UnitedHealthcare Insurance Company et al. | UnitedHealth Group | healthcare services | insurance violation | 2021 | TX-INS | $2,600,000 |
UHC of California dba UnitedHealthcare of California | UnitedHealth Group | healthcare services | insurance violation | 2022 | CA-MHC | $7,500 |
U.S. Behavioral Health Plan, California dba OptumHealth Behavioral Solutions of California | UnitedHealth Group | healthcare services | insurance violation | 2022 | CA-MHC | $5,000 |
Freedom Life Insurance Company of America | UnitedHealth Group | healthcare services | insurance violation | 2022 | MD-INS | $5,400 |
UnitedHealthcare Insurance Company | UnitedHealth Group | healthcare services | insurance violation | 2022 | MO-INS | $7,000 |
UnitedHealthcare Insurance Company and United Healthcare of New England | UnitedHealth Group | healthcare services | insurance violation | 2022 | RI-OHIC | $275,000 |
UnitedHealthcare Community Plan of Texas | UnitedHealth Group | healthcare services | insurance violation | 2022 | TX-INS | $150,000 |
UnitedHealthcare Benefits Plan of California | UnitedHealth Group | healthcare services | insurance violation | 2022 | CA-MHC | $12,500 |
UnitedHealthcare Benefits Plan of California | UnitedHealth Group | healthcare services | insurance violation | 2022 | CA-MHC | $12,500 |
UnitedHealthcare Insurance Company | UnitedHealth Group | healthcare services | insurance violation | 2022 | MD-INS | $20,000 |
Optimum Choice, Inc. | UnitedHealth Group | healthcare services | insurance violation | 2022 | MD-INS | $40,000 |
UHC of California d.b.a. UnitedHealthcare of California | UnitedHealth Group | healthcare services | insurance violation | 2022 | CA-MHC | $12,500 |
UHC of California d.b.a. UnitedHealthcare of California | UnitedHealth Group | healthcare services | insurance violation | 2022 | CA-MHC | $10,000 |
OptumRx | UnitedHealth Group | healthcare services | insurance violation | 2022 | OH-AG | $15,000,000 |
UNITEDHEALTHCARE OF OREGON INC | UnitedHealth Group | healthcare services | insurance violation | 2022 | WA-INS | $50,000 |
UHC of California d.b.a. UnitedHealthcare of California | UnitedHealth Group | healthcare services | insurance violation | 2022 | CA-MHC | $7,500 |
UnitedHealthcare Insurance Company | UnitedHealth Group | healthcare services | insurance violation | 2022 | LA-INS | $15,000 |
OptumRx, Inc. | UnitedHealth Group | healthcare services | insurance violation | 2022 | MD-INS | $5,000 |
UnitedHealthcare Benefits Plan of California | UnitedHealth Group | healthcare services | insurance violation | 2023 | CA-MHC | $30,000 |
OptumHealth Care Solutions, LLC | UnitedHealth Group | healthcare services | insurance violation | 2022 | CT-INS | $13,500 |
United Healthcare Services, Inc. | UnitedHealth Group | healthcare services | insurance violation | 2021 | CT-INS | $16,000 |
UnitedHealthcare Insurance Company | UnitedHealth Group | healthcare services | insurance violation | 2023 | NH-INS | $10,000 |
United Healthcare Insurance Company of New York | UnitedHealth Group | healthcare services | insurance violation | 2023 | NY-DFS | $2,379,625 |
UnitedHealthcare Insurance Company | UnitedHealth Group | healthcare services | insurance violation | 2023 | MD-INS | $15,000 |
UnitedHealthcare Insurance Company | UnitedHealth Group | healthcare services | insurance violation | 2023 | MD-INS | $10,000 |
UnitedHealthcare Insurance Company | UnitedHealth Group | healthcare services | insurance violation | 2023 | MO-INS | $5,000 |
UNITEDHEALTHCARE OF OREGON INC | UnitedHealth Group | healthcare services | insurance violation | 2023 | WA-INS | $35,000 |
Riversource Life Insurance Company | Ameriprise Financial | financial services | insurance violation | 2023 | WA-INS | $59,613 |
UNITEDHEALTHCARE INSURANCE COMPANY | UnitedHealth Group | healthcare services | insurance violation | 2023 | WA-INS | $250,000 |
UnitedHealthcare Insurance Company et al. | UnitedHealth Group | healthcare services | insurance violation | 2023 | MD-INS | $350,000 |
UnitedHealthcare Insurance Company | UnitedHealth Group | healthcare services | insurance violation | 2023 | MD-INS | $120,000 |
UNITEDHEALTHCARE INSURANCE COMPANY | UnitedHealth Group | healthcare services | insurance violation | 2023 | AR-INS | $19,500 |
BMO Capital Markets GKST Inc. | Piper Sandler | financial services | investor protection violation | 2015 | SEC | $250,000 |
Piper Jaffray & Co. | Piper Sandler | financial services | investor protection violation | 2015 | SEC | $500,000 |
Investment Professionals Inc. | Ameriprise Financial | financial services | investor protection violation | 2014 | SEC | $67,800 |
