Vanguard Group, Inc. | Vanguard Group | employment discrimination | 2008 | EEOC | $500,000 |
Morgan Stanley | Morgan Stanley | investor protection violation | 2017 | CFTC | $500,000 |
Omega Advisors | Omega Advisors | Foreign Corrupt Practices Act | 2007 | USAO | $500,000 |
TD Securities (USA) LLC | Toronto-Dominion Bank | investor protection violation | 2016 | SEC | $500,000 |
Janney Montgomery Scott LLC | Penn Mutual | investor protection violation | 2016 | SEC | $500,000 |
Barclays Capital Inc. | Barclays | investor protection violation | 2016 | SEC | $500,000 |
PNC Capital Markets LLC | PNC Financial Services | investor protection violation | 2015 | SEC | $500,000 |
Flagstar Bank, FSB | New York Community Bancorp | banking violation | 2016 | OCC | $500,000 |
Compass Bank | PNC Financial Services | wage and hour violation | 2015 | private lawsuit-federal | $500,000 |
Rabobank N.A. | Rabobank | anti-money-laundering deficiencies | 2018 | USAO | $500,000 |
TD Ameritrade, Inc. | Charles Schwab Corp. | investor protection violation | 2018 | SEC | $500,000 |
E*Trade Clearing LLC | Morgan Stanley | investor protection violation | 2008 | SEC | $500,000 |
U.S. Bank National Association | U.S. Bancorp | investor protection violation | 2005 | SEC | $500,000 |
Dean Witter Reynolds Inc. | Morgan Stanley | investor protection violation | 2002 | SEC | $500,000 |
RBC Dain Rauscher Incorporated | Royal Bank of Canada | investor protection violation | 2002 | SEC | $500,000 |
Deutsche Bank Trust Company Americas | Deutsche Bank | investor protection violation | 2019 | SEC | $500,000 |
Allianz Life Insurance Company of North America | Allianz | investor protection violation | 2007 | MN-AG | $500,000 |
Guardian Life Insurance Company of America | Guardian Life Insurance | discriminatory practices (non-employment) | 2009 | NY-AG | $500,000 |
Merrill Lynch | Bank of America | investor protection violation | 2002 | DE-AG | $500,000 |
Midland Funding, LLC | Encore Capital Group | consumer protection violation | 2012 | MN-AG | $500,000 |
Nationstar Mortgage LLC dba Mr. Cooper | Mr. Cooper Group | mortgage abuses | 2018 | MA-AG | $500,000 |
Santander Bank, N.A. | Banco Santander | consumer protection violation | 2015 | NY-AG | $500,000 |
Metropolitan Life Insurance | MetLife | kickbacks and bribery | 2008 | CA-MULTI | $500,000 |
Conseco Senior Health Insurance Co. | CNO Financial | insurance violation | 2009 | CA-INS | $500,000 |
Bannockburn Global Forex, LLC | First Financial Bancorp. | consumer protection violation | 2017 | CA-DFPI | $500,000 |
ACE Cash Express, Inc. dba ACE America's Cash Express | ACE Cash Express | consumer protection violation | 2002 | FL-OFR | $500,000 |
CashCall, Inc., Western Sky Financial, LLC, WS Funding, LLC | CashCall Inc. | payday lending violation | 2016 | FL-OFR | $500,000 |
LPL Financial LLC | LPL Financial | investor protection violation | 2013 | MA-SEC | $500,000 |
Bankers Life & Casualty Co. | CNO Financial | insurance violation | 2005 | ME-INS | $500,000 |
Bankers Life & Casualty Co. | CNO Financial | insurance violation | 2009 | ME-INS | $500,000 |
First American Title Insurance Co. | First American Financial | insurance violation | 2007 | MN-FIN | $500,000 |
Merrill Lynch | Bank of America | investor protection violation | 2002 | NH-BSR | $500,000 |
Morgan Stanley | Morgan Stanley | investor protection violation | 2004 | NH-BSR | $500,000 |
Horizon Healthcare Services, Inc. | Horizon Healthcare Services | insurance violation | 2010 | NJ-DBI | $500,000 |
