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Enforcement Actions - General

Enforcement Actions Home | General Enforcement Actions | Insurance | Mortgage Banking

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August 19, 2014 The Department of Financial Services Issues Consent Order to Standard Chartered Bank, New York Branch (PDF)
August 18, 2014

The Department of Financial Services Enters Into Settlement Agreement with PricewaterhouseCoopers LLP (PDF)

May 19, 2014 The Department of Financial Services Issues Consent Order to Credit Suisse AG (PDF)
April 15, 2014 The Department of Financial Services Lifts the Cease and Desist Order Issued to Niagara Frontier Federal Employees Credit Union on June 22, 2007 (PDF)
March 31, 2014 The Department of Financial Services Issues Consent Order to American Life Insurance Company, Delaware American Life Insurance Company and MetLife Inc. (PDF)
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 (PDF)
September 10, 2013 The Department of Financial Services Issues Consent Order to Prospect Lending, LLC In Lieu of True Name Prospect Mortgage, LLC (PDF)
August 7, 2013

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

July 1, 2013 The Department of Financial Services Issues Consent Order to United International Bank (PDF)
June 18, 2013 Cuomo Administration Reaches Reform Agreement With Deloitte Over Standard Chartered Consulting Flaws
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 (PDF)
April 18, 2013 The Department of Financial Services Issues Consent Order to Balboa, MeritPlan, BA Insurance Group, QBE FIRST and QBE (PDF)
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 (PDF)
January 14, 2013 The Department of Financial Services Lifts Consent Order Issued to First American International Bank
December 5, 2012 The Department of Financial Services Issues Consent Order to Ocwen Loan Servicing, LLC (PDF)
September 21, 2012 The Department of Financial Services Issues Consent Order to Standard Chartered Bank (PDF)
August 06, 2012 The Department of Financial Services Issues Consent Order to Standard Chartered Bank (PDF)
June 25, 2012 The Department of Financial Services Issues an Amended Consent Order to First Central Savings Bank (PDF)
June 8, 2012 QBE Insurance Corporation Ordered to Propose and Justify Amended Rates for Force-Placed Insurance (PDF)
June 8, 2012 American Insurance Company Ordered to Propose and Justify Amended Rates for Force-Placed Insurance (PDF)
June 8, 2012 American Modern Home Ordered to Propose and Justify Amended Rates for Force-Placed Insurance (PDF)
May 14, 2012 The Department of Financial Services Issues an Amended Consent Order to Hanover Community Bank (PDF)
August 31, 2011 Banking Department Issues Consent Order to Amalgamated Bank (PDF)
July 28, 2011 Banking Department Issues Order of Suspension to Belair Payroll Services, Inc. (PDF)
July 27, 2011 Banking Department, Connecticut Department of Banking, Illinois Department of Financial and Professional Regulation and Federal Reserve Issue Joint Cease and Desist to Royal Bank of Scotland (PDF)
April 15, 2011 Banking Department and the Board of Governors of the Federal Reserve System and the Florida Office of Financial Regulation Issue a Consent Order to Cease and Desist and Assessment of Civil Money Penalties to Banco Industrial de Venezuela, C.A. (PDF)
December 14, 2010 Banking Department Issues Consent Order to Address Supervisory Concerns to First American International Bank (PDF)
October 25, 2010 Banking Department Issues Amended Consent Order to Cease and Desist to Savoy Bank (PDF)
August 18, 2010 Banking Department and Board of Governors of the Federal Reserve Issue Consent Order to Cease and Desist to Barclays Bank PLC (PDF)
July 27, 2010 Banking Department Issues Consent Order to Address Supervisory Concerns to Hanover Community Bank (PDF)
May 19, 2010

Banking Department and Federal Reserve Bank of New York Terminate 2007 Written Agreement with Banco de la Nación Argentina (PDF)

