Compass

Enforcement and Discipline

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Banking, Licensed Financial, and Other Financial Products and Services

Action Date Enforcement Action
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 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.