Oscar Health Plan of California | Oscar Health Inc. | insurance violation | 2023 | CA-MHC | $6,500 |
Oscar Health Plan of California | Oscar Health Inc. | insurance violation | 2023 | CA-MHC | $12,000 |
Oscar Health Plan of California | Oscar Health Inc. | insurance violation | 2023 | CA-MHC | $5,000 |
Bankers Life & Casualty Company | CNO Financial | insurance violation | 2023 | CT-INS | $10,000 |
Ace American Insurance Company | Chubb Limited | insurance violation | 2023 | CT-INS | $72,500 |
Stewart Title Company | Stewart Information Services | insurance violation | 2023 | IN-INS | $6,570 |
STIFEL, NICOLAUS & COMPANY, INC. | Stifel Financial | investor protection violation | 2023 | MA-SEC | $2,500,000 |
Nationwide Property and Casualty Insurance Company et al. | Nationwide | insurance violation | 2023 | MD-INS | $180,000 |
State Farm Mutual Automobile Insurance Company | State Farm Insurance | insurance violation | 2023 | MD-INS | $25,000 |
Merrill Lynch, Pierce, Fenner and Smith Inc. | Bank of America | privacy violation | 2023 | NH-BSR | $700,000 |
OneMain Financial Group LLC | OneMain Holdings | privacy violation | 2023 | NY-DFS | $4,250,000 |
Marsh USA Inc. | Marsh & McLennan | insurance violation | 2023 | NY-DFS | $123,100 |
Arthur J. Gallagher & Co. Insurance Brokers of California, Inc. | Arthur J. Gallagher & Co. | insurance violation | 2023 | NY-DFS | $49,850 |
Alpha Property & Casualty Insurance Company | Kemper | insurance violation | 2023 | OR-FIN | $30,000 |
Highmark, Inc. | Highmark Inc. | insurance violation | 2023 | SD-INS | $5,000 |
Everest Premier Insurance Company | Everest Re Group | insurance violation | 2023 | TX-INS | $5,500 |
Liberty Mutual Fire Insurance Company | Liberty Mutual Insurance | insurance violation | 2023 | TX-INS | $11,500 |
Liberty Insurance Corporation | Liberty Mutual Insurance | insurance violation | 2023 | TX-INS | $7,500 |
Standard Fire Insurance Company | Travelers | insurance violation | 2023 | TX-INS | $7,000 |
Indemnity Insurance Company of North America | Chubb Limited | insurance violation | 2023 | TX-INS | $10,500 |
American Zurich Insurance Company | Zurich Insurance | insurance violation | 2023 | TX-INS | $21,500 |
Travelers Indemnity Company of Connecticut | Travelers | insurance violation | 2023 | TX-INS | $5,500 |
Liberty Mutual Fire Insurance Company | Liberty Mutual Insurance | insurance violation | 2023 | TX-INS | $14,500 |
Hartford Accident & Indemnity Company | Hartford Financial Services | insurance violation | 2023 | TX-INS | $14,000 |
Zurich American Insurance Company | Zurich Insurance | insurance violation | 2023 | TX-INS | $12,500 |
LM Insurance Corporation | Liberty Mutual Insurance | insurance violation | 2023 | TX-INS | $28,000 |
Ace American Insurance Company | Chubb Limited | insurance violation | 2023 | TX-INS | $38,500 |
Indemnity Insurance Company of North America | Chubb Limited | insurance violation | 2023 | TX-INS | $69,000 |
AIU Insurance Company | American International Group | insurance violation | 2023 | TX-INS | $15,000 |
Indemnity Insurance Company of North America | Chubb Limited | insurance violation | 2023 | TX-INS | $80,300 |
Ace American Insurance Company | Chubb Limited | insurance violation | 2023 | TX-INS | $8,000 |
Trumbull Insurance Company | Hartford Financial Services | insurance violation | 2023 | TX-INS | $7,500 |
New Hampshire Insurance Company | American International Group | insurance violation | 2023 | TX-INS | $5,500 |