May 6, 2010 Banking Department and Federal Reserve Bank of New York Terminate 2007 Written Agreement with Sumitomo Mitsui Banking Corporation (PDF)
April 22, 2010 Banking Department Issues Order to Cease and Desist to USA Bank (PDF)
February 18, 2010 Banking Department Issues Order of Suspension to Manhattan Money Branch.com, Inc. (PDF)
February 17, 2010 Banking Department Issues Order to Address Supervisory Concerns to First Central Savings Bank (PDF)
January 29, 2010 Banking Department Issues Consent Order to Address Supervisory Concerns to Bank of Smithtown (PDF)
January 15, 2010

Banking Department Terminates 2007 Written Agreement with American Express Bank, LTD

September 23, 2009

Banking Department Terminates 2007 Written Agreement with Brown Brothers Harriman (PDF)

July 16, 2009 Banking Department Issues Consent Order to Cease and Desist to LibertyPointe Bank (PDF)
June 8, 2009 Banking Department Issues Consent Order to Cease and Desist to Savoy Bank (PDF)
June 5, 2009

Banking Department Terminates 2005 Order to Cease and Desist with Israel Discount Bank of New York (PDF)

May 20, 2009 Banking Department Enters Into Written Agreement with Philippine National Bank and its New York Branch (PDF)
May 11, 2009 Banking Department Terminates 2008 Order to Cease and Desist with Dresdner Bank AG and its New York Branch (PDF)
April 27, 2009 Banking Department Terminates 2007 Order to Cease and Desist with First American International Bank
February 12, 2009 Banking Department Issues Consent Order to Cease and Desist to Waterford Village Bank (PDF)
February 11, 2009 Banking Department Issues Consent Order to Cease and Desist to The Park Avenue Bank (PDF)
November 7, 2008

Banking Department Issues Consent Order to Cease and Desist to Dresdner Bank AG (PDF)

July 18, 2008 Banking Department Issues Order to V & V. Check Cashing Corp.
May 21, 2008 Banking Department Issues Order to CB Budget Planning Corp.
October 22, 2007 Banking Department Issues Consent Order to Cease and Desist to USA Bank (PDF)
September 28, 2007 Banking Department Issues Second Revised Order to C.L.B. Check Cashing, Inc.
August 31, 2007

Banking Department Enters Into Written Agreement with Brown Brothers Harriman & Co. (PDF)

August 6, 2007 Banking Department Enters Into Written Agreement with American Express Bank, LTD
August 3, 2007 Banking Department Issues Consent Order to Cease and Desist to First American International Bank
July 10, 2007

Banking Department and Federal Reserve Bank of New York Terminate 2004 Written Agreement with Standard Chartered Bank

July 2, 2007 Banking Department Terminates 2004 Order to Cease and Desist Issued to Empire Branch 36 NALC Credit Union
June 28, 2007 Banking Department Issues Consent Order to Cease and Desist to Canisteo Savings and Loan Association
June 22, 2007 Banking Department Issues Consent Order to Cease and Desist to Niagara Frontier Federal Employees Credit Union
June 15, 2007 Banking Department Issues Consent Order to Cease and Desist to Niagara Falls Penn Central Employees Credit Union
April 26, 2007 Banking Department Issues Revised Order to C.L.B. Check Cashing, Inc.
March 13, 2007 Banking Department and Federal Reserve Bank of New York Enter Into Written Agreement with Intesa Sanpaolo S.p.A. and its New York Branch (PDF)
March 6, 2007 Banking Department and Federal Reserve Bank of New York Enter Into Written Agreement with Banco de la Nación Argentina and its New York Branch (PDF)
January 24, 2007 Banking Department and Federal Reserve Bank of New York Enter Into Written Agreement with Sumitomo Mitsui Banking Corporation and its New York Branch (PDF)
December 21, 2006 Banking Department and Federal Reserve Bank of New York Enter Into Written Agreement with Habib Bank Limited and its New York Branch (PDF)
December 18, 2006 Banking Department and Federal Reserve Banks of New York and San Francisco Issue Written Agreement with Mitsubishi UFJ Financial Group, Inc. and the The Bank of Tokyo-Mitsubishi UFJ, Ltd. and its New York Branch (PDF)
December 18, 2006

