Regions Bank | Regions Financial | False Claims Act and related | 2016 | DOJ_CIVIL | $52,400,000 |
Lincoln Financial Group | Lincoln National | insurance violation | 2017 | NY-DFS | $52,200,000 |
Encore Capital Group | Encore Capital Group | consumer protection violation | 2015 | CFPB | $52,000,000 |
Ally Financial Inc. | Ally Financial | toxic securities abuses | 2016 | USAO | $52,000,000 |
RBS Financial Products Inc. | NatWest Group PLC | toxic securities abuses | 2011 | MA-AG | $52,000,000 |
JPMorgan Chase & Co. | JPMorgan Chase | price-fixing or anti-competitive practices | 2018 | private lawsuit-federal | $52,000,000 |
U.S. Bank National Association | U.S. Bancorp | banking violation | 2014 | OCC | $51,900,000 |
Industrial Bank of Korea | Industrial Bank of Korea | anti-money-laundering deficiencies | 2020 | USAO | $51,000,000 |
Credit Suisse | UBS | toxic securities abuses | 2016 | NCUA | $50,300,000 |
Wachovia Bank N.A. | Wells Fargo | banking violation | 2010 | OCC | $50,000,000 |
THE ROYAL BANK OF SCOTLAND GROUP PLC | NatWest Group PLC | banking violation | 2013 | FED | $50,000,000 |
JPMorgan Chase Bank N.A. | JPMorgan Chase | bankruptcy professional violation | 2015 | DOJ_UTP | $50,000,000 |
UBS Securities | UBS | toxic securities abuses | 2013 | SEC | $50,000,000 |
Williams Power Company Inc. | JPMorgan Chase | data submission deficiencies | 2006 | DOJ_CRIMINAL | $50,000,000 |
Federal Home Loan Mortgage Corporation (Freddie Mac) | Freddie Mac (Federal Home Loan Mortgage Corporation) | investor protection violation | 2007 | SEC | $50,000,000 |
MBIA Inc. | MBIA | accounting fraud or deficiencies | 2007 | SEC | $50,000,000 |
AIM Advisors, Inc. and AIM Distributors, Inc. | Invesco | investor protection violation | 2004 | SEC | $50,000,000 |
PA Fund Management LLC, PEA Capital LLC and PA Distributors LLC | Allianz | investor protection violation | 2004 | SEC | $50,000,000 |
Franklin Advisers, Inc. | Franklin Resources | investor protection violation | 2004 | SEC | $50,000,000 |
Banc One Investment Advisors Corporation | JPMorgan Chase | investor protection violation | 2004 | SEC | $50,000,000 |
Massachusetts Financial Services Company | Sun Life Financial | investor protection violation | 2004 | SEC | $50,000,000 |
Morgan Stanley DW Inc. | Morgan Stanley | investor protection violation | 2003 | SEC | $50,000,000 |
Societe Generale S.A. | Societe Generale | toxic securities abuses | 2017 | USAO | $50,000,000 |
Wachovia Bank N.A. | Wells Fargo | anti-money-laundering deficiencies | 2010 | USAO | $50,000,000 |
Rabobank, National Association | Rabobank | anti-money-laundering deficiencies | 2018 | OCC | $50,000,000 |
Morgan Stanley | Morgan Stanley | wage and hour violation | 2009 | private lawsuit-federal | $50,000,000 |
ICAP Capital Markets LLC | CME Group | price-fixing or anti-competitive practices | 2018 | CFTC | $50,000,000 |
Waddell & Reed, Inc. | Macquarie | investor protection violation | 2006 | SEC | $50,000,000 |
Great American Life Insurance Company | Massachusetts Mutual Life Insurance | insurance violation | 2009 | MN-AG | $50,000,000 |
JPMorgan Chase | JPMorgan Chase | consumer protection violation | 2015 | CA-AG | $50,000,000 |
Willis Group Holdings Ltd. | Willis Towers Watson | price-fixing or anti-competitive practices | 2005 | NY-AG | $50,000,000 |
Wells Fargo | Wells Fargo | consumer protection violation | 2016 | CA-LACA | $50,000,000 |
Royal Bank of Scotland | NatWest Group PLC | economic sanction violation | 2013 | NY-DFS | $50,000,000 |
MetLife | MetLife | insurance violation | 2014 | NY-DFS | $50,000,000 |
Goldman Sachs | Goldman Sachs | investor protection violation | 2015 | NY-DFS | $50,000,000 |
Bank of America | Bank of America | 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. $50,000,000 |
