Fred Alger Management, Inc. | Alger Associates | investor protection violation | 2007 | SEC | $40,000,000 |
Goldman, Sachs & Co. | Goldman Sachs | investor protection violation | 2005 | SEC | $40,000,000 |
Morgan Stanley & Co. | Morgan Stanley | investor protection violation | 2005 | SEC | $40,000,000 |
AmSouth Bancorporation | Regions Financial | fraud | 2004 | USAO | $40,000,000 |
American International Group, Inc. | American International Group | benefit plan administrator violation | 2015 | private lawsuit-federal | $40,000,000 |
MetLife | MetLife | insurance violation | 2012 | MULTI-AG | $40,000,000 |
Nationwide Insurance | Nationwide | consumer protection violation | 2008 | MS-AG | $40,000,000 |
SunTrust Mortgage Inc. | Truist Financial | mortgage abuses | 2014 | MULTI-AG | (*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $40,000,000 |
Standard Chartered Bank | Standard Chartered | price-fixing or anti-competitive practices | 2019 | NY-DFS | $40,000,000 |
Nationstar Mortgage, LLC | Mr. Cooper Group | mortgage abuses | 2020 | DOJ_UTP | $40,000,000 |
Prudential Insurance Company of America | Prudential Financial | consumer protection violation | 2014 | private lawsuit-federal | $40,000,000 |
Wells Fargo Merchant Services LLC | Wells Fargo | consumer protection violation | 2021 | private lawsuit-federal | $40,000,000 |
VALIC Financial Advisors Inc. | American International Group | investor protection violation | 2020 | SEC | $39,900,000 |
Prudential Insurance | Prudential Financial | benefit plan administrator violation | 2014 | private lawsuit-federal | $39,100,000 |
Wachovia Securities | Wells Fargo | wage and hour violation | 2009 | private lawsuit-federal | $39,000,000 |
National Union Fire Insurance Company of Pittsburgh, PA | American International Group | insurance violation | 2012 | MULTI-FIN | $39,000,000 |
Citibank N.A. | Citigroup | investor protection violation | 2018 | SEC | $38,700,000 |
Academy Mortgage Corporation | Academy Mortgage Corp. | False Claims Act and related | 2022 | DOJ_CIVIL | $38,500,000 |
Merrill Lynch | Bank of America | employment discrimination | 2013 | private lawsuit-federal | $38,225,000 |
The Bank of New York | Bank of New York Mellon | anti-money-laundering deficiencies | 2005 | USAO | $38,000,000 |
Washington Mutual Bank | JPMorgan Chase | wage and hour violation | 2009 | private lawsuit-federal | $38,000,000 |
Deutsche Bank AG | Deutsche Bank | price-fixing or anti-competitive practices | 2021 | private lawsuit-federal | $38,000,000 |
BMO Harris Financial Advisors Inc. and BMO Asset Management Corp. | Bank of Montreal | investor protection violation | 2019 | SEC | $37,980,000 |
Flagstar Bank | New York Community Bancorp | consumer protection violation | 2014 | CFPB | $37,500,000 |
TD Bank, National Association | Toronto-Dominion Bank | banking violation | 2013 | OCC | $37,500,000 |
Northern Trust | Northern Trust | benefit plan administrator violation | 2006 | private lawsuit-federal | $37,500,000 |
Zurich American Insurance Company et al. | Zurich Insurance | False Claims Act and related | 2010 | NY-AG | $37,500,000 |
U.S. Bank | U.S. Bancorp | banking violation | 2022 | CFPB | $37,500,000 |
Massachusetts Mutual Life Insurance Company | Massachusetts Mutual Life Insurance | consumer protection violation | 2017 | private lawsuit-federal | $37,500,000 |
Bank Hapoalim B.M, | Bank Hapoalim | tax violations | 2020 | FED | $37,350,000 |
UniCredit S.p.A. | 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. $37,316,322 |
Everbank | TIAA | banking violation | 2013 | OCC | $37,000,000 |
Wachovia Corporation | Wells Fargo | investor protection violation | 2004 | SEC | $37,000,000 |