Banking Department and FDIC Issue Consent Order to Cease and Desist to Bank of Tokyo-Mitsubishi UFJ Trust Company (PDF)

October 20, 2006

Banking Department, FINCEN and FDIC Issue Consent Order of Assessment of Civil Monetary Penalty Against Israel Discount Bank of New York (PDF)
October 12, 2006 Banking Department Enters into Settlement Agreement with Flatiron Capital Corp.
September 21, 2006 Banking Department and Federal Reserve Bank of New York Terminate 2004 Order to Cease and Desist Issued to Credit Agricole, S.A., Paris, France and its Subsidiaries (PDF)
August 15 , 2006 Banking Department Issues Order to Address Supervisory Concerns to C.L.B. Check Cashing
July 31, 2006 Banking Department Terminates (PDF) 2003 Order to Cease and Desist Issued to United Orient Bank
July 14, 2006 Banking Department, State of Florida Office of Financial Regulation and Federal Reserve Banks of New York and Atlanta Enter Into Written Agreement with Banco Industrial de Venezuela C.A. and its New York and Miami Agencies (PDF)
May 18, 2006 Banking Department Issues Order of Assessment of Civil Money Penalty to Liberty Bank of New York (PDF)

April 24, 2006

Banking Department and Federal Reserve Bank of New York Enter Into Written Agreement with The Bank of New York (PDF)

December 19, 2005 Banking Department, Federal Reserve Board, Office of Foreign Assets Control (“OFAC”), Illinois Department of Financial and Professional Regulation Issue Consent Order of Assessment of a Civil Money Penalty, Monetary Payment and Order to File Reports to ABN AMRO BANK N.V. and its New York and Chicago Branches (PDF)
December 19, 2005 Banking Department, De Nederlandsche Bank, Federal Reserve Board and Illinois Department of Financial and Professional Regulation Issue Consent Order to Cease and Desist and Order to issue a Direction to ABN AMRO BANK N.V. and its New York and Chicago Branches (PDF)
December 16, 2005 Banking Department Issues Consent Order to Cease and Desist to Israel Discount Bank of New York (PDF)
December 6, 2005 Banking Department Enters Into Stipulation Agreement with BISA Check Cashing Corp.
October 14, 2005 Banking Department and Federal Reserve Bank of New York Enter Into Written Agreement with Deutsche Bank Trust Company Americas (PDF)
August 9, 2005 Banking Department Enters Into Settlement Agreement with BHS (New York) Corporation
August 8, 2005 Banking Department Issues Order of Suspension to Delavan Check Cashing Services, Inc.
July 15, 2005 Banking Department Takes Possession of Jamaica Postal Credit Union, Appoints NCUA as Receiver/Liquidator
June 28, 2005 Banking Department Enters Into a Settlement Agreement with River City Market, Inc.
May 16, 2005 Banking Department Issues Order of Suspension to Super Quick, LLC.
May 4, 2005 Banking Department, Florida Office of Financial Regulation and Federal Reserve Banks of Atlanta and New York Enter Into Written Agreement with Banco Industrial de Venezuela, C.A. and its New York and Miami Agencies (PDF)
March 8, 2005 Banking Department Enters Into Settlement Agreement with Condor Capital Corporation
November 30, 2004 Banking Department Issues Consent Order to Cease and Desist to Liberty Bank of New York
October 13, 2004 Banking Department Enters Into Settlement Agreement with Amityville Payroll Services, Inc.
October 7, 2004

Banking Department and Federal Reserve Bank of New York Enter Into Written Agreement with Standard Chartered Bank and its New York Branch

