1st Financial Bank USA
Advanta Bank Corp.
Agricultural Bank of China Limited
ARVEST Privatbank AG
Aurora Bank FSB
Balboa Insurance Company
Banca Credinvest S.A.
Banca dello del Cantone Ticino
Banca Intermobiliare di Investimenti e Gestioni SpA.
Banco Espirito Santo
Banco Industrial De Venezuela
Bank EKI Genossenschaft
Bank J. Safra Sarasin AG
Bank La Roche & Co. AG
Bank Lombard Odier & Co. Ltd.
Bank of America
Bank of Mingo
Bank of Montreal
Bank of the West
Banque Bohhote & Cie S.A.
Banque Cantonale du Jura S.A.
Banque Cantonale du Valais
Banque Cantonale du Vaudoise
Banque Cantonale Neuchâteloise
Banque Heritage SA
Banque Internationale à Luxembourg (Suisse) S.A.
Baugenossenschaft Schönau Zürich
Baumann & Cie, Banquiers
Berner Kantonalbank AG
Black Knight Financial Services
Bordier & CIE
Broadway Bancshares, Inc.
Canadian Imperial Bank of Commerce
CIT Group, Inc.
Cole Taylor Bank of Chicago
Columbus Bank and Trust Company
Compagnie de l'Occident pour la Finance et l'Industrie S.A.
Corner Banca SA
Credit Agricole S.A.
Credito Privato Commerciale in liquidazione S.A.
Cross River Bank
Dar Al-Maal Al-Islami Trust
Deloitte Touche Tohmatsu Limited
Delta North Bancorp Inc.
Dreyfus Sons & Co. Ltd. Banquiers
E. Gutzwiller & Cie, Banquiers
Edmond de Rothschild Group
Ersparniskasse Schaffhausen AG
Falcon Private Bank Ltd.
Fifth Third Bank
First Bank & Trust Brookings, South Dakota
First Bank of Delaware
First California Bank
First National of Nebraska
First Niagara Financial Group, Inc.
Fortress Investment Group
Freedom Financial Asset Management
Fulton Financial Corporation
Gibraltar Private Bank and Trust Company
Global Client Solutions
Gonet & Cie
Green Tree Servicing
Habib Bank AG Zurich
Higher One, Inc.
Hypothekarbank Lenzburg AG
IHAG Holding AG
Industrial and Commercial Bank of China
Industrial Bank of Korea
Intesa Sanpaolo S.p.A.
Lender Processing Services, Inc.
Leodan Privatbank AG
Liechtensteinische Landesbank AG
Lloyds Banking Group
Luzerner Kantonalbank AG
Maerki Baumann Holding AG
Mega Financial Holding Company
Mercantil Bank (Schweiz) AG
Merchants Bank of California, N.A.
Mid America Bank
Monterey County Bank
National Bank of Pakistan
Navy Federal Credit Union
New Day Financial LLC
Northern Trust Corp.
Oddo et Cie
Pacific National Bank
Pamrapo Savings Bank
PBZ Verwaltungs AG
Philippine National Bank
Piguet Galland & Cie S.A.
Privatbank Bellerive AG
Privatbank Reichmuth & Co.
Privatbank Von Graffenried AG
Rothschilds Continuation Holdings AG
Royal Bank of Scotland
Saddle River Valley Bank
SB Saanen Bank AG
SCOBAG Privatbank AG
Societe Generale Bank & Trust S.A.
