LPL Financial LLC | LPL Financial | investor protection violation | 2017 | MA-SEC | $975,000 |
Bankers Life & Casualty Company | CNO Financial | insurance violation | 2011 | RI-FIN | $975,000 |
Societe Generale | Societe Generale | price-fixing or anti-competitive practices | 2020 | private lawsuit-federal | $975,000 |
Fifth Third Securities, Inc. | Fifth Third Bancorp | investor protection violation | 2015 | FINRA | $963,534 |
Customers Bank | Customers Bancorp | banking violation | 2016 | FED | $960,000 |
Goldman, Sachs & Co. | Goldman Sachs | investor protection violation | 2011 | NJ-AG | $959,794 |
BNY Mellon Capital Markets LLC | Bank of New York Mellon | investor protection violation | 2022 | SEC | $956,833 |
Scottrade, Inc. | Charles Schwab Corp. | investor protection violation | 2008 | SEC | $950,000 |
JPMorgan Chase | JPMorgan Chase | wage and hour violation | 2016 | private lawsuit-federal | $950,000 |
Dreyfus Corporation | Bank of New York Mellon | investor protection violation | 2000 | SEC | $950,000 |
JPMorgan Chase Bank, N.A. and J.P. Morgan Securities LLC | JPMorgan Chase | investor protection violation | 2016 | IN-SEC | $950,000 |
Prudential Annuities Distributors, Inc. | Prudential Financial | investor protection violation | 2016 | FINRA | $950,000 |
LPL Financial LLC | LPL Financial | investor protection violation | 2014 | FINRA | $950,000 |
Lincoln Financial Advisors Corporation | Lincoln National | investor protection violation | 2005 | FINRA | $950,000 |
Universal Underwriters Insurance Company | Zurich Insurance | insurance violation | 2006 | IN-INS | $948,240 |
Wells Fargo | Wells Fargo | mortgage abuses | 2012 | MD-AG | $940,056 |
Piper Jaffray Inc. | Piper Sandler | investor protection violation | 2000 | FINRA | $933,000 |
Bank of America Corp. | Bank of America | workplace whistleblower retaliation | 2011 | OSHA | $930,000 |
Liberty Mutual Group, Inc. | Liberty Mutual Insurance | consumer protection violation | 2016 | CA-MULTI | $925,000 |
UBS Financial Services Inc. | UBS | investor protection violation | 2022 | SEC | $925,000 |
Oppenheimer & Co., Inc. | Oppenheimer Holdings | investor protection violation | 2013 | FINRA | $921,000 |
Tokio Marine Kiln Syndicates Limited and Beazley Furlonge Limited | Tokio Marine | insurance violation | 2017 | NY-DFS | $920,000 |
HSBC Bank USA, N.A. | HSBC | environmental violation | 2007 | NY-AG | $918,000 |
Massachusetts Financial Services Company | Sun Life Financial | investor protection violation | 2003 | SEC | $917,858 |
CitiFinancial Credit Company | Citigroup | consumer protection violation | 2017 | DOJ_RIGHTS | $907,000 |
JPMorgan Chase & Co. | JPMorgan Chase | investor protection violation | 2016 | IN-SEC | $905,000 |
JPMorgan Chase | JPMorgan Chase | consumer protection violation | 2015 | CFPB | $900,000 |
J.P. Morgan Securities LLC | JPMorgan Chase | investor protection violation | 2017 | CFTC | $900,000 |
Freedom Mortgage | Freedom Mortgage | wage and hour violation | 2015 | private lawsuit-federal | $900,000 |
E-Trade | Morgan Stanley | wage and hour violation | 2008 | private lawsuit-federal | $900,000 |
American International Group | American International Group | wage and hour violation | 2009 | MA-AG | $900,000 |
REPUBLIC BANK & TRUST COMPANY | Republic Bancorp | banking violation | 2011 | FDIC | $900,000 |
Safeco Insurance Company | Liberty Mutual Insurance | insurance violation | 2013 | CA-INS | $900,000 |
Pruco Securities, LLC | Prudential Financial | investor protection violation | 2017 | IL-SEC | $900,000 |
