HSBC Bank USA, N.A. | HSBC | investor protection violation | 2019 | CFTC | $650,000 |
Ameriprise Financial Services Inc. | Ameriprise Financial | investor protection violation | 2018 | SC-SEC | $650,000 |
American Home Assurance Company et al. | American International Group | insurance violation | 2010 | TX-INS | $650,000 |
Countrywide Home Loans Inc. | Bank of America | consumer protection violation | 2010 | WA-FIN | $650,000 |
Morgan Stanley Smith Barney, LLC | Morgan Stanley | investor protection violation | 2015 | FINRA | $650,000 |
Southwest Securities, Inc. | Hilltop Holdings | investor protection violation | 2011 | FINRA | $650,000 |
Goldman, Sachs & Co. | Goldman Sachs | investor protection violation | 2010 | FINRA | $650,000 |
Citigroup Global Markets, Inc. | Citigroup | investor protection violation | 2010 | FINRA | $650,000 |
Wachovia Securities LLC | Wells Fargo | investor protection violation | 2004 | FINRA | $650,000 |
StoneX Markets LLC | StoneX Group | investor protection violation | 2023 | CFTC | $650,000 |
MetLife Securities, Inc. | MetLife | investor protection violation | 2015 | FINRA | $649,748 |
Companion Life Insurance Co. | BlueCross BlueShield of South Carolina | insurance violation | 2019 | NY-DFS | $648,122 |
Cantor Fitzgerald & Co. | Cantor Fitzgerald | investor protection violation | 2019 | SEC | $647,000 |
Robinhood Financial LLC | Robinhood Markets | investor protection violation | 2022 | VT-FIN | $640,000 |
New Hampshire Insurance Company | American International Group | insurance violation | 2002 | MA-INS | $639,576 |
Salomon Smith Barney | Morgan Stanley | employment discrimination | 2001 | EEOC | $635,000 |
Morgan Keegan and Co. Inc. | Raymond James Financial | benefit plan administrator violation | 2012 | EBSA | $633,715 |
TD Bank | Toronto-Dominion Bank | privacy violation | 2014 | MA-AG | $625,000 |
UBS FINANCIAL SERVICES, INC. | UBS | investor protection violation | 2010 | VA-SEC | $625,000 |
Minnesota Life Insurance Company et al. | Securian Financial | insurance violation | 2016 | MULTI-FIN | $625,000 |
JP Morgan | JPMorgan Chase | investor protection violation | 2012 | FINRA | $623,376 |
Nyrstar Clarksville | Trafigura | air pollution violation | 2019 | TN-ENV | $622,389 |
Regions Financial | Regions Financial | wage and hour violation | 2017 | private lawsuit-federal | $620,634 |
Buckeye Texas Processing LLC | IFM Investors | environmental violation | 2020 | TX-ENV | $607,617 |
Compass Bank | PNC Financial Services | economic sanction violation | 2010 | OFAC | $607,500 |
J.P. Morgan Chase Retirement Plan | JPMorgan Chase | benefit plan administrator violation | 2010 | private lawsuit-federal | $604,957 |
JPMorgan Chase Bank | JPMorgan Chase | investor protection violation | 2012 | CFTC | $600,000 |
Raymond James & Associates | Raymond James Financial | investor protection violation | 2016 | SEC | $600,000 |
Mercury Air Centers Inc. | Macquarie | employment discrimination | 2010 | EEOC | $600,000 |
Bank of Tokyo-Mitsubishi UFJ, Ltd. | Mitsubishi UFJ Financial Group | investor protection violation | 2017 | CFTC | $600,000 |
EZCORP, Inc. | EZCORP Inc. | privacy violation | 2008 | TX-AG | $600,000 |
Allstate Insurance Co. | Allstate | insurance violation | 2016 | CA-MULTI | $600,000 |
Infinity Insurance Co. et al. | Kemper | insurance violation | 2005 | CA-INS | $600,000 |
Next Financial Group, Inc. | Atria Wealth Solutions | investor protection violation | 2020 | TX-SEC | $600,000 |