Security National Insurance Company | Zurich Insurance | insurance violation | 2023 | TX-INS | $14,000 |
State Farm Lloyds | State Farm Insurance | insurance violation | 2023 | TX-INS | $350,000 |
LM Insurance Corp. | Liberty Mutual Insurance | insurance violation | 2023 | TX-INS | $11,000 |
Safety National Casualty Corporation | Tokio Marine | insurance violation | 2023 | TX-INS | $10,000 |
Arch Insurance Company | Arch Capital | insurance violation | 2023 | TX-INS | $10,000 |
New Hampshire Insurance Company | American International Group | insurance violation | 2023 | TX-INS | $10,000 |
New Hampshire Insurance Co. | American International Group | insurance violation | 2023 | TX-INS | $5,500 |
Employers Insurance Company of Wausau | Liberty Mutual Insurance | insurance violation | 2023 | TX-INS | $6,000 |
Chubb Indemnity Insurance Company | Chubb Limited | insurance violation | 2023 | TX-INS | $8,000 |
QBE Insurance Corporation | QBE Insurance | insurance violation | 2023 | TX-INS | $11,500 |
Hartford Underwriters Insurance Company | Hartford Financial Services | insurance violation | 2023 | TX-INS | $22,000 |
AIG Property Casualty Company | American International Group | insurance violation | 2023 | TX-INS | $75,000 |
Mid-Century Insurance Company and Truck Insurance Exchange | Zurich Insurance | insurance violation | 2023 | VA-INS | $36,497 |
RBC Capital Markets, LLC | Royal Bank of Canada | investor protection violation | 2023 | VA-SEC | $11,000 |
OneMain Financial | OneMain Holdings | consumer protection violation | 2023 | CFPB | $20,000,000 |
Coinbase, Inc. | Coinbase Global Inc. | investor protection violation | 2023 | NJ-AG | $5,000,000 |
MUFG Union Bank, National Association | U.S. Bancorp | banking violation | 2023 | OCC | $15,000,000 |
MUFG Bank, Ltd. | U.S. Bancorp | price-fixing or anti-competitive practices | 2023 | private lawsuit-federal | $750,000 |
Credit Suisse Group AG | UBS | price-fixing or anti-competitive practices | 2023 | private lawsuit-federal | $550,000 |
Norinchukin Bank | Norinchukin Bank | price-fixing or anti-competitive practices | 2023 | private lawsuit-federal | $449,000 |
PHH Mortgage Corp. | Ocwen Financial | consumer protection violation | 2023 | private lawsuit-federal | $2,771,068 |
Robinhood Financial LLC | Robinhood Markets | consumer protection violation | 2023 | private lawsuit-federal | $9,900,000 |
TD Bank N.A. | Toronto-Dominion Bank | consumer protection violation | 2023 | private lawsuit-federal | $11,900,000 |
Freedom Mortgage Corp. | Freedom Mortgage | consumer protection violation | 2023 | NJ-AG | $502,000 |
Bank of America | Bank of America | consumer protection violation | 2023 | CFPB | $90,000,000 |
Bank of America N.A. | Bank of America | consumer protection violation | 2023 | OCC | $60,000,000 |
Deutsche Bank AG | Deutsche Bank | anti-money-laundering deficiencies | 2023 | FED | $186,000,000 |
Merrill Lynch, Pierce, Fenner & Smith Inc. | Bank of America | anti-money-laundering deficiencies | 2023 | FINRA | $6,000,000 |
Merrill Lynch, Pierce, Fenner & Smith Incorporated | Bank of America | anti-money-laundering deficiencies | 2023 | SEC | $6,000,000 |
Fifth Third Securities, Inc. | Fifth Third Bancorp | investor protection violation | 2023 | SEC | $709,971 |
Cantor Fitzgerald & Co. | Cantor Fitzgerald | investor protection violation | 2023 | SEC | $1,400,000 |
J.P. Morgan Securities LLC | JPMorgan Chase | investor protection violation | 2023 | SEC | $4,000,000 |
UBS Group AG | UBS | banking violation | 2023 | FED | $268,500,000 |