Wachovia Securities LLC | Wells Fargo | 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. $50,000,000 |
The Bank of Nova Scotia | Scotiabank | investor protection violation | 2020 | CFTC | $50,000,000 |
Morgan Stanley DW Inc. | Morgan Stanley | investor protection violation | 2003 | FINRA | (*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $50,000,000 |
Credit Suisse First Boston Corporation | UBS | investor protection violation | 2002 | FINRA | (*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $50,000,000 |
Equitable Financial Life Insurance Company | Equitable Holdings | investor protection violation | 2022 | SEC | $50,000,000 |
Fifth Third Bank | Fifth Third Bancorp | privacy violation | 2022 | private lawsuit-federal | $50,000,000 |
Nomura Securities | Nomura | investor protection violation | 2022 | CFTC | $50,000,000 |
Nomura Securities International, Inc. | Nomura | investor protection violation | 2022 | SEC | $50,000,000 |
Bank of America N.A. | Bank of America | price-fixing or anti-competitive practices | 2018 | private lawsuit-federal | $50,000,000 |
Credit Suisse AG | UBS | price-fixing or anti-competitive practices | 2018 | private lawsuit-federal | $50,000,000 |
Deutsche Bank AG | Deutsche Bank | price-fixing or anti-competitive practices | 2018 | private lawsuit-federal | $50,000,000 |
Morgan Stanley & Co. LLC | Morgan Stanley | price-fixing or anti-competitive practices | 2018 | private lawsuit-federal | $50,000,000 |
Royal Bank of Scotland PLC | NatWest Group PLC | price-fixing or anti-competitive practices | 2018 | private lawsuit-federal | $50,000,000 |
Metropolitan Life Insurance Co. | MetLife | consumer protection violation | 2010 | private lawsuit-federal | $50,000,000 |
Wells Fargo N.A. | Wells Fargo | consumer protection violation | 2017 | private lawsuit-federal | $50,000,000 |
American Express Co. | American Express | consumer protection violation | 2012 | private lawsuit-federal | $49,500,000 |
Washington Mutual Inc. | JPMorgan Chase | benefit plan administrator violation | 2010 | private lawsuit-federal | $49,000,000 |
Deutsche Bank Securities Inc. | Deutsche Bank | price-fixing or anti-competitive practices | 2021 | private lawsuit-federal | $48,500,000 |
JPMorgan Chase Bank, National Association | JPMorgan Chase | banking violation | 2016 | OCC | $48,000,000 |
Credit Suisse (Hong Kong) Limited | UBS | Foreign Corrupt Practices Act | 2018 | DOJ_CRIMINAL | $47,029,916 |
Nelnet Inc. | Nelnet | False Claims Act and related | 2010 | DOJ_CIVIL | $47,000,000 |
Household International | HSBC | benefit plan administrator violation | 2004 | private lawsuit-federal | $46,500,000 |
Regions Bank | Regions Financial | banking violation | 2014 | FED | $46,000,000 |
American International Group, Inc. | American International Group | investor protection violation | 2004 | SEC | $46,000,000 |
Morgan Stanley | Morgan Stanley | employment discrimination | 2007 | private lawsuit-federal | $46,000,000 |
Unum Life Insurance Company of America | Unum | consumer protection violation | 2016 | private lawsuit-federal | $45,998,014 |
Spear, Leeds & Kellogg Specialists LLC | Goldman Sachs | investor protection violation | 2004 | SEC | $45,272,478 |
Citibank | Citigroup | consumer protection violation | 2016 | CFPB | $45,000,000 |
Salomon Smith Barney Inc. | Morgan Stanley | investor protection violation | 2000 | SEC | $45,000,000 |
UBS | UBS | wage and hour violation | 2007 | private lawsuit-federal | $45,000,000 |
Fred Alger Management, Inc. | Alger Associates | investor protection violation | 2007 | 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. $45,000,000 |
