General Group PLC | insurance violation | 2022 | NY-DFS | $3,500,000 |
National Union Fire Insurance Company of Pittsburgh, PA | American International Group | insurance violation | 2022 | NY-DFS | $477,600 |
Erie Insurance Company of New York and Erie Insurance Company | Erie Indemnity | insurance violation | 2022 | NY-DFS | $19,000 |
Wells Fargo | Wells Fargo | workplace whistleblower retaliation | 2022 | OSHA | $22,000,000 |
American Express National Bank | American Express | economic sanction violation | 2022 | OFAC | $430,500 |
PNC Bank, National Association | PNC Financial Services | banking violation | 2022 | OCC | $2,614,456 |
Bank of America NA | Bank of America | banking violation | 2022 | OCC | $125,000,000 |
Progressive Universal Insurance Company | Progressive | insurance violation | 2022 | OR-FIN | $11,000 |
Allstate Property and Casualty et al. | Allstate | insurance violation | 2022 | RI-FIN | $65,000 |
BNY Mellon Capital Markets LLC | Bank of New York Mellon | investor protection violation | 2022 | SEC | $956,833 |
TD Securities (USA) LLC | Toronto-Dominion Bank | investor protection violation | 2022 | SEC | $152,955 |
Janus Henderson Investors US LLC | Janus Henderson | investor protection violation | 2022 | SEC | $150,000 |
J.P. Morgan Securities LLC | JPMorgan Chase | investor protection violation | 2022 | SEC | $1,200,000 |
UBS Financial Services Inc. | UBS | investor protection violation | 2022 | SEC | $925,000 |
Equitable Financial Life Insurance Company | Equitable Holdings | investor protection violation | 2022 | SEC | $50,000,000 |
Employers Insurance Company of Wausau | Liberty Mutual Insurance | insurance violation | 2022 | TX-INS | $7,000 |
Fireman's Fund Insurance Company | Allianz | insurance violation | 2022 | TX-INS | $10,000 |
Indemnity Insurance Company of North America | Chubb Limited | insurance violation | 2022 | TX-INS | $10,600 |
Indemnity Insurance Company of North America | Chubb Limited | insurance violation | 2022 | TX-INS | $20,500 |
New Hampshire Insurance Company | American International Group | insurance violation | 2022 | TX-INS | $6,500 |
New Hampshire Insurance Company | American International Group | insurance violation | 2022 | TX-INS | $30,000 |
Safety National Casualty Corporation | Tokio Marine | insurance violation | 2022 | TX-INS | $9,000 |
Arch Indemnity Insurance Company | Arch Capital | insurance violation | 2022 | TX-INS | $19,000 |
Hartford Fire Insurance Company | Hartford Financial Services | insurance violation | 2022 | TX-INS | $5,000 |
XL Specialty Insurance Company | AXA | insurance violation | 2022 | TX-INS | $10,000 |
American Zurich Insurance Company | Zurich Insurance | insurance violation | 2022 | TX-INS | $72,000 |
Standard Fire Insurance Company | Travelers | insurance violation | 2022 | TX-INS | $5,000 |
Accident Fund General Insurance Company | AF Group | insurance violation | 2022 | TX-INS | $12,000 |
Liberty Insurance Corporation | Liberty Mutual Insurance | insurance violation | 2022 | TX-INS | $20,000 |
Gerber Life Insurance Co. | Western & Southern Financial Group | insurance violation | 2022 | UT-INS | $317,750 |
Gerber Life Insurance Company | Western & Southern Financial Group | insurance violation | 2022 | VA-INS | $27,600 |
Farmers Insurance Exchange et al. | Farmers Insurance Exchange | insurance violation | 2022 | VA-INS | $86,400 |
AMERICAN FAMILY CONNECT PROPERTY AND CASUALTY INSURANCE COMPANY | American Family Insurance | insurance violation | 2022 | WA-INS | $40,000 |
NATIONWIDE LIFE INSURANCE COMPANY | Nationwide | insurance violation | 2022 | WA-INS | $30,000 |
NATIONWIDE GENERAL INSURANCE COMPANY | Nationwide | insurance violation | 2022 | WA-INS | $35,000 |
Santander Bank, N.A. | Banco Santander | wage and hour violation | 2022 | private lawsuit-federal | $4,250,000 |
Wells Fargo & Co. | Wells Fargo | benefit plan administrator violation | 2022 | private lawsuit-federal | $32,500,000 |
Ocwen Loan Servicing, LLC | Ocwen Financial | privacy violation | 2022 | private lawsuit-federal | $1,500,000 |
Fifth Third Bank | Fifth Third Bancorp | privacy violation | 2022 | private lawsuit-federal | $50,000,000 |
T. Rowe Price Group, Inc. | T. Rowe Price | benefit plan administrator violation | 2022 | private lawsuit-federal | $7,000,000 |
Waddell & Reed, LLC | Macquarie | investor protection violation | 2022 | SEC | $200,000 |
Morgan Stanley Smith Barney LLC | Morgan Stanley | investor protection violation | 2022 | SEC | $35,000,000 |
Raymond James & Associates, Inc. | Raymond James Financial | investor protection violation | 2022 | SEC | $500,000 |
Bank of America | Bank of America | investor protection violation | 2022 | CFTC | $100,000,000 |
Barclays Bank PLC | Barclays | investor protection violation | 2022 | CFTC | $75,000,000 |
Cantor Fitzgerald | Cantor Fitzgerald | investor protection violation | 2022 | CFTC | $6,000,000 |
Citibank N.A. | Citigroup | investor protection violation | 2022 | CFTC | $75,000,000 |
Credit Suisse | UBS | investor protection violation | 2022 | CFTC | $75,000,000 |
Deutsche Bank | Deutsche Bank | investor protection violation | 2022 | CFTC | $75,000,000 |
Goldman Sachs | Goldman Sachs | investor protection violation | 2022 | CFTC | $75,000,000 |
Morgan Stanley | Morgan Stanley | investor protection violation | 2022 | CFTC | $75,000,000 |
Nomura Securities | Nomura | investor protection violation | 2022 | CFTC | $50,000,000 |
UBS AG | UBS | investor protection violation | 2022 | CFTC | $75,000,000 |
Regions Bank | Regions Financial | consumer protection violation | 2022 | CFPB | $191,000,000 |
UBS Securities LLC | UBS | investor protection violation | 2022 | FINRA | $2,500,000 |
BofA Securities, Inc. | Bank of America | investor protection violation | 2022 | FINRA | $5,000,000 |
Capital One Bank | Capital One Financial | discriminatory practices (non-employment) | 2022 | DOJ_RIGHTS | $49,728 |
Barclays Bank PLC | Barclays | investor protection violation | 2022 | SEC | $361,000,000 |
Barclays Capital Inc. | Barclays | investor protection violation | 2022 | SEC | $125,000,000 |
BofA Securities Inc. and Merrill Lynch, Pierce, Fenner & Smith Inc. | Bank of America | investor protection violation | 2022 | SEC | $125,000,000 |
Citigroup Global Markets Inc. | Citigroup | investor protection violation | 2022 | SEC | $125,000,000 |
Credit Suisse Securities (USA) LLC | UBS | investor protection violation | 2022 | SEC | $125,000,000 |
Deutsche Bank Securities Inc. | Deutsche Bank | investor protection violation | 2022 | SEC | $125,000,000 |