October 6, 2004 Banking Department Issues Consent Cease and Desist Order to Empire Branch 36 NALC Credit Union (PDF)
September 10, 2004 Banking Department Issues Order of Suspension to BISA Check Cashing Corp.
July 26, 2004 Banking Department Issues Consent Order of Assessment of Monetary Penalty Against Turkiye Cumhuriyeti Ziraat Bankasi and its New York Branch
July 26, 2004 Banking Department, Federal Reserve Banks of Chicago and New York and Illinois Department of Financial and Professional Regulation Enter Into Written Agreement with ABN AMRO Bank, N.V. and its New York Branch (PDF)
April 28, 2004 Banking Department Issues Temporary Order of Suspension to Bronx Check Cashing Corporation and Uribea Realty Corporation
April 21, 2004 Banking Department Issues Temporary Order of Suspension to Cashpoint Network Services, Inc.
April 8, 2004 Banking Department Enters Into Settlement Agreement with Bandco Check Cashing Services, Inc.
March 24, 2004 Banking Department Enters Into Settlement Agreement with Westchester Check Cashing, Inc.
March 19, 2004 Banking Department Takes Possession of Reliance Bank Appoints FDIC as Receiver
March 16, 2004 Banking Department Issues Consent Order to Cease and Desist to Chinese American Bank
March 10, 2004 Banking Department and Federal Reserve Board Issue Consent Order to Cease and Desist and Consent Order of Assessment of a Civil Money Penalty and Monetary Payment against Credit Agricole, S.A. and Subsidiaries (PDF)
March 4, 2004 Banking Department Enters Into Settlement Agreement with Transworld Transmitting Corp.
February 13, 2004 Banking Department Enters Into Settlement Agreement with Rupali Exchange, Inc.
December 18, 2003 Banking Department Enters Into Settlement Agreement with Whitestone Check Cashing Corp.
December 2, 2003 Banking Department issues Order of Suspension to Whitestone Check Cashing Corp.
September 30, 2003 Banking Department Issues Consent Order to Cease and Desist to United Orient Bank
September 15, 2003 Banking Department Enters Into Settlement Agreement with J.C.G. Check Cashing Corp.
July 28, 2003 Banking Department and Federal Reserve Bank of New York Enter into Written Agreement with J.P. Morgan Chase & Co.
April 30, 2003 Banking Department and Federal Reserve Bank of New York Enter Into Written Agreement with HSBC Bank USA
December 18, 2002 Banking Department Enters Into Agreement with Western Union Financial Services, Inc.
November 8, 2002 Banking Department Enters Into Settlement Agreement with SDM Check Cashing Corp.
November 6, 2002 Banking Department Enters Into Settlement Agreement with Alivad Associates, Inc.
July 25, 2002 Banking Department Enters into Settlement Agreement with Casa De Cambio Delgado, Inc.
June 3, 2002 Banking Department issues Order of Suspension to IPP, LLC
December 20, 2001 Banking Department Enters Into Settlement Agreement with J.C.G. Check Cashing Corp.
November 14 , 2001 Banking Department, Federal Reserve Banks of New York, San Francisco, and FDIC Issue Consent Order to Cease and Desist and Order of Assessment of a Civil Money Penalty and Monetary Payment to State Bank of India and its New York and Chicago Branches and Los Angeles Agency
November 8, 2001 Banking Department Issues Order to Cease and Desist and Imposition of Monetary Penalty to Continental Stock Transfer and Trust Company
October 11, 2001 Banking Department Issues Consent Order to Cease and Desist and Imposition of Monetary Penalty to Commercial Bank of New York
July 13, 2001 Banking Department and Federal Reserve Bank of New York Issue Consent Order to Cease and Desist and Order of Assessment of a Civil Money Penalty and Monetary Payment to U.S. Trust Corporation and its Subsidiary
June 22, 2001 Banking Department Issues Request for Commitment Letter to Citigroup Regarding Implementation of Agreements Made With the Department

Updated 10/01/2014