Merrill Lynch | Bank of America | wage and hour violation | 2006 | private lawsuit-federal | $37,000,000 |
Deutsche Bank Securities, Inc. | Deutsche Bank | investor protection violation | 2016 | NY-AG | (*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $37,000,000 |
Monumental Life Insurance Company | Aegon | insurance violation | 2003 | MULTI-FIN | $37,000,000 |
Goldman Sachs Group | Goldman Sachs | banking violation | 2016 | FED | $36,300,000 |
Barclays Bank PLC | Barclays | toxic securities abuses | 2013 | MA-AG | $36,100,000 |
Banc of America Securities LLC | Bank of America | price-fixing or anti-competitive practices | 2010 | SEC | $36,096,442 |
Bank of America | Bank of America | wage and hour violation | 2016 | private lawsuit-federal | $36,000,000 |
Northern Trust Investments, N.A. | Northern Trust | benefit plan administrator violation | 2015 | private lawsuit-federal | $36,000,000 |
Bank of America | Bank of America | False Claims Act and related | 2001 | AK-AG | $35,600,000 |
Wells Fargo Advisors | Wells Fargo | employment discrimination | 2017 | private lawsuit-federal | $35,500,000 |
Australia and New Zealand Banking Group Ltd. | Australia and New Zealand Banking Group | price-fixing or anti-competitive practices | 2022 | private lawsuit-federal | $35,500,000 |
State Street Bank and Trust Company | State Street Corp. | investor protection violation | 2017 | SEC | $35,300,000 |
Banca IMI Securities Corp. | Intesa Sanpaolo | investor protection violation | 2017 | SEC | $35,300,000 |
National City Bank and its successor PNC Bank | PNC Financial Services | banking violation | 2013 | CFPB | $35,000,000 |
HSBC Bank USA, National Association | HSBC | banking violation | 2016 | OCC | $35,000,000 |
Citibank, N.A. | Citigroup | banking violation | 2015 | OCC | $35,000,000 |
Capital One Bank (USA), National Association | Capital One Financial | banking violation | 2012 | OCC | $35,000,000 |
JPMorgan Chase Bank, National Association | JPMorgan Chase | banking violation | 2011 | OCC | $35,000,000 |
Barclays Capital Inc. | Barclays | investor protection violation | 2016 | SEC | $35,000,000 |
OppenheimerFunds Inc. | Invesco | investor protection violation | 2012 | SEC | $35,000,000 |
Royal Bank of Canada | Royal Bank of Canada | investor protection violation | 2014 | CFTC | $35,000,000 |
Wells Fargo Bank | Wells Fargo | banking violation | 2016 | OCC | $35,000,000 |
H&R Block | H&R Block | wage and hour violation | 2012 | private lawsuit-federal | $35,000,000 |
Marsh & McLennan Companies, Inc. | Marsh & McLennan | benefit plan administrator violation | 2010 | private lawsuit-federal | $35,000,000 |
Barclays Capital Inc. | Barclays | investor protection violation | 2016 | NY-AG | $35,000,000 |
UBS Financial Services, Inc. and UBS Securities LLC | UBS | toxic securities abuses | 2008 | MA-AG | $35,000,000 |
Wells Fargo & Company | Wells Fargo | wage and hour violation | 2020 | private lawsuit-federal | $35,000,000 |
Wells Fargo Clearing Services and Wells Fargo Advisors Financial Network | Wells Fargo | investor protection violation | 2020 | SEC | $35,000,000 |
AIG | American International Group | insurance violation | 2014 | NY-DFS | $35,000,000 |
Industrial Bank of Korea | Industrial Bank of Korea | anti-money-laundering deficiencies | 2020 | NY-DFS | $35,000,000 |
Morgan Stanley | Morgan Stanley | investor protection violation | 2008 | MULTI-FIN | (*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $35,000,000 |
J.P. Morgan Securities LLC | JPMorgan Chase | investor protection violation | 2020 | SEC | $35,000,000 |
Discover Bank et al. | Discover Financial Services | consumer protection violation | 2020 | CFPB | $35,000,000 |