Wedbush Securities Inc. | Wedbush Securities | investor protection violation | 2023 | CFTC | $6,000,000 |
BNP Paribas | BNP Paribas | investor protection violation | 2023 | CFTC | $75,000,000 |
Societe Generale | Societe Generale | investor protection violation | 2023 | CFTC | $75,000,000 |
Wells Fargo | Wells Fargo | investor protection violation | 2023 | CFTC | $75,000,000 |
Bank of Montreal | Bank of Montreal | investor protection violation | 2023 | CFTC | $35,000,000 |
Freedom Mortgage Corporation | Freedom Mortgage | kickbacks and bribery | 2023 | CFPB | $1,750,000 |
UBS AG | UBS | toxic securities abuses | 2023 | DOJ_CIVIL | $1,435,000,000 |
American Express National Bank | American Express | banking violation | 2023 | OCC | $15,000,000 |
Wells Fargo Securities, LLC et al. | Wells Fargo | investor protection violation | 2023 | SEC | $125,000,000 |
BNP Paribas Securities Corp. | BNP Paribas | investor protection violation | 2023 | SEC | $35,000,000 |
SG Americas Securities, LLC | Societe Generale | investor protection violation | 2023 | SEC | $35,000,000 |
BMO Capital Markets Corp | Bank of Montreal | investor protection violation | 2023 | SEC | $25,000,000 |
Mizuho Securities USA LLC | Mizuho Financial | investor protection violation | 2023 | SEC | $25,000,000 |
Wedbush Securities Inc. | Wedbush Securities | investor protection violation | 2023 | SEC | $10,000,000 |
HARTFORD UNDERWRITERS INSURANCE COMPANY et al. | Hartford Financial Services | insurance violation | 2023 | AZ-DIFI | $30,000 |
Goldman Sachs & Co. | Goldman Sachs | investor protection violation | 2023 | CFTC | $5,500,000 |
Stonex Group Inc. | StoneX Group | benefit plan administrator violation | 2023 | EBSA | $10,001 |
Regions Bank | Regions Financial | banking violation | 2023 | FED | $2,950,000 |
STATE FARM MUTUAL AUTOMOBILE INSURANCE COMPANY | State Farm Insurance | insurance violation | 2023 | MN-FIN | $5,000 |
Globe Life and Accident Insurance Company | Globe Life Inc. | insurance violation | 2023 | MO-INS | $9,500 |
Raymond James & Associates, Inc. | Raymond James Financial | investor protection violation | 2023 | MO-SEC | $150,000 |
Raymond James & Associates, Inc. et al. | Raymond James Financial | investor protection violation | 2023 | MULTI-FIN | $12,450,000 |
Harleysville Insurance Company | Nationwide | insurance violation | 2023 | NY-DFS | $45,000 |
Nationwide Agribusiness Insurance Company | Nationwide | insurance violation | 2023 | NY-DFS | $50,000 |
Aon Risk Services Central Inc. | Aon | insurance violation | 2023 | NY-DFS | $12,000 |
Tokio Marine America Insurance Company | Tokio Marine | insurance violation | 2023 | NY-DFS | $360,000 |
Navient Corporation | Navient | employment discrimination | 2023 | OFCCP | $700,000 |
United States Fire Insurance Company | Fairfax Financial Holdings | insurance violation | 2023 | OR-FIN | $25,000 |
LPL Financial, LLC | LPL Financial | investor protection violation | 2023 | PA-BKG | $190,000 |
John Hancock Life Insurance Company | Manulife Financial | insurance violation | 2023 | RI-FIN | $95,000 |
Citigroup Global Markets Inc. | Citigroup | investor protection violation | 2023 | SEC | $2,900,000 |
Wells Fargo Clearing Services LLC | Wells Fargo | investor protection violation | 2023 | SEC | $35,000,000 |
Nomura Securities International | Nomura | fraud | 2023 | USAO | $35,000,000 |
STATE FARM LIFE INSURANCE COMPANY | State Farm Insurance | insurance violation | 2023 | WA-INS | $10,000 |
Goldman Sachs & Co. LLC | Goldman Sachs | investor protection violation | 2023 | CFTC | $30,000,000 |