Oscar Garden State Insurance Corporation | Oscar Health Inc. | insurance violation | 2018 | NJ-DBI | $500,000 |
BNY Mellon Capital Markets LLC | Bank of New York Mellon | investor protection violation | 2011 | TX-SEC | $500,000 |
Insurance Company of North America | Chubb Limited | insurance violation | 2003 | WA-INS | $500,000 |
Homesite Insurance Group | American Family Insurance | insurance violation | 2016 | MULTI-FIN | $500,000 |
E-Trade Securities, LLC | Morgan Stanley | investor protection violation | 2008 | FINRA | $500,000 |
Charles Schwab & Co., Inc. | Charles Schwab Corp. | investor protection violation | 2014 | FINRA | $500,000 |
Charles Schwab & Company | Charles Schwab Corp. | investor protection violation | 2013 | FINRA | $500,000 |
Merrill Lynch, Pierce, Fenner & Smith Inc. | Bank of America | investor protection violation | 2012 | FINRA | $500,000 |
Citigroup Global Markets, Inc. | Citigroup | investor protection violation | 2011 | FINRA | $500,000 |
Southwest Securities, Inc. | Hilltop Holdings | investor protection violation | 2011 | FINRA | $500,000 |
New England Securities | MetLife | investor protection violation | 2009 | FINRA | $500,000 |
J.P. Morgan Securities, Inc. | JPMorgan Chase | investor protection violation | 2007 | FINRA | $500,000 |
Chase Investment Services Corporation | JPMorgan Chase | investor protection violation | 2006 | FINRA | $500,000 |
MetLife Securities, Inc | MetLife | investor protection violation | 2006 | FINRA | $500,000 |
Southwest Securities Inc. | Hilltop Holdings | investor protection violation | 2000 | FINRA | $500,000 |
UBS AG | UBS | investor protection violation | 2021 | CFTC | $500,000 |
Rocket Mortgage, LLC fka Quicken Loans, LLC | Rocket Companies Inc. | consumer protection violation | 2021 | MULTI-AG | $500,000 |
LPL Financial LLC | LPL Financial | investor protection violation | 2021 | CT-SEC | $500,000 |
Raymond James & Associates, Inc. | Raymond James Financial | investor protection violation | 2022 | SEC | $500,000 |
Transamerica Life Insurance Co. | Aegon | insurance violation | 2022 | MN-FIN | $500,000 |
TD Bank, N.A. | Toronto-Dominion Bank | consumer protection violation | 2017 | private lawsuit-federal | $500,000 |
Australia and New Zealand Banking Group Ltd. | Australia and New Zealand Banking Group | investor protection violation | 2024 | CFTC | $500,000 |
LPL Financial LLC | LPL Financial | investor protection violation | 2019 | AK-DBS | $499,000 |
LPL Financial LLC | LPL Financial | investor protection violation | 2019 | MD-SEC | $499,000 |
CIBC World Markets Corporation | Canadian Imperial Bank of Commerce | investor protection violation | 2005 | SEC | $496,598 |
Morgan Stanley & Co., Inc. | Morgan Stanley | investor protection violation | 2000 | FINRA | $495,000 |
OppenheimerFunds Distributor, Inc. | Invesco | investor protection violation | 2007 | CO-SEC | $494,500 |
James B. Nutter & Company | James B. Nutter & Company | mortgage abuses | 2012 | MULTI-FIN | $492,050 |
Generali U.S. Branch | Assicurazioni Generali | insurance violation | 2017 | MULTI-FIN | $492,000 |
Morgan Stanley Smith Barney | Morgan Stanley | investor protection violation | 2014 | CFTC | $490,000 |
First American Financial Corporation | First American Financial | privacy violation | 2021 | SEC | $487,616 |
Companion Life Insurance Co. | BlueCross BlueShield of South Carolina | insurance violation | 2016 | DE-INS | $487,000 |
Jackson National Life Insurance Co | Jackson Financial | investor protection violation | 2008 | CT-AG | $484,000 |
Jackson National Life Insurance Co. | Jackson Financial | insurance violation | 2008 | CT-INS | $483,000 |