Oppenheimer & Co. Inc. | Oppenheimer Holdings | investor protection violation | 2016 | MI-SEC | $900,000 |
John Hancock Life Insurance Co. (USA) et al. | Manulife Financial | insurance violation | 2015 | MN-FIN | $900,000 |
AXA Equitable Life Insurance Co. et al. | Equitable Holdings | insurance violation | 2016 | MN-FIN | $900,000 |
Waddell & Reed, Inc. | Macquarie | investor protection violation | 2016 | NH-BSR | $900,000 |
Ocwen Loan Servicing, LLC | Ocwen Financial | consumer protection violation | 2016 | WA-FIN | $900,000 |
E-Trade Securities LLC | Morgan Stanley | investor protection violation | 2016 | FINRA | $900,000 |
Edward D. Jones & Co., L.P. | Jones Financial | investor protection violation | 2009 | FINRA | $900,000 |
AXA Advisors, LLC | Equitable Holdings | investor protection violation | 2005 | FINRA | $900,000 |
Assurant Inc. | Assurant | consumer protection violation | 2015 | private lawsuit-federal | $900,000 |
Capital One Financial Corp. | Capital One Financial | consumer protection violation | 2019 | private lawsuit-federal | $900,000 |
HSBC Mortgage Services Inc. | HSBC | consumer protection violation | 2015 | private lawsuit-federal | $900,000 |
Flagstar Bank | New York Community Bancorp | wage and hour violation | 2015 | private lawsuit-federal | $895,000 |
LPL Financial LLC | LPL Financial | investor protection violation | 2021 | SEC | $891,202 |
Raymond James & Associates, Inc. and Raymond James Financial Services, Inc. | Raymond James Financial | investor protection violation | 2005 | FINRA | $888,000 |
Wells Fargo Bank N.A. | Wells Fargo | consumer protection violation | 2017 | private lawsuit-federal | $880,000 |
Allstate Insurance Company | Allstate | insurance violation | 2010 | TX-INS | $879,510 |
Janney Montgomery Scott LLC | Penn Mutual | investor protection violation | 2004 | SEC | $875,000 |
Morgan Keegan & Co., Inc. | Raymond James Financial | investor protection violation | 2004 | SEC | $875,000 |
LendingTree LLC | LendingTree | privacy violation | 2024 | private lawsuit-federal | $875,000 |
United States Life Insurance Company in the City of New York | American International Group | insurance violation | 2017 | NY-DFS | $873,918 |
Fidelity National Financial, Inc. | Fidelity National Financial | consumer protection violation | 2013 | CA-MULTI | $873,588 |
De Lage Landen Financial Services, Inc. | Rabobank | consumer protection violation | 2005 | MULTI-AG | $872,000 |
RBC Capital Markets LLC | Royal Bank of Canada | investor protection violation | 2021 | SEC | $863,326 |
Industrial and Commercial Bank of China Financial Services LLC | Industrial and Commercial Bank of China | investor protection violation | 2018 | SEC | $860,000 |
World Group Securities, Inc. | Aegon | investor protection violation | 2010 | AZ-CC | $853,501 |
Transamerica Financial Life Insurance Company | Aegon | insurance violation | 2013 | NY-DFS | $852,418 |
Janney Montgomery Scott LLC | Penn Mutual | investor protection violation | 2011 | SEC | $850,000 |
Nationwide | Nationwide | wage and hour violation | 2013 | private lawsuit-federal | $850,000 |
Oppenheimer & Co. Inc | Oppenheimer Holdings | investor protection violation | 2009 | SEC | $850,000 |
AXA Equitable Life Insurance Company | Equitable Holdings | insurance violation | 2012 | NY-AG | $850,000 |
TD Bank, N.A. | Toronto-Dominion Bank | privacy violation | 2014 | MULTI-AG | $850,000 |
UBS Securities LLC | UBS | toxic securities abuses | 2016 | VA-AG | $850,000 |
NatWest Markets Plc | NatWest Group PLC | investor protection violation | 2019 | CFTC | $850,000 |
