Berthel Fisher & Company Financial Services, Inc. | Berthel Fisher | investor protection violation | 2014 | FINRA | $775,000 |
AXA Advisors, LLC | Equitable Holdings | investor protection violation | 2019 | FINRA | $772,000 |
JPMorgan Chase | JPMorgan Chase | wage and hour violation | 2013 | private lawsuit-federal | $770,000 |
Credit Suisse First Boston LLC | UBS | investor protection violation | 2004 | FINRA | $770,000 |
American Security Insurance Co. | Assurant | consumer protection violation | 2019 | MS-AG | $767,394 |
A.G. Edwards & Sons, Inc. | Wells Fargo | investor protection violation | 2011 | MO-SEC | $765,993 |
Discover Financial Services | Discover Financial Services | consumer protection violation | 2015 | MO-AG | $760,000 |
Nationstar Mortgage LLC | Mr. Cooper Group | consumer protection violation | 2018 | MD-AG | $760,000 |
United States Life Insurance Company in the City of New York | American International Group | consumer protection violation | 2011 | MA-AG | $760,000 |
Farmer's Group, Inc. | Zurich Insurance | wage and hour violation | 2010 | WHD | $754,148 |
Capital City Mortgage Corporation | Capital City Bank Group | consumer protection violation | 2005 | FTC | $750,000 |
City National Bank | Royal Bank of Canada | banking violation | 2005 | OCC | $750,000 |
Banc of America Securities LLC | Bank of America | investor protection violation | 2006 | SEC | $750,000 |
Deutsche Asset Management, Inc. | Deutsche Bank | investor protection violation | 2003 | SEC | $750,000 |
SG Americas Securities, LLC | Societe Generale | investor protection violation | 2016 | CFTC | $750,000 |
NatWest Markets Plc | NatWest Group PLC | investor protection violation | 2018 | CFTC | $750,000 |
Deutsche Bank Trust Company Americas | Deutsche Bank | investor protection violation | 2007 | SEC | $750,000 |
The Bank Of New York | Bank of New York Mellon | investor protection violation | 2007 | SEC | $750,000 |
Morgan Stanley | Morgan Stanley | employment discrimination | 2008 | private lawsuit-federal | $750,000 |
PHH Mortgage Corporation | Ocwen Financial | consumer protection violation | 2019 | DOJ_RIGHTS | $750,000 |
Western Sky Financial, CashCall Inc. and WS Funding | CashCall Inc. | consumer protection violation | 2016 | AR-AG | $750,000 |
Bank of New York Mellon | Bank of New York Mellon | investor protection violation | 2019 | CFTC | $750,000 |
Midland Credit Management, Inc. | Encore Capital Group | consumer protection violation | 2012 | AZ-DIFI | $750,000 |
Stewart Title of California, Inc. | Stewart Information Services | insurance violation | 2005 | CA-INS | $750,000 |
Infinity Insurance Companies | Kemper | insurance violation | 2007 | CA-INS | $750,000 |
American Bankers Life Assurance Company of Florida et al. | Assurant | insurance violation | 2008 | CA-INS | $750,000 |
Conseco Life Insurance Co. | CNO Financial | insurance violation | 2007 | IA-INS | $750,000 |
QBE Holdings, Inc. et al. | QBE Insurance | insurance violation | 2017 | MN-FIN | $750,000 |
Farmers Insurance Exchange | Farmers Insurance Exchange | insurance violation | 2007 | ND-INS | $750,000 |
Edward Jones & Co. LP | Jones Financial | investor protection violation | 2014 | NH-BSR | $750,000 |
LPL Financial, LLC | LPL Financial | investor protection violation | 2015 | NH-BSR | $750,000 |
Horizon Healthcare Services, Inc. | Horizon Healthcare Services | insurance violation | 2014 | NJ-DBI | $750,000 |
