Compliance Violation Case Library

3,071 documented enforcement actions across 65 regulated industries

EntityLocationYearIndustryPenaltyDeaths
Westlake Services, LLC, d/b/a Westlake Financial Services. LLC, and Wilshire Consumer Credit, LLC, d/b/a as Wilshire Commercial Capital, LLC , 2015 Community Banks / Credit Unions $44.1M
James R. Carnes; Melissa C. Carnes; James R. Carnes Revocable Trust; Melissa C. Carnes Revocable Trust , 2023 Community Banks / Credit Unions $43M
Leader of Local Money Laundering Cell , CA 2026 Community Banks / Credit Unions $42M
South Florida Woman , FL 2013 Community Banks / Credit Unions $42M
FDATR, Inc.; Dean Tucci; and Kenneth Wayne Halverson , 2020 Community Banks / Credit Unions $41.1M
LendUp Loans, LLC , 2021 Community Banks / Credit Unions $40.5M
Vincent Howard, Lawrence W. Williamson, Howard Law, P.C., The Williamson Law Firm, LLC, and Williamson & Howard, LLP , 2017 Community Banks / Credit Unions $40M
Academy Mortgage Corporation , CA 2022 Community Banks / Credit Unions $38.5M
Integrity Advance, LLC and James R. Carnes , 2015 Community Banks / Credit Unions $38M
U.S. Bank National Association , 2022 Community Banks / Credit Unions $37.5M
Attorney Announces $3.6 Million , PA 2017 Community Banks / Credit Unions $37.5M
The Mortgage Law Group, LLP d/b/a The Law Firm of Macey, Aleman & Searns, Consumer First Legal Group LLC, Thomas G. Macey, Jeffrey J. Aleman, Jason Searns, and Harold E. Stafford , 2014 Community Banks / Credit Unions $37.3M
Commonwealth Equity Group, LLC (d/b/a Key Credit Repair); Nikitas Tsoukales (a/k/a Nikitas Tsoukalis) , 2020 Community Banks / Credit Unions $36.2M
Tempoe, LLC , 2023 Community Banks / Credit Unions $36M
RBS Securities Inc. , CT 2017 Community Banks / Credit Unions $35M
and Consumer Financial Protection Bureau Reach $35 Million , OH 2013 Community Banks / Credit Unions $35M
Nomura Securities International , CT 2023 Community Banks / Credit Unions $35M
GE Capital Retail Bank and CareCredit LLC , 2013 Community Banks / Credit Unions $34.1M
Solomon & Solomon, P.C. , 2016 Community Banks / Credit Unions $34M
Citibank, N.A., Department Stores National Bank, and CitiFinancial Servicing, LLC , 2016 Community Banks / Credit Unions $34M
Citibank, N.A. , 2016 Community Banks / Credit Unions $34M
Faloni & Associates, LLC , 2016 Community Banks / Credit Unions $34M
Hudson City Savings Bank, F.S.B. Parsippany, NJ 2009 Community Banks / Credit Unions $33M
USASF Servicing, LLC , 2023 Community Banks / Credit Unions $32.6M
First National Bank of Omaha , 2016 Community Banks / Credit Unions $32.3M
City National Bank Los Angeles, CA 2017 Community Banks / Credit Unions $31M
Burlington Financial Group, LLC, Richard Burnham, Katherine Burnham, and Sang Yi , 2021 Community Banks / Credit Unions $30.5M
Prehired, LLC, Prehired Recruiting, LLC, and Prehired Accelerator, LLC , 2023 Community Banks / Credit Unions $30M
Virtual Asset Trading Platform , CA 2025 Community Banks / Credit Unions $29.7M
CitiMortgage, Inc. , 2017 Community Banks / Credit Unions $28.8M
CitiFinancial Servicing, LLC (DE), CitiFinancial Company (DE), CitiFinancial Services, Inc. (MN), and CitiFinancial, Inc. (WV) , 2017 Community Banks / Credit Unions $28.8M
Navy Federal Credit Union , 2016 Community Banks / Credit Unions $28.5M
Navy Federal Credit Union Vienna, VA 2013 Community Banks / Credit Unions $28.5M
Stamford Man , CT 2025 Community Banks / Credit Unions $28.4M
TD Bank, N.A. , 2024 Community Banks / Credit Unions $28M
Michael Harper, Ben Wilcox, Marc Hoffman et al. , 2014 Community Banks / Credit Unions $27.7M
Hudson City Savings Bank, F.S.B. , 2015 Community Banks / Credit Unions $27M
New York Small Business Lender , NY 2010 Community Banks / Credit Unions $26.3M
Chairman of the Board of Puerto Rican Bank , FL 2025 Community Banks / Credit Unions $26M
TD Bank Insider , NJ 2026 Community Banks / Credit Unions $26M
Citibank, N.A. , 2023 Community Banks / Credit Unions $25.9M
Former Bank CEO , FL 2026 Community Banks / Credit Unions $25.3M
Trustee Program Announces Successful Conclusion Of Nationwide , MA 2013 Community Banks / Credit Unions $25M
Discover Bank, The Student Loan Corporation, and Discover Products, Inc. , 2020 Community Banks / Credit Unions $25M
Shinhan Bank America New York, NY 2016 Community Banks / Credit Unions $25M
TCF National Bank , 2017 Community Banks / Credit Unions $25M
ACI Worldwide Corp. and ACI Payments Inc. , 2023 Community Banks / Credit Unions $25M
Portfolio Recovery Associates, LLC , 2023 Community Banks / Credit Unions $24M
American Honda Finance Corporation , 2015 Community Banks / Credit Unions $24M
and Consumer Financial Protection Bureau Reach Groundbreaking , CA 2015 Community Banks / Credit Unions $24M
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