Compass

Enforcement and Discipline

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Banking, Licensed Financial, and Other Financial Products and Services

Action Date

Action

April 30, 2020

Department of Financial Services Issues Consent Order to Bank Hapoalim, B.M. and Bank Hapoalim, B.M., New York Branches

April 20, 2020

Department of Financial Services Issues Consent Order to Industrial Bank of Korea and Industrial Bank of Korea, New York Branch

April 17, 2020

Department of Financial Services Issues Statement of Charges and Notice of Hearing regarding Mallinckrodt PLC, Mallinckrodt LLC, And Specgx LLC
March 16, 2020

Department of Financial Services Issues Banking Order re Virtual Meetings and Stockholder Meetings due to C-19

August 15, 2019

Department of Financial Services Issues Consent Order to Tuition Options, LLC and EDvantage, LLC

June 24, 2019

Department of Financial Services Enters Into Settlement Agreement with MUFG Bank

April 15, 2019

Department of Financial Services Issues Consent Order to UniCredit Group

April 9, 2019

Department of Financial Services Issues Consent Order to Standard Chartered Bank and Standard Chartered Bank, New York Branch

January 31, 2019

Department of Financial Services Issues Consent Order to Coney Island Payroll

January 29, 2019

Department of Financial Services Issues Consent Order to& Standard Chartered Bank and Standard Chartered Bank, New York Branch

January 4, 2019

Department of Financial Services Issues Consent Order to Conduent Education Services, LLC, f/k/a Xerox Education Services, LLC, f/k/a and d/b/a ACS Education Services, Inc.

December 18, 2018

Department of Financial Services Issues Consent Order to Barclays Bank PLC and to Barclays Bank PLC, New York Branch

November 21, 2018

Department of Financial Services Issues Consent Order to Standard Chartered Bank

November 19, 2018

Department of Financial Services Issues:

October 24, 2018

Department of Financial Services Issues Order of Cease and Desist to Firoz Patel; Ferhan Patel; MH Pillars, Inc.
D/B/A Payza; Obopay, Inc.; and MH Pillars, Ltd.

October 10, 2018

Department of Financial Services Issues Consent Order to Mashreqbank, PSC and Mashreqbank, PSC, New York Branch

June 25, 2018

Department of Financial Services Issues Consent Order to Equifax, Inc.

June 20, 2018

Department of Financial Services Issues Consent Order to The Deutsche Bank AG and Deutsche Bank AG New York Branch

May 1, 2018

Department of Financial Services Issues Consent Order to The Goldman Sachs Group, Inc.

January 4, 2018

Department of Financial Services Issues Consent Order to Western Union Financial Services, Inc.

December 21, 2017

Department of Financial Services Issues Consent Order to NongHyup Bank, and NongHyup Bank, New York Branch

November 13, 2017

Department of Financial Services Issues Consent Order to Credit Suisse AG and Credit Suisse AG, New York Branch

September 25, 2017

Department of Financial Services Issues Consent Order to Total Account Recovery, LLC and E-Finance Call Center Support, LLC

September 20, 2017

Department of Financial Services Enters Into Settlement Agreement with NY Community Financial, LLC

August 24, 2017

Department of Financial Services Issues Against Habib Bank Limited and Habib Bank Limited, New York Branch:

May 24, 2017

Department of Financial Services Issues Consent Order to BNP Paribas S.A. and BNP Paribas S.A., New York Branch

May 12, 2017

Department of Financial Services Issues Complaint for Declaratory and Injunctive Relief to Office of the Comptroller of the Currency and Keith A. Noreika, Acting U.S. Comptroller of the Currency

April 21, 2017

Department of Financial Services Issues Consent Order to Standard Chartered Bank

January 30, 2017

Department of Financial Services Issues Consent Order to Deutsche Bank AG and Deutsche Bank AG New York Branch

December 15, 2016

Department of Financial Services Issues Consent Order to Intesa Sanpaolo S.p.A.

November 4, 2016

Department of Financial Services Issues Consent Order to Agricultural Bank of China Limited

October 20, 2016

Department of Financial Services Issues Consent Order to Future Income Payments, LLC

August 19, 2016

Department of Financial Services Issues Consent Order to Mega International Commercial Bank of Taiwan

July 8, 2016

Department of Financial Services Issues Consent Order to Melrose Credit Union

March 15, 2016

Department of Financial Services Issues Consent Order to Blue Global LLC and Chris K. Kay

March 14, 2016

The New York State Department of Financial Services and Federal Reserve Bank of New York enter into Written Agreement with National Bank of Pakistan

February 24, 2016

Department of Financial Services Issues Written Agreement with Industrial Bank of Korea

December 17, 2015

Department of Financial Services Issues Amended Consent Order Pursuant to BL Section 39 to First Central Savings Bank

December 15, 2015

Department of Financial Services Issues Consent Order to Habib Bank Limited (PDF)

November 17, 2015

Department of Financial Services Issues Consent Order to Barclays Bank PLC

November 3, 2015

Department of Financial Services Issues Consent Order to Deutsche Bank AG, Deutsche Bank AG New York Branch

October 28, 2015

Department of Financial Services Issues Consent Order to The Goldman Sachs Group, Inc. Goldman, Sachs & Co.

October 19, 2015

Department of Financial Services Issues Consent Order to Crédit Agricole S.A.; Crédit Agricole Corporate & Investment Bank New York Branch

September 28, 2015

Department of Financial Services lifts the Consent Order issued to United International Bank that has been in effect since July 1, 2013.