HealthNow New York Inc. | Highmark Inc. | insurance violation | 2016 | NY-DFS | $750,000 |
QBE Insurance Corp. | QBE Insurance | insurance violation | 2018 | NY-DFS | $750,000 |
Foremost Insurance Group et al. | Zurich Insurance | insurance violation | 2015 | SD-INS | $750,000 |
Ace American Insurance Company | Chubb Limited | insurance violation | 2020 | WA-INS | $750,000 |
UVEST Financial Services Group, Inc. | LPL Financial | investor protection violation | 2013 | MULTI-FIN | $750,000 |
LPL Financial LLC | LPL Financial | investor protection violation | 2016 | FINRA | $750,000 |
Ameriprise Financial Services, Inc. | Ameriprise Financial | investor protection violation | 2013 | FINRA | $750,000 |
Comerica Securities, Inc. | Comerica | investor protection violation | 2008 | FINRA | $750,000 |
Transamerica Financial Life Insurance Company | Aegon | insurance violation | 2020 | NY-DFS | $750,000 |
Wells Fargo Bank N.A. | Wells Fargo | consumer protection violation | 2017 | private lawsuit-federal | $750,000 |
MUFG Bank, Ltd. | U.S. Bancorp | price-fixing or anti-competitive practices | 2023 | private lawsuit-federal | $750,000 |
Fidelity Brokerage Services LLC | Fidelity Investments | investor protection violation | 2023 | MA-SEC | $750,000 |
Wells Fargo Bank | Wells Fargo | consumer protection violation | 2011 | CT-AG | $741,465 |
Capital One | Capital One Financial | consumer protection violation | 2015 | MO-AG | $740,000 |
USAA | USAA | wage and hour violation | 2008 | private lawsuit-federal | $738,423 |
UBS Securities LLC | UBS | investor protection violation | 2010 | AK-DBS | $733,465 |
Merrill, Lynch, Pierce, Fenner and Smith, Inc. | Bank of America | investor protection violation | 2010 | NJ-AG | $728,260 |
HSBC Securities (USA) Inc. | HSBC | investor protection violation | 2020 | SEC | $725,000 |
Nationwide Mutual Insurance Company | Nationwide | insurance violation | 2018 | MULTI-FIN | $725,000 |
Citigroup Global Markets, Inc. | Citigroup | investor protection violation | 2012 | FINRA | $725,000 |
TitleMax of California, Inc. | TMX Finance | consumer protection violation | 2019 | CA-DFPI | $720,140 |
Ameriprise Financial Services Inc. | Ameriprise Financial | investor protection violation | 2009 | MULTI-FIN | $720,000 |
MLD Mortgage Inc. dba The Money Store | MLD Mortgage Inc. dba The Money Store | consumer protection violation | 2018 | MULTI-FIN | $720,000 |
Fifth Third Securities, Inc. | Fifth Third Bancorp | investor protection violation | 2023 | SEC | $709,971 |
Springstone Financial, LLC | LendingClub Corp. | consumer protection violation | 2015 | CFPB | $700,000 |
Cantor Fitzgerald | Cantor Fitzgerald | investor protection violation | 2012 | CFTC | $700,000 |
Interactive Brokers LLC | Interactive Brokers Group | investor protection violation | 2012 | CFTC | $700,000 |
BMO Financial | Bank of Montreal | wage and hour violation | 2016 | private lawsuit-federal | $700,000 |
UBS Securities LLC | UBS | investor protection violation | 2005 | SEC | $700,000 |
J.P. Morgan Securities Inc. | JPMorgan Chase | investor protection violation | 2005 | SEC | $700,000 |
Wilmington Trust Corporation | M&T Bank | employment discrimination | 2018 | EEOC | $700,000 |
Morgan Stanley DW | Morgan Stanley | investor protection violation | 2005 | DE-AG | $700,000 |
The Prudential Insurance Company of America | Prudential Financial | insurance violation | 2006 | CA-INS | $700,000 |
UnumProvident Corp. et al. | Unum | insurance violation | 2006 | CA-INS | $700,000 |
