Compass

Enforcement and Discipline

SHARE

Banking, Licensed Financial, and Other Products and Services

Action Date

Action

Category

2023-09-29

Department of Financial Services Issues Consent Order to Shinhan Bank America

Banks and Trusts

2023-07-07

Department of Financial Services Issues Consent Order to SA Stone Wealth Management Inc.

Insurance

2023-05-24

Department of Financial Services Issues Consent Order to OneMain Financial Group, LLC Banks and Trusts
2023-05-02 Department of Financial Services Issues Consent Order to bitFlyer USA, Inc.

Virtual Currency

2023-05-01

Department of Financial Services Issues Settlement Agreement with Richard Barenblatt

Mortgage
2023-05-01

Department of Financial Services Issues Settlement Agreement with Keith Furer

Mortgage
2023-05-01

Department of Financial Services Issues Settlement Agreement with Kevin Ungar

Mortgage
2023-05-01

Department of Financial Services Issues Settlement Agreement with David Breitstein

Mortgage
2023-04-13

Department of Financial Services Issues Consent Order to CFCU Community Credit Union

Banks and Trusts

2023-03-16

Department of Financial Services Issues Consent Order to Bit Pay, Inc.

Virtual Currency

2023-01-04

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

Virtual Currency

2022-10-18

Department of Financial Services Issues Consent Order to EyeMed Vision Care LLC 

Insurance

2022-10-05

Department of Financial Services Issues Consent Order to Rhinebeck Bank

Banks and Trusts

2022-08-02

Department of Financial Services Issues Consent Order to Robinhood Crypto, LLC

Virtual Currency

2022-06-24

Department of Financial Services Issues Consent Order to Carnival Corporation d/b/a Carnival Cruise Line; Princess Cruise Lines, Ltd; Holland America Line NV; Seabourn Cruise Line, Ltd; and Costa Cruise Lines, Inc.

Insurance

2022-02-16

Department of Financial Services Issues Consent Order to National Bank of Pakistan and National Bank of Pakistan, NY Branch

Banks and Trusts

2021-10-26

Department of Financial Services Issues Consent Order to Mashreqbank, PSC

Banks and Trusts

2021-06-24

Department of Financial Services Issues Agreement with Adirondack Trust Company

Banks and Trusts

2021-06-24

Department of Financial Services Issues Agreement with Chemung Canal Trust Company

Banks and Trusts

2021-06-15

Department of Financial Services Issues Settlement Agreement with Premium Mortgage Corporation

Mortgage

2021-05-13

Department of Financial Services Issues Consent Order to First Unum Life Insurance Company and The Paul Revere Life Insurance Company 

Insurance

2021-04-12

Department of Financial Services Issues Consent Order to National Securities Corporation 

Insurance

2021-03-22

Department of Financial Services Issues Settlement Agreement with 1st Priority Mortgage, Inc.

Mortgage

2021-03-03

Department of Financial Services Issues Consent Order to Residential Mortgage Services, Inc.

Mortgage

2021-02-04

Department of Financial Services Issues Agreement with Hunt Mortgage Corporation

Mortgage

2020-10-21

Department of Financial Services Issues Consent Order to Goldman Sachs Group and Goldman Sachs Bank USA

Banks and Trusts

2020-10-20

Department of Financial Services Issues Statement of Charges and Notice of Hearing regarding Aliera Companies and Trinity Healthshare

Insurance

2020-10-16

Department of Financial Services Issues Statement of Charges and Notice of Hearing regarding Forster & Garbus LLP

Debt Collection

2020-10-09

Department of Financial Issues Statement of Charges and Notice of Hearing regarding Johnson & Johnson and related companies

Insurance

2020-08-18

Department of Financial Services Issues Statement of Charges and Notice of Hearing regarding Teva Pharmaceutical Industries, Ltd.,  and Allergan PLC.

Insurance

2020-04-06

Department of Financial Services Issues Consent Order to Deutsche Bank AG, Deutsche Bank AG New York Branch, and Deutsche Bank Trust Company of the Americas

Banks and Trusts

2020-06-08

Department of Financial Services Issues Statement of Charges and Notice of Hearing regarding Endo International, PLC., Endo Health Solutions, Inc., Endo Pharmaceuticals Inc., and PAR Pharmaceutical Companies, Inc. Updated July 28, 2021

Insurance

2020-04-30

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

Banks and Trusts

2020-04-20

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

Banks and Trusts

2020-04-17

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

Insurance

2020-03-16

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

Banks and Trusts

2020-03-12

Order Granting Temporary Relief to COVID-19 Affected Regulated Entities and Persons

COVID-19

2019-08-15

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

Student Loan Servicing

2019-06-24

Department of Financial Services Enters Into Settlement Agreement with MUFG Bank

Banks and Trusts

2019-04-15

Department of Financial Services Issues Consent Order to UniCredit Group

Banks and Trusts

2019-04-09

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

Banks and Trusts

2019-01-31

Department of Financial Services Issues Consent Order to Coney Island Payroll

Check Cashers

2019-01-29

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

Banks and Trusts

2019-01-04

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.