Spencer Press of Maine | Chatham Asset Management | employment discrimination | 2004 | private lawsuit-federal | $480,552 |
UBS Financial Services Inc. | UBS | investor protection violation | 2015 | SEC | $480,000 |
National Union Fire Insurance Company of Pittsburgh, PA | American International Group | insurance violation | 2022 | NY-DFS | $477,600 |
Dean Witter Reynolds Inc. | Morgan Stanley | investor protection violation | 2000 | SEC | $476,702 |
Raymond James & Associates, Inc. | Raymond James Financial | investor protection violation | 2015 | IN-SEC | $475,000 |
MML Investors Services, Inc. | Massachusetts Mutual Life Insurance | investor protection violation | 2007 | FINRA | $473,000 |
American Family Mutual Insurance Co. and American Standard Insurance Co. of Wisconsin | American Family Insurance | insurance violation | 2015 | MO-INS | $472,089 |
Southwest Securities, Inc. | Hilltop Holdings | investor protection violation | 2010 | SEC | $470,147 |
TIAA - CREF | TIAA | wage and hour violation | 2006 | WHD | $468,336 |
Privilege Underwriters Reciprocal Exchange | Tokio Marine | economic sanction violation | 2023 | OFAC | $466,200 |
BUCKEYE PARTNERS | IFM Investors | environmental violation | 2012 | EPA | $463,745 |
Washington Mutual Bank | JPMorgan Chase | wage and hour violation | 2011 | private lawsuit-federal | $463,000 |
Arch Insurance Company | Arch Capital | consumer protection violation | 2010 | MD-AG | $460,000 |
Freddie Mac | Freddie Mac (Federal Home Loan Mortgage Corporation) | lead violation | 2023 | RI-AG | $460,000 |
Merrill Lynch | Bank of America | investor protection violation | 2009 | DE-AG | $459,000 |
The Penn Mutual Life Insurance Co. | Penn Mutual | insurance violation | 2019 | NY-DFS | $455,584 |
Citibank N.A. | Citigroup | banking violation | 2017 | OCC | $452,000 |
Societe Generale | Societe Generale | investor protection violation | 2016 | CFTC | $450,000 |
MetLife | MetLife | wage and hour violation | 2013 | private lawsuit-federal | $450,000 |
Wachovia Financial Services | Wells Fargo | wage and hour violation | 2010 | private lawsuit-federal | $450,000 |
Gabelli Funds, LLC | Gamco Investors Inc. | investor protection violation | 2009 | SEC | $450,000 |
Smith Barney Fund Management LLC | Morgan Stanley | investor protection violation | 2007 | SEC | $450,000 |
AllianceBernstein, L.P. | Equitable Holdings | investor protection violation | 2007 | SEC | $450,000 |
Spear, Leeds & Kellogg, L.P. | Goldman Sachs | investor protection violation | 2003 | SEC | $450,000 |
RBC Capital Markets, LLC | Royal Bank of Canada | investor protection violation | 2013 | NJ-AG | $450,000 |
LPL Financial, LLC | LPL Financial | investor protection violation | 2018 | IN-SEC | $450,000 |
Wells Fargo Clearing Services, LLC | Wells Fargo | investor protection violation | 2019 | MA-SEC | $450,000 |
John Alden Life Insurance Company | Assurant | insurance violation | 2008 | NH-INS | $450,000 |
Time Insurance Company | Haven Holdings | insurance violation | 2008 | NH-INS | $450,000 |
Travelers Indemnity Company | Travelers | discriminatory practices (non-employment) | 2018 | private lawsuit-federal | $450,000 |
Interactive Brokers LLC | Interactive Brokers Group | investor protection violation | 2017 | FINRA | $450,000 |
Norinchukin Bank | Norinchukin Bank | price-fixing or anti-competitive practices | 2023 | private lawsuit-federal | $449,000 |
United States Fire Insurance Co. | Fairfax Financial Holdings | insurance violation | 2016 | MO-INS | $444,000 |