Merrill Lynch & Co. | Bank of America | investor protection violation | 2013 | NJ-AG | $45,000,000 |
PHH Mortgage Corp. | Ocwen Financial | mortgage abuses | 2018 | MULTI-AG | $45,000,000 |
HSBC Holdings PLC | HSBC | price-fixing or anti-competitive practices | 2018 | private lawsuit-federal | $45,000,000 |
HSBC Bank USA, N.A. | HSBC | investor protection violation | 2023 | CFTC | $45,000,000 |
Wells Fargo Bank, N.A. | Wells Fargo | consumer protection violation | 2021 | private lawsuit-federal | $45,000,000 |
U.S. Bank NA | U.S. Bancorp | consumer protection violation | 2015 | private lawsuit-federal | $44,500,000 |
Fireman's Fund Insurance Company | Allianz | False Claims Act and related | 2015 | DOJ_CIVIL | $44,000,000 |
RBS Securities Inc. | NatWest Group PLC | toxic securities abuses | 2017 | USAO | $44,000,000 |
UBS | UBS | wage and hour violation | 2007 | private lawsuit-federal | $44,000,000 |
ConvergEx Group LLC | Toronto-Dominion Bank | fraud | 2014 | DOJ_CRIMINAL | $43,800,000 |
Merrill Lynch | Bank of America | wage and hour violation | 2010 | private lawsuit-federal | $43,500,000 |
National City Corp. | PNC Financial Services | benefit plan administrator violation | 2010 | private lawsuit-federal | $43,000,000 |
Deutsche Bank AG | Deutsche Bank | Foreign Corrupt Practices Act | 2021 | SEC | $43,000,000 |
Industrial and Commercial Bank of China Financial Services LLC | Industrial and Commercial Bank of China | investor protection violation | 2019 | SEC | $42,700,000 |
JPMorgan Chase & Co. | JPMorgan Chase | price-fixing or anti-competitive practices | 2012 | private lawsuit-federal | $42,600,000 |
Morgan Stanley | Morgan Stanley | wage and hour violation | 2006 | private lawsuit-federal | $42,500,000 |
JPMorgan Chase | JPMorgan Chase | wage and hour violation | 2011 | private lawsuit-federal | $42,000,000 |
Merrill Lynch, Pierce, Fenner & Smith | Bank of America | investor protection violation | 2018 | SEC | $42,000,000 |
Bank of America Merrill Lynch | Bank of America | investor protection violation | 2018 | NY-AG | $42,000,000 |
RBS Financial Products | NatWest Group PLC | toxic securities abuses | 2012 | NV-AG | $42,000,000 |
Western Sky Financial, LLC, CashCall, Inc. | CashCall Inc. | consumer protection violation | 2017 | GA-AG | $42,000,000 |
Citigroup Inc. | Citigroup | price-fixing or anti-competitive practices | 2018 | private lawsuit-federal | $42,000,000 |
HSBC Bank PLC | HSBC | price-fixing or anti-competitive practices | 2022 | private lawsuit-federal | $42,000,000 |
Bank of America N.A. | Bank of America | consumer protection violation | 2018 | private lawsuit-federal | $41,920,374 |
TD Bank N.A. | Toronto-Dominion Bank | consumer protection violation | 2022 | private lawsuit-federal | $41,500,000 |
Mercury Insurance Co. and Mercury Casualty Co. and California Automobile Insurance Co. | Mercury General Corporation | insurance violation | 2019 | CA-INS | $41,188,505 |
Countrywide Financial Corporation | Bank of America | mortgage abuses | 2009 | WI-AG | $41,100,000 |
ABN AMRO Mortgage Group | ABN AMRO | mortgage abuses | 2006 | HUD | $41,000,000 |
Deutsche Bank AG | Deutsche Bank | anti-money-laundering deficiencies | 2017 | FED | $41,000,000 |
State Farm Mutual Insurance Company | State Farm Insurance | consumer protection violation | 2005 | MULTI-AG | $41,000,000 |
Putnam Investment Management, LLC | Franklin Resources | investor protection violation | 2005 | SEC | $40,000,001 |
ABN AMRO Bank, N.V. | ABN AMRO | economic sanction violation | 2006 | OFAC | $40,000,000 |
Evergreen Investment Management Company LLC | Wells Fargo | investor protection violation | 2009 | SEC | $40,000,000 |
Fred Alger Management, Inc. | Alger Associates | investor protection violation | 2007 | SEC | $40,000,000 |