Standard Chartered Bank
TCF National Bank
The Bancorp Bank
The Bancorp Bank
The Bank of New York Mellon
UniCredit Bank AG
Union Bancaire Privee
UniRush Financial Services
United Bank for Africa
Vontobel Holding AG
Woodforest National Bank
World's Foremost Bank
Zions First National Bank
Los Angeles City Attorney General
Maryland Attorney General
New York Attorney General
North Carolina Office of the Commissioner of Banks
State Attorneys General
Amendment to Previous Order
Consent Order (C&D)
Consent Order (CMP & C&D)
Consent Order (CMP)
Deferred Prosecution Agreement
Stipulated Final Judgment
Stipulated Final Judgment and Consent Order
Stipulation and Order of Settlement and Dismissal
CATEGORY OF CONDUCT
BSA/AML & Sanctions
Tax/Swiss Bank Program
12 C.F.R. § 1005.17 (Requirements for Overdraft Services)
12 C.F.R. § 1022.42(a) (Policies and Procedures for Furnished Information)
12 C.F.R. § 1024.38 (General Servicing Policies, Procedures, and Requirements)
12 C.F.R. § 163.177 (BSA Program)
12 C.F.R. § 163.180 (SARs)
12 C.F.R. § 208.25 (Loans in Special Flood Hazard Areas)
12 C.F.R. § 21.11 (SARs)
12 C.F.R. § 21.21 (BSA Program)
12 C.F.R. § 211.24 (Approval of Offices of Foreign Banks)
12 C.F.R. § 211.24(d) (Permissible Activities of Representative Offices)
12 C.F.R. § 211.24(f) (BSA Program)
12 C.F.R. § 211.24(j) (BSA Program)
12 C.F.R. § 211.605 (Permissible Underwriting Activities of Foreign Banks)
12 C.F.R. § 22.10 (Notice of Servicer's Identity in Special Flood Hazard Areas)
12 C.F.R. § 22.3(a) (Requirement to Purchase Flood Insurance)
12 C.F.R. § 22.7(a) (Notice and Purchase of Flood Insurance Coverage)
12 C.F.R. § 225.4(a) (Bank Holding Company Policy and Operations)
12 C.F.R. § 225.4(f) (SARS)
12 C.F.R. § 226.9 (Truth in Lending Disclosure Requirements)
12 C.F.R. § 252.33(a)(2) (Adequate Risk-Management Framework)
12 C.F.R. § 326.8 (BSA Program)
12 C.F.R. § 5.39(g) (Financial Subsidiaries of a National Bank)
12 C.F.R. § 563.177 (BSA Program)
12 C.F.R. § 563.180(d) (SARs)
12 C.F.R. Part 1003 (Regulation C of the Home Mortgage Disclosure Act)
12 C.F.R. Part 1005 (Regulation E of the Electronic Funds Transfer Act)
12 C.F.R. Part 1026 (Regulation Z of the Truth in Lending Act)
12 C.F.R. Part 1030 (Regulation DD of the Truth in Savings Act)
12 C.F.R. Part 353.1-353.3 (SARs)
12 U.S.C. § 1818(s) (BSA Program)
12 U.S.C. § 1829(b) (BSA-Recordkeeping)
12 U.S.C. § 1843 (Interests in Nonbanking Organizations)
12 U.S.C. § 1844(c) (Reports and Examinations of Bank Holding Companies)
12 U.S.C. § 24a (Financial Subsidiaries of National Banks)
12 U.S.C. § 29 (Possession of Real Estate by a National Bank)
12 U.S.C. § 3107(a) (Approval of Representative Offices of Foreign Banks)
12 U.S.C. § 481 (Examination of Financial Institutions)
12 U.S.C. §§ 1951-1959 (BSA-Uninsured Financial Institutions)
12 U.S.C. §§ 371c, 371c-1 (Transactions with Affiliates)
12 U.S.C. §§ 5531, 5536 (Unfair, Deceptive or Abusive Acts and Practices/UDAAP)
15 U.S.C. § 1 (Combinations in Restraint of Trade)
15 U.S.C. § 45(a) (Unfair or Deceptive Acts and Practices/UDAP)
18 U.S.C. § 1342 (Fictitious Name or Address)
18 U.S.C. § 1343 (Wire Fraud)
18 U.S.C. § 1517 (Obstructing Examination of Financial Institution)
18 U.S.C. § 1708 (Theft or Receipt of Stolen Mail Matter)
18 U.S.C. § 1956 (Money Laundering)
18 U.S.C. § 1957 (Money Laundering)
18 U.S.C. § 2 (Aiding and Abetting)
18 U.S.C. § 371 (Conspiracy to Defaud the United States)
18 U.S.C. § 371 (General Conspiracy)
18 U.S.C. § 641 (Public Money, Property, or Records)