Bankers Life and Casualty Company | CNO Financial | insurance violation | 2013 | VT-FIN | $600,000 |
Credit Suisse Securities (USA) LLC | UBS | investor protection violation | 2020 | SEC | $600,000 |
AXA Advisors, LLC | Equitable Holdings | investor protection violation | 2015 | FINRA | $600,000 |
Northern Trust Securities | Northern Trust | investor protection violation | 2011 | FINRA | $600,000 |
Lincoln Financial Securities, Inc. and Lincoln Financial Advisors Corporation | Lincoln National | investor protection violation | 2011 | FINRA | $600,000 |
Scottrade | Charles Schwab Corp. | anti-money-laundering deficiencies | 2009 | FINRA | $600,000 |
Citigroup Global Markets Inc. | Citigroup | investor protection violation | 2009 | FINRA | $600,000 |
Ocwen Loan Servicing, LLC | Ocwen Financial | consumer protection violation | 2017 | private lawsuit-federal | $600,000 |
ABN AMRO Clearing Chicago LLC | ABN AMRO | investor protection violation | 2020 | SEC | $586,000 |
State Street Research & Management Company | BlackRock | investor protection violation | 2005 | SEC | $585,743 |
CUNA Mutual Insurance Society | CUNA Mutual | insurance violation | 2007 | MULTI-FIN | $584,622 |
AIG Property Casualty Company | American International Group | insurance violation | 2020 | NY-DFS | $583,900 |
Deutsche Bank Trust Company Americas | Deutsche Bank | economic sanction violation | 2020 | OFAC | $583,100 |
Wells Fargo | Wells Fargo | workplace whistleblower retaliation | 2017 | OSHA | $577,500 |
Allianz Life Insurance Company of New York | Allianz | insurance violation | 2024 | NY-DFS | $577,250 |
Oscar Insurance Corp. | Oscar Health Inc. | insurance violation | 2018 | NY-DFS | $576,950 |
Farmers Insurance Exchange, Truck Insurance Exchange and Fire Insurance Exchange | Farmers Insurance Exchange | telecommunications violation | 2015 | MO-AG | $575,000 |
A.G. Edwards & Sons Inc. | Wells Fargo | investor protection violation | 2007 | SC-SEC | $575,000 |
Deutsche Bank Securities | Deutsche Bank | investor protection violation | 2010 | FINRA | $575,000 |
American Automobile Insurance Co. | Allianz | consumer protection violation | 2011 | MA-AG | $571,394 |
Farmer's Group, Inc. | Zurich Insurance | wage and hour violation | 2010 | WHD | $565,065 |
American Security Insurance Co. | Assurant | consumer protection violation | 2015 | MA-AG | $565,000 |
Western Sky Financial, LLC et al. | CashCall Inc. | consumer protection violation | 2014 | CO-AG | $565,000 |
Erie Insurance Company and Erie Insurance Company of New York | Erie Indemnity | insurance violation | 2021 | NY-DFS | $561,900 |
Barclays Bank PLC | Barclays | investor protection violation | 2016 | CFTC | $560,000 |
M&T Bank | M&T Bank | anti-money-laundering deficiencies | 2014 | USAO | $560,000 |
Morgan Keegan & Co., Inc. | Raymond James Financial | investor protection violation | 2006 | SEC | $558,806 |
CompuCredit Corporation | Atlanticus Holdings | banking violation | 2008 | FDIC | $558,000 |
Farmers Insurance Exchange and Mid-Century Insurance Company | Farmers Insurance Exchange | insurance violation | 2012 | VA-INS | $555,130 |
Mortgage Guaranty Insurance Corporation (MGIC) | MGIC Investment Corp. | mortgage abuses | 2012 | DOJ_RIGHTS | $550,000 |
Citibank N.A. | Citigroup | investor protection violation | 2017 | CFTC | $550,000 |
John Hancock Life Insurance Co. | Manulife Financial | investor protection violation | 2014 | MA-AG | $550,000 |
Allianz Life Insurance Company of North America et al. | Allianz | insurance violation | 2016 | MN-FIN | $550,000 |