August 18, 2015

Department of Financial Services Enters into Agreement with Promontory Financial Group, LLC

June 30, 2015

Department of Financial Services Issues Consent Order to Ineractiv Education, LLC d/b/a Direct Student Aid, Inc., Thomas Panik, and David Stein

June 3, 2015

Department of Financial Services Issues Consent Order to Alma Bank

May 20, 2015

Department of Financial Services Issues Consent Order to Barclays Bank PLC

April 23, 2015

Department of Financial Services Issues Consent Order to Deutsche Bank AG

March 12, 2015

Department of Financial Services Issues Consent Order to Commerzbank

March 10, 2015

Department of Financial Services Issues Consent Order to Selling Source (d/b/a MoneyMutual)

December 22, 2014

Department of Financial Services Issues Consent Order to Bank Leumi

December 18, 2014

Department of Financial Services Reaches Agreement on Final Consent Judgment with Condor Capital

December 18, 2014

Department of Financial Services Receives Consent of Defendants Condor Capital Corporation and Stephen Baron

December 11, 2014

Department of Financial Services Terminates the 2012 Amended Consent Order imposed on Hanover Community Bank

November 18, 2014

Department of Financial Services Issues Consent Order to Bank of Tokyo Mitsubishi UFJ

October 31, 2014

Department of Financial Services Issues Consent Order to American International Group, Inc.

August 19, 2014

Department of Financial Services Issues Consent Order to Standard Chartered Bank, New York Branch

August 18, 2014

Department of Financial Services Enters Into Settlement Agreement with PricewaterhouseCoopers LLP

July 25, 2014

Department of Financial Services and New York’s Attorney General Enter into an agreement with Lyft, Inc.

June 30, 2014

Department of Financial Services Issues Consent Order to BNP Paribas (BNPP)

May 19, 2014

Department of Financial Services Issues Consent Order to Credit Suisse AG

April 23, 2014

Department of Financial Services Obtains Temporary Restraining Order Against Condor Capital

April 15, 2014

Department of Financial Services Lifts the Cease and Desist Order Issued to Niagara Frontier Federal Employees Credit Union on June 22, 2007

March 31, 2014

Department of Financial Services Issues Consent Order to American Life Insurance Company, Delaware American Life Insurance Company and MetLife Inc.

March 25, 2014

The Department of Financial Services lifts the Amended Cease and Desist Order issued to Savoy Bank on October 25, 2010

March 17, 2014

The Department of Financial Services Issues Consent Order to AXA Equitable Life Insurance Company

March 11, 2014

The Department of Financial Services Issues Order to consider proposals and applications in connection with the establishment of virtual currency exchanges located in the State of New York

March 10, 2014

Department of Financial Services Issues Consent Order to Relayrides, Inc.

December 11, 2013

Department of Financial Services issues Consent Order to Royal Bank of Scotland, PLC

September 10, 2013

The Department of Financial Services Issues Consent Order to Prospect Lending, LLC In Lieu of True Name Prospect Mortgage, LLC

August 7, 2013

The Department of Financial Services Issues Order Pursuant to Section 36 and 37 of the New York Banking Law

July 1, 2013

The Department of Financial Services Issues Consent Order to United International Bank

June 20, 2013

The Department of Financial Services Issues Consent Order to Bank of Tokyo Mitsubishi UFJ

June 18, 2013

Cuomo Administration Reaches Reform Agreement With Deloitte Over Standard Chartered Consulting Flaws

May 30, 2013

The Department of Financial Services Reaches Agreement on Code of Conduct with Starnet Insurance Company and Finsecure, LLC

May 30, 2013

The Department of Financial Services Reaches Agreement on Code of Conduct with The Fidelity and Deposit Company of Maryland

May 30, 2013

The Department of Financial Services Reaches Agreement on Code of Conduct with Chubb & Son

May 30, 2013

The Department of Financial Services Reaches Consent Order to American Modern Home Insurance Company and American Modern Insurance Group, Inc.

May 30, 2013

The Department of Financial Services Lifts Consent Order Issued to Amalgamated Bank

April 18, 2013

The Department of Financial Services Issues Consent Order to QBE FIRST, QBE Insurance, and QBE Holdings

April 18, 2013

The Department of Financial Services Issues Consent Order to Balboa, MeritPlan, BA Insurance Group, QBE FIRST and QBE

April 9, 2013

The Department of Financial Services Issues Stipulation to Zurich American Insurance Company

March 25, 2013

The New York State Department of Financial Services and Federal Reserve Bank of New York Enter Into a Written Agreement with HSH NORDBANK AG

January 14, 2013

The Department of Financial Services Lifts Consent Order Issued to First American International Bank (issued December 14, 2010)

December 5, 2012

The Department of Financial Services Issues Consent Order to Ocwen Loan Servicing, LLC

September 21, 2012

The Department of Financial Services Issues Consent Order to Standard Chartered Bank

August 06, 2012

The Department of Financial Services Issues Consent Order to Standard Chartered Bank

June 25, 2012

The Department of Financial Services Issues an Amended Consent Order to First Central Savings Bank

June 8, 2012

QBE Insurance Corporation Ordered to Propose and Justify Amended Rates for Force-Placed Insurance

June 8, 2012

American Security Insurance Company Ordered to Propose and Justify Amended Rates for Force-Placed Insurance

June 8, 2012

American Modern Home Ordered to Propose and Justify Amended Rates for Force-Placed Insurance

May 14, 2012

The Department of Financial Services Issues an Amended Consent Order to Hanover Community Bank