Morgan Keegan & Company, Inc. | Raymond James Financial | investor protection violation | 2016 | MO-SEC | $850,000 |
Ameriprise Financial Services, Inc. | Ameriprise Financial | investor protection violation | 2016 | FINRA | $850,000 |
CCO Investment Services Corp. | Citizens Financial Group | investor protection violation | 2006 | FINRA | $850,000 |
JPMorgan Chase Bank, N.A. | JPMorgan Chase | investor protection violation | 2022 | CFTC | $850,000 |
UBS | UBS | banking violation | 2023 | TX-AG | $850,000 |
Amica Mutual Insurance Co. | Amica Mutual Insurance | consumer protection violation | 2012 | MA-AG | $837,384 |
HSBC | HSBC | consumer protection violation | 2015 | MO-AG | $825,000 |
H&R Block Financial Advisors, Inc. | H&R Block | investor protection violation | 2004 | FINRA | $825,000 |
Morgan Stanley | Morgan Stanley | investor protection violation | 2012 | FINRA | $817,754 |
National City Commercial Capital Corporation | PNC Financial Services | consumer protection violation | 2006 | NY-AG | $817,700 |
LPL Financial, LLC | LPL Financial | investor protection violation | 2014 | IL-SEC | $815,218 |
Wells Fargo Securities | Wells Fargo | investor protection violation | 2019 | SEC | $812,500 |
Hilltop Securities Inc. and Hilltop Securities Independent Network Inc. | Hilltop Holdings | investor protection violation | 2019 | SEC | $810,785 |
Compass Bank | PNC Financial Services | wage and hour violation | 2005 | WHD | $810,122 |
CompuCredit Corporation | Atlanticus Holdings | banking violation | 2008 | FDIC | $806,000 |
Ferris, Baker Watts, Inc. | Royal Bank of Canada | investor protection violation | 2009 | SEC | $800,656 |
Barclays Capital Inc. | Barclays | investor protection violation | 2016 | CFTC | $800,000 |
MB Financial | Fifth Third Bancorp | wage and hour violation | 2015 | private lawsuit-federal | $800,000 |
Bank of Nova Scotia | Scotiabank | investor protection violation | 2018 | CFTC | $800,000 |
SG Americas Securities LLC (Societe Generale) | Societe Generale | investor protection violation | 2018 | SEC | $800,000 |
Prudential Securities Incorporated | Wells Fargo | investor protection violation | 2001 | SEC | $800,000 |
RiverSource Life Insurance Co. | Ameriprise Financial | insurance violation | 2015 | CA-INS | $800,000 |
New York Life Insurance Co. et al. | New York Life Insurance | insurance violation | 2016 | MN-FIN | $800,000 |
John Hancock Life Insurance Company (U.S.A.) | Manulife Financial | insurance violation | 2019 | VT-FIN | $800,000 |
J.P. Morgan Securities LLC | JPMorgan Chase | investor protection violation | 2017 | FINRA | $800,000 |
Goldman Sachs Execution & Clearing, L.P. | Goldman Sachs | investor protection violation | 2014 | FINRA | $800,000 |
Morgan Stanley & Co., Inc. | Morgan Stanley | investor protection violation | 2010 | FINRA | $800,000 |
Oppenheimer & Co. Inc. | Oppenheimer Holdings | investor protection violation | 2006 | FINRA | $800,000 |
SG Cowen, LLC | Toronto-Dominion Bank | investor protection violation | 2004 | FINRA | $800,000 |
Bankers Life and Casualty Co. | CNO Financial | investor protection violation | 2010 | MO-SEC | $789,600 |
AMERIPRISE FINANCIAL SERVICES | Ameriprise Financial | investor protection violation | 2008 | VA-SEC | $780,000 |
Fidelity National Financial, Inc. | Fidelity National Financial | wage and hour violation | 2005 | WHD | $778,391 |
Farmers Insurance Exchange | Farmers Insurance Exchange | wage and hour violation | 2017 | private lawsuit-federal | $775,000 |
Berthel Fisher & Company Financial Services, Inc. | Berthel Fisher | investor protection violation | 2014 | FINRA | $775,000 |