Student Loan Servicing

2018-12-18

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

Banks and Trusts

2018-11-21

Department of Financial Services Issues Consent Order to Standard Chartered Bank

Banks and Trusts

2018-11-19

Department of Financial Services Issues Consent Order to Société Générale SA and Société Générale, New York Branch - BSA/AMLConsent Order to Société Générale SA and Société Générale, New York Branch - Sanctions

Banks and Trusts

2018-10-24

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.

Money Transmitters

2018-10-10

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

Banks and Trusts

2018-06-25

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

Credit Reporting

2018-06-20

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

Banks and Trusts

2018-05-01

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

Banks and Trusts

2018-01-04

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

Money Transmitters

2017-12-21

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

Banks and Trusts

2017-11-13

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

Banks and Trusts

2017-09-25

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

Payday Lending

2017-09-20

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

Check Cashers

2017-08-24

Department of Financial Services Issues Against Habib Bank Limited and Habib Bank Limited, New York Branch a Notice of Hearing and Statement of Charges an Order Regarding Transaction Review, and an Order Regarding Tender of Surrender

Banks and Trusts

2017-05-24

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

Banks and Trusts

2017-05-12

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

Banks and Trusts

2017-04-21

Department of Financial Services Issues Consent Order to Standard Chartered Bank

Banks and Trusts

2017-01-30

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

Banks and Trusts

2016-12-15

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

Banks and Trusts

2016-11-04

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

Banks and Trusts

2016-10-20

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

 

2016-08-19

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

Banks and Trusts

2016-04-08

Department of Financial Services Issues Consent Order to Melrose Credit Union

Banks and Trusts

2016-03-15

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

 

2016-03-14

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

Banks and Trusts

2016-02-24

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

Banks and Trusts

2015-12-17

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

Banks and Trusts

2015-12-15

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

Banks and Trusts

2015-11-17

Department of Financial Services Issues Consent Order to Barclays Bank PLC

Banks and Trusts

2015-11-03

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

Banks and Trusts

2015-10-28

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

Banks and Trusts

2015-10-19

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

Banks and Trusts

2015-09-28

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

Banks and Trusts

2015-08-18

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

 

2015-06-30

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

 

2015-06-03

Department of Financial Services Issues Consent Order to Alma Bank

Banks and Trusts

2015-05-20

Department of Financial Services Issues Consent Order to Barclays Bank PLC

Banks and Trusts

2015-04-23

Department of Financial Services Issues Consent Order to Deutsche Bank AG

Banks and Trusts

2015-03-12

Department of Financial Services Issues Consent Order to Commerzbank

Banks and Trusts

2015-03-10

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

 

2014-12-22

Department of Financial Services Issues Consent Order to Bank Leumi

Banks and Trusts

2014-12-18

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

 

2014-12-18

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

 

2014-12-11

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

 

2014-11-18

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

 

2014-10-31

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

 

2014-08-19

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

Banks and Trusts

2014-08-18

Department of Financial Services Enters Into Settlement Agreement with PricewaterhouseCoopers LLP, related Exhibit B - Independent Consultant Practices for Department Engagements and Excerpt of Draft HTR

 

2014-06-25

Department of Financial Services and New York Attorney General enter into agreement with Lyft, Inc.

 

2014-06-30

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

Banks and Trusts

2014-05-19

Department of Financial Services Issues Consent Order to Credit Suisse AG

Banks and Trusts

2014-04-23

Department of Financial Services Obtains Temporary Restraining Order Against Condor Capital

 

2014-04-15

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

Banks and Trusts

2014-03-31

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

Insurance

2014-03-25

Department of Financial Services lifts Amended Cease and Desist Order issued to Savoy Bank

 

2014-03-17

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

 

2014-03-11

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

Virtual Currency

2014-03-10

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

 

2013-12-11

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

Banks and Trusts

2013-09-10

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

Mortgage

2013-08-30

Department of Financial Services Issues Extension of Temporary Order Pursuant to Banking Law § 6-m and Financial Services Law § 302(a)

Banking and Financial Services

2013-08-07

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

 

2013-07-03

Department of Financial Services Issues Temporary Order Pursuant to Banking Law § 6-m and Financial Services Law § 302(A)
Issues

Banking and Financial Services

2013-07-01

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

Banks and Trusts

2013-06-20

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

Banks and Trusts

2013-06-18

New York Reaches Reform Agreement With Deloitte over Standard Chartered Consulting Flaws

 

2013-05-30

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

Insurance

2013-05-30

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

 

2013-05-30

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

 

2013-05-30

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

Insurance

2013-05-30

Department of Financial Services Lifts Consent Order Issued to Amalgamated Bank

Banks and Trusts

2013-04-18

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

Insurance

2013-04-18

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

Insurance

2013-04-09

Department of Financial Services Issues Stipulation to Zurich American Insurance Company

Insurance

2013-03-25

Department of Financial Services and FRBNY Enter Into a Written Agreement with HSH NORDBANK AG

Banks and Trusts

2013-01-14

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

Banks and Trusts

2012-12-05

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

 

2012-09-21

Department of Financial Services Issues Consent Order to Standard Chartered Bank

Banks and Trusts

2012-08-06

Department of Financial Services Issues Consent Order to Standard Chartered Bank

Banks and Trusts

2012-06-25

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

Banks and Trusts

2012-06-08

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

Insurance

2012-06-08

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

Insurance

2012-06-08

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

Insurance

2012-05-14

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

Banks and Trusts