NatWest Markets Plc | NatWest Group PLC | fraud | 2021 | DOJ_CRIMINAL | $35,000,000 |
Morgan Stanley Smith Barney LLC | Morgan Stanley | investor protection violation | 2022 | SEC | $35,000,000 |
HSBC Holdings PLC | HSBC | price-fixing or anti-competitive practices | 2016 | private lawsuit-federal | $35,000,000 |
Wells Fargo | Wells Fargo | price-fixing or anti-competitive practices | 2013 | private lawsuit-federal | $35,000,000 |
Bank of America N.A. | Bank of America | consumer protection violation | 2020 | private lawsuit-federal | $35,000,000 |
Union Bank N.A. | U.S. Bancorp | consumer protection violation | 2012 | private lawsuit-federal | $35,000,000 |
Bank of Montreal | Bank of Montreal | investor protection violation | 2023 | CFTC | $35,000,000 |
BNP Paribas Securities Corp. | BNP Paribas | investor protection violation | 2023 | SEC | $35,000,000 |
SG Americas Securities, LLC | Societe Generale | investor protection violation | 2023 | SEC | $35,000,000 |
Wells Fargo Clearing Services LLC | Wells Fargo | investor protection violation | 2023 | SEC | $35,000,000 |
Nomura Securities International | Nomura | fraud | 2023 | USAO | $35,000,000 |
Interactive Brokers Corp. | Interactive Brokers Group | investor protection violation | 2023 | SEC | $35,000,000 |
WEX Bank and Higher One, Inc. | WEX Inc. | banking violation | 2015 | FDIC | $34,980,000 |
Wells Fargo | Wells Fargo | consumer protection violation | 2015 | CFPB | $34,800,000 |
Wells Fargo Bank, National Association | Wells Fargo | banking violation | 2011 | OCC | $34,500,000 |
Legg Mason Inc. | Franklin Resources | Foreign Corrupt Practices Act | 2018 | SEC | $34,500,000 |
Bank of America N.A. | Bank of America | consumer protection violation | 2015 | private lawsuit-federal | $34,500,000 |
U.S. Bank NA | U.S. Bancorp | consumer protection violation | 2015 | private lawsuit-federal | $34,500,000 |
State Farm Life Insurance Company | State Farm Insurance | consumer protection violation | 2018 | private lawsuit-federal | $34,222,414 |
GE Capital Retail Bank and CareCredit | Synchrony Financial | consumer protection violation | 2013 | CFPB | $34,100,000 |
Allstate Insurance Co. | Allstate | insurance violation | 2005 | CA-INS | $34,000,000 |
Countrywide Financial Corporation | Bank of America | consumer protection violation | 2011 | private lawsuit-federal | $34,000,000 |
Wells Fargo | Wells Fargo | mortgage abuses | 2010 | CA-AG | $33,868,615 |
BNP Paribas SA | BNP Paribas | price-fixing or anti-competitive practices | 2018 | private lawsuit-federal | $33,500,000 |
Morgan Stanley & Co. LLC | Morgan Stanley | price-fixing or anti-competitive practices | 2018 | private lawsuit-federal | $33,500,000 |
Citibank N.A. | Citigroup | price-fixing or anti-competitive practices | 2020 | private lawsuit-federal | $33,400,000 |
Navient Solutions, Inc. | Navient | banking violation | 2014 | FDIC | $33,300,000 |
Woodforest National Bank | Woodforest National Bank | banking violation | 2010 | OCC | $33,000,000 |
Royal Bank of Scotland PLC | NatWest Group PLC | economic sanction violation | 2013 | OFAC | $33,000,000 |
Bank of America Corporation | Bank of America | investor protection violation | 2009 | SEC | $33,000,000 |
Smith Barney | Morgan Stanley | employment discrimination | 2008 | private lawsuit-federal | $33,000,000 |
Horizon Healthcare Services, Inc. | Horizon Healthcare Services | benefit plan administrator violation | 2016 | private lawsuit-federal | $33,000,000 |
ING | Voya Financial | investor protection violation | 2006 | MULTI-AG | $33,000,000 |
MUFG Bank Ltd. | U.S. Bancorp | banking violation | 2019 | NY-DFS | $33,000,000 |
Unitrin Inc. | Kemper | insurance violation | 2002 | MULTI-FIN | $33,000,000 |