26 U.S.C. § 7201 (Attempt to Evade or Defeat Tax)
26 U.S.C. § 7206(2) (Fraud and False Statements)
26 U.S.C. § 881(a)(1) (Tax on Income of Foreign Corporations)
3 NYCRR § 410.1 (Mortgage Banking License)
3 NYCRR § 116.2 (AML Program)
3 NYCRR § 3.1 (False Entries)
3 NYCRR § 300.1 (Reporting of Crimes)
3 NYCRR § 38. 7 (Prohibited Conduct)
3 NYCRR § 38.3 (Application Disclosures and Procedures)
3 NYCRR § 406.3(g) (Conduct of Money Transmitters)
3 NYCRR § 417.2 (AML Program for Licensed Check Cashers and Money Transmitters)
3 NYCRR § 420.18 (Duties of Originating Entity)
3 NYCRR § 420.20 (Prohibited Conduct)
31 C.F.R. § 1010.311 (CTRs)
31 C.F.R. § 1010.313 (Aggregation of CTRs)
31 C.F.R. § 1010.320 (SARs)
31 C.F.R. § 1010.610 (Due Diligence for Foreign Correspondent Accounts)
31 C.F.R. § 1010.630(a) (Prohibition on Correspondent Accounts for Foreign Shell Banks)
31 C.F.R. § 1020.210 (BSA Program)
31 C.F.R. § 1020.220 (Customer Identification Program)
31 C.F.R. § 1020.320 (SARs)
31 C.F.R. § 1022.210 (AML Program)
31 C.F.R. § 103.120 (BSA Program)
31 C.F.R. § 103.176 (Due Diligence for Foreign Correspondent Accounts)
31 C.F.R. § 103.18 (SARs)
31 C.F.R. § 103.22 (CTRs)
31 C.F.R. § 544.201 (Prohibited Transactions Involving Blocked Property)
31 C.F.R. § 560.203 (Evasions of the Iranian Transactions Regulations)
31 C.F.R. § 560.204 (Prohibited Exportation, Reexportation, Sale, or Supply of Goods, Technology or Services to Iran)
31 C.F.R. § 593.201 Former Liberian Regime of Charles Taylor-Prohibited Transactions Involving Blocked Property)
31 C.F.R. § 598.203 (Foreign Narcotics Kingpin Sanctions Regulations-Holding of Blocked Funds in Interest-Bearing Accounts)
31 C.F.R. Chapter V (OFAC Regulations)
31 C.F.R. Chapter X (FinCEN Regulations)
31 C.F.R. part 103 (Recordkeeping and Reporting)
31 U.S.C §§ 5318(a)(2) (AML Program)
31 U.S.C. § 5313 (CTRs)
31 U.S.C. § 5314 (Records and Reports on Foreign Financial Agency Transactions)
31 U.S.C. § 5318(g) (SARs)
31 U.S.C. § 5318(h) (BSA Program)
31 U.S.C. § 5318(i) (Due Diligence for Foreign Correspondent Accounts)
Article 23-A of the General Business Law of the State of New York/Martin Act
Bank Secrecy Act, 31 U.S.C. §§ 5311 et seq.
Bankruptcy Code and Federal Rules of Bankruptcy Procedure
Burmese Sanctions Regulations, 31 C.F.R. part 537
California State Business and Professions Code §§ 17200 et seq. (Unfair Competition)
Consumer Financial Protection Act of 2010, 12 U.S.C. § 5536
Cuban Assets Control Regulations, 31 C.F.R. part 515
Electronic Fund Transfer Act, 15 U.S.C. §§ 1693 et seq.
Electronic Signatures in Global and National Commerce Act, 15 U.S.C. § 7001
Equal Credit Opportunity Act, 15 U.S.C. §§ 1691 et seq.
Executive Order 13382 (Prohibited Transactions Involving Designated Persons)
Executive Order 13448 (Burmese Sanctions)
Fair Credit Reporting Act, 15 U.S.C. §§ 1681 et seq.
Fair Debt Collection Practices Act, 15 U.S.C. §§ 1692 et seq.
Fair Housing Act, 42 U.S.C. §§ 3601 et seq.
False Claims Act, 31 U.S.C. §§ 3729 et seq.
FDIC Rules and Regulations, 12 C.F.R. part 339 (Loans in Areas having Special Flood Hazards)
Home Mortgage Disclosure Act, 12 U.S.C. § 2801 et seq.
International Emergency Economic Powers Act, 50 U.S.C. §§ 1701 et seq.
Iranian Transactions Regulations, 31 C.F.R. part 560
Libyan Sanctions Regulations, 31 C.F.R. part 550
Maryland Consumer Protection Act, Md. Code Ann., Com. Law §§ 13-101 et seq.
Mortgage Acts and Practices Rule, 16 C.F.R. part 321
National Flood Insurance Act of 1968 and the Flood Disaster Protection Act of 1973, 42 U.S.C. §§ 4001, et seq.