Metropolitan Life Insurance Co. | MetLife | insurance violation | 2007 | CA-INS | $700,000 |
HealthNow New York Inc. | Highmark Inc. | insurance violation | 2013 | NY-DFS | $700,000 |
Piper Jaffray & Co. | Piper Sandler | investor protection violation | 2010 | FINRA | $700,000 |
SunTrust Investment Services, Inc. | Truist Financial | investor protection violation | 2008 | FINRA | $700,000 |
American Express Financial Advisors Inc. | Ameriprise Financial | investor protection violation | 2004 | FINRA | $700,000 |
Merrill Lynch, Pierce, Fenner and Smith Inc. | Bank of America | privacy violation | 2023 | NH-BSR | $700,000 |
Navient Corporation | Navient | employment discrimination | 2023 | OFCCP | $700,000 |
UBS Financial Services, Inc. | UBS | investor protection violation | 2007 | MO-SEC | $697,210 |
Citigroup Global Markets, Inc. | Citigroup | investor protection violation | 2010 | IN-SEC | $692,000 |
Ferris, Baker Watts LLC | Royal Bank of Canada | investor protection violation | 2010 | FINRA | $690,000 |
Watson Wyatt & Company | Willis Towers Watson | False Claims Act and related | 2005 | USAO | $689,828 |
Jefferson Pilot Variable Corporation | Lincoln National | investor protection violation | 2005 | FINRA | $688,697 |
Wells Fargo | Wells Fargo | wage and hour violation | 2017 | private lawsuit-federal | $685,000 |
Oppenheimer & Co., Inc. | Oppenheimer Holdings | investor protection violation | 2015 | DE-SEC | $685,000 |
Goldman Sachs | Goldman Sachs | investor protection violation | 2012 | FINRA | $683,997 |
Allstate Insurance Company | Allstate | insurance violation | 2010 | NC-INS | $680,718 |
First American Title Insurance Company | First American Financial | kickbacks and bribery | 2005 | HUD | $680,000 |
ALLIED PROPERTY & CASUALTY INSURANCE CO. | Nationwide | insurance violation | 2017 | VA-INS | $678,398 |
UBS Financial Services | UBS | investor protection violation | 2011 | IN-SEC | $677,000 |
Bear Stearns | JPMorgan Chase | wage and hour violation | 2010 | private lawsuit-federal | $675,000 |
Bank of America | Bank of America | mortgage abuses | 2015 | MA-AG | $675,000 |
Citigroup | Citigroup | mortgage abuses | 2015 | MA-AG | $675,000 |
Encore Capital Group, Inc. | Encore Capital Group | consumer protection violation | 2015 | NY-AG | $675,000 |
JP Morgan Chase | JPMorgan Chase | mortgage abuses | 2015 | MA-AG | $675,000 |
Wells Fargo Bank | Wells Fargo | mortgage abuses | 2015 | MA-AG | $675,000 |
Wedbush Securities Inc. | Wedbush Securities | investor protection violation | 2016 | FINRA | $675,000 |
SG Americas Securities, Inc. | Societe Generale | investor protection violation | 2013 | FINRA | $675,000 |
OppenheimerFunds Distributor, Inc. | Invesco | investor protection violation | 2007 | WA-FIN | $669,500 |
Credit Suisse | UBS | investor protection violation | 2016 | CFTC | $665,000 |
Bank of America | Bank of America | wage and hour violation | 2010 | private lawsuit-federal | $661,392 |
JPMorgan Securities | JPMorgan Chase | investor protection violation | 2014 | CFTC | $650,000 |
CitiMortgage, Inc. | Citigroup | consumer protection violation | 2006 | HUD | $650,000 |
Nationwide Life Insurance | Nationwide | consumer protection violation | 2005 | MA-AG | $650,000 |
Unum Life Insurance Co. | Unum | False Claims Act and related | 2005 | MA-AG | $650,000 |
HSBC Bank USA, N.A. | HSBC | investor protection violation | 2019 | CFTC | $650,000 |