Prudential Equity Group LLC | Prudential Financial | investor protection violation | 2004 | FINRA | $550,000 |
Bank of America, N.A. | Bank of America | consumer protection violation | 2018 | private lawsuit-federal | $550,000 |
Credit Suisse Group AG | UBS | price-fixing or anti-competitive practices | 2023 | private lawsuit-federal | $550,000 |
State Farm Bank, FSB | State Farm Insurance | banking violation | 2020 | OCC | $547,200 |
M&T Bank | M&T Bank | banking violation | 2020 | FED | $546,000 |
Globe Life Insurance Company of New York | Globe Life Inc. | insurance violation | 2017 | NY-DFS | $538,375 |
Cincinnati Insurance Company | Cincinnati Financial | employment discrimination | 2006 | private lawsuit-federal | $537,500 |
Chubb Group Of Companies | Chubb Limited | insurance violation | 2011 | WA-INS | $534,000 |
Stewart Title Guaranty Company | Stewart Information Services | insurance violation | 2010 | TX-INS | $525,418 |
Citigroup | Citigroup | investor protection violation | 2012 | CFTC | $525,000 |
Stifel, Nicolaus & Company, Incorporated | Stifel Financial | investor protection violation | 2009 | MULTI-FIN | $525,000 |
Time Insurance Company | Haven Holdings | insurance violation | 2013 | NC-INS | $524,000 |
Merrill Lynch & Co., Inc. | Bank of America | wage and hour violation | 2008 | WHD | $516,924 |
Toronto-Dominion Bank | Toronto-Dominion Bank | economic sanction violation | 2017 | OFAC | $516,105 |
Cadaret, Grant & Co. Inc. | Atria Wealth Solutions | investor protection violation | 2018 | SEC | $513,194 |
Freedom Mortgage Corp. | Freedom Mortgage | consumer protection violation | 2023 | NJ-AG | $502,000 |
Associated Bank, National Association | Associated Banc-Corp | banking violation | 2014 | OCC | $500,000 |
Old National Bank | Old National Bancorp | banking violation | 2014 | OCC | $500,000 |
Citigroup Global Markets Inc. | Citigroup | investor protection violation | 2015 | SEC | $500,000 |
Goldman, Sachs & Co. | Goldman Sachs | investor protection violation | 2015 | SEC | $500,000 |
J.P. Morgan Securities LLC | JPMorgan Chase | investor protection violation | 2015 | SEC | $500,000 |
Merrill Lynch, Pierce, Fenner & Smith Incorporated | Bank of America | investor protection violation | 2015 | SEC | $500,000 |
Morgan Stanley & Co. LLC | Morgan Stanley | investor protection violation | 2015 | SEC | $500,000 |
Piper Jaffray & Co. | Piper Sandler | investor protection violation | 2015 | SEC | $500,000 |
Raymond James & Associates, Inc. | Raymond James Financial | investor protection violation | 2015 | SEC | $500,000 |
RBC Capital Markets, LLC | Royal Bank of Canada | investor protection violation | 2015 | SEC | $500,000 |
Stifel, Nicolaus & Company, Inc. | Stifel Financial | investor protection violation | 2015 | SEC | $500,000 |
Merrill Lynch Investment Managers, LLC and Merrill Lynch Alternative Investments, LLC | Bank of America | investor protection violation | 2007 | CFTC | $500,000 |
Morgan Stanley | Morgan Stanley | investor protection violation | 2009 | SEC | $500,000 |
UBS PaineWebber, Inc. | UBS | investor protection violation | 2003 | SEC | $500,000 |
Barclays Bank PLC | Barclays | investor protection violation | 2016 | CFTC | $500,000 |
Park National Corporation | Park National Corp. | accounting fraud or deficiencies | 2016 | SEC | $500,000 |
HomeStreet Inc | HomeStreet Inc. | accounting fraud or deficiencies | 2017 | SEC | $500,000 |
Vanguard Group, Inc. | Vanguard Group | employment discrimination | 2008 | EEOC | $500,000 |