New York Civil Practice Law and Rules, Rule 6511 (Document Retention)
New York Real Property Action and Proceedings Law Section 1304 (Required Prior Notices)
New York Real Property Action and Proceedings Law Section 1306 (Filings with Superintendent)
New York Real Property Action and Proceedings Law Section 1355 (Report of Sale)
New York Real Property Law Section 254-b.1 (Limitation on Late Charges)
New York Real Property Law Section 275 (Certificate of Discharge Requirement)
New York Real Property Law Section 406 (Municipal Corporations)
New York Real Property Law Section 418 (Assignment of Mortgage, Lease, Lien, or Other Charge)
New York State Banking Law § 10 (Unsafe and Unsound Practices)
New York State Banking Law § 104 (Maintenance of Books, Accounts and Records)
New York State Banking Law § 200-c (Maintenance of Books, Accounts and Records)
New York State Banking Law § 36(10) (Examinations)
New York State Banking Law § 38.7(1) (Application Disclosures and Procedures)
New York State Banking Law § 44 (Failure to Make Reports)
New York State Banking Law § 593 (License Provisions of Mortgage Brokers and Bankers)
New York State Banking Law § 595 (Regulation of Mortgages Brokers and Bankers)
New York State Banking Law § 595-a(1)(c) (Regulation of Mortgage Brokers and Bankers)
New York State Banking Law § 597 (Books and Records)
New York State Banking Law § 599-c (Licenses)
New York State Banking Law § 672 (Falsification of Books, Reports, or Statements)
New York State Banking Law §§ 6-M (2)(j) and 6-M(5) (Improper Issuance of Subprime Home Loans)
New York State Banking Law Article 12-D (Licensed Mortgage Brokers and Bankers)
New York State Executive Law § 63(12)
New York State Insurance Law § 1102 (Insurer's License Requirement)
New York State Insurance Law § 2102 (Acting Without a License)
New York State Insurance Law § 2117 (Acting for or Aiding Unauthorized Insurers)
New York State Insurance Law § 2303 (Standards for Rates)
New York State Insurance Law § 2324 (Rebating and Discrimination)
New York State Insurance Law § 2403 (UDAP)
New York State Penal Law § 175.35 (Offering False Instrument for Filing)
New York State Penal Law § 195.05 (Obstructing Governmental Administration)
New York State Penal Law Sections 175.05, 175.10 (Falsifying Business Records)
Program Fraud Civil Remedies Act, 31 U.S.C. §§ 3801 et seq.
Racketeer Influenced and Corrupt Organizations Act, 18 U.S.C. §§ 1961 et seq.
Real Estate Lending and Appraisals, 12 C.F.R. part 34
Real Estate Settlement Procedures Act, 12 U.S.C. §§ 2601 et seq.
Regulation B, 12 C.F.R. part 1002
Regulation H, 12 C.F.R. § 208.62 et seq. (SARS)
Regulation V, 12 C.F.R. §§ 1022.42 a-c (Accuracy and Integrity Furnished Information)
Regulation X, 12 C.F.R. § 1024.41 (Loss Mitigation Procedures)
Regulation Y, 12 C.F.R. § 225
Risk-Based Capital Guidelines-Market Risk, 12 C.F.R. part 3, App. B
Section 619, Dodd-Frank Wall Street Reform and Consumer Protection Act (Volcker Rule)
Section 626, Omnibus Appropriations Act, 2009 (P.L. 111-8)
Servicemembers Civil Relief Act, 50 U.S.C. App. §§ 501 et seq.
Sudanese Sanctions Regulations, 31 C.F.R. part 538
Superintendent's Regulations § 38.7 (Prohibited Advertising Conduct of Mortgage Brokers and Bankers)
Superintendent's Regulations § 410 (Mortgage Banking Requirements)
Superintendent's Regulations § 410.7 (Books, records, and annual reports of Mortgage Brokers and Bankers)
Superintendent's Regulations § 419 (Servicing Mortgage Loans)
Superintendent's Regulations § 419.10 (Mortgage Servicer Fee Regulations)
Superintendent's Regulations § 419.12 (Quarterly Reporting of Mortgage Servicers)
Superintendent's Regulations § 420 (Mortgage Loan Originators)
Telemarketing Sales Rule, 16 C.F.R. part 310
Tom Lantos Block Burmese JADE (Junta’s Anti-Democratic Efforts) Act of 2008, Pub. L. 110-286
Trading with the Enemy Act of 1917, 50 U.S.C. App. §§ 5, 16
Truth in Lending Act, 15 U.S.C. §§ 1601 et seq.
Truth in Savings Act, 12 U.S.C. §§ 3201 et seq.
Truth in Savings Act, 12 U.S.C. §§ 4301 et seq.
Unsafe and Unsound Practices
Unspecified State "UDAP" Statutes
Unspecified State and Federal Antitrust Laws
Unspecified State Consumer Protection Laws
Unspecified State False Claims Statutes
Unspecified State Fraud Statutes
Unspecified State Securities Laws
Violation of Prior Order
1 million to 4.9 million
$5 million to 24.9 million
$25 million to 99.9 million
$100 million and over