CHS Inc. | CHS Inc. | agribusiness | investor protection violation | 2016 | CFTC | $1,000,000 |
Cargill de Mexico SA De CV | Cargill | agribusiness | investor protection violation | 2015 | CFTC | $500,000 |
U.S. Bank National Association | U.S. Bancorp | financial services | investor protection violation | 2015 | CFTC | $18,000,000 |
Ameriprise Financial Services, Inc. | Ameriprise Financial | financial services | investor protection violation | 2009 | SEC | $17,300,000 |
Piper Jaffray & Co. | Piper Sandler | financial services | investor protection violation | 2006 | SEC | $125,000 |
Ameriprise Financial, Inc. | Ameriprise Financial | financial services | investor protection violation | 2005 | SEC | $15,000,000 |
Ameriprise Financial, Inc. | Ameriprise Financial | financial services | investor protection violation | 2005 | SEC | $30,000,000 |
Columbia Management Advisors Inc. and Columbia Funds Distributor Inc. | Ameriprise Financial | financial services | investor protection violation | 2005 | SEC | $140,000,000 |
American Express Financial Advisors Inc. | Ameriprise Financial | financial services | investor protection violation | 2004 | SEC | $3,706,693 |
U.S. Bancorp Piper Jaffray Inc. | Piper Sandler | financial services | investor protection violation | 2003 | SEC | $32,500,000 |
Cargill Inc. | Cargill | agribusiness | investor protection violation | 2017 | CFTC | $10,000,000 |
Ameriprise Financial Services, Inc. | Ameriprise Financial | financial services | investor protection violation | 2017 | SEC | $8,750,000 |
Columbia Management Investment Services Corp. | Ameriprise Financial | financial services | investor protection violation | 2017 | SEC | $250,000 |
U.S. Bank Municipal Securities Group | U.S. Bancorp | financial services | investor protection violation | 2015 | SEC | $60,000 |
Ameriprise Financial Services | Ameriprise Financial | financial services | investor protection violation | 2018 | SEC | $230,000 |
Piper Jaffray & Co. | Piper Sandler | financial services | investor protection violation | 2013 | SEC | $300,000 |
Ameriprise Financial Services Inc. | Ameriprise Financial | financial services | investor protection violation | 2018 | SEC | $4,500,000 |
U.S. Bank National Association | U.S. Bancorp | financial services | investor protection violation | 2005 | SEC | $500,000 |
U.S. Bancorp Piper Jaffray Inc. | Piper Sandler | financial services | investor protection violation | 2002 | SEC | $100,000 |
MUFG Securities Americas Inc. | U.S. Bancorp | financial services | investor protection violation | 2018 | SEC | $1,400,000 |
American Express Financial Advisors Inc. | Ameriprise Financial | financial services | investor protection violation | 2005 | NJ-AG | $5,000,000 |
Ameriprise Financial Services, Inc. | Ameriprise Financial | financial services | investor protection violation | 2018 | NJ-AG | $375,000 |
CHS, Inc. | CHS Inc. | agribusiness | investor protection violation | 2019 | CFTC | $500,000 |
U.S. Bancorp Investments, Inc. | U.S. Bancorp | financial services | investor protection violation | 2020 | SEC | $15,992,441 |
Securian Financial Services, Inc. | Securian Financial | financial services | investor protection violation | 2020 | AK-DBS | $10,000 |
American Express Financial Advisors | Ameriprise Financial | financial services | investor protection violation | 2000 | AZ-CC | $125,000 |
Ameriprise Financial Services, Inc. | Ameriprise Financial | financial services | investor protection violation | 2005 | AZ-CC | $1,000,000 |
Ameriprise Financial Services, Inc. | Ameriprise Financial | financial services | investor protection violation | 2006 | AZ-CC | $1,250,000 |
Ameriprise Financial Services, Inc. | Ameriprise Financial | financial services | investor protection violation | 2018 | CA-DFPI | $115,000 |
Ameriprise Financial Services, Inc. | Ameriprise Financial | financial services | investor protection violation | 2008 | IL-SEC | $1,449,384 |
Ameriprise Financial Services, Inc. | Ameriprise Financial | financial services | investor protection violation | 2009 | KY-FIN | $983,984 |
Ameriprise Financial Services, Inc. | Ameriprise Financial | financial services | investor protection violation | 2013 | MA-SEC | $400,000 |
Investment Professionals, Inc. | Ameriprise Financial | financial services | investor protection violation | 2017 | MA-SEC | $100,000 |
Ameriprise Financial Services, Inc. | Ameriprise Financial | financial services | investor protection violation | 2013 | MD-SEC | $50,000 |
American Express Financial Advisors, Inc. | Ameriprise Financial | financial services | investor protection violation | 2002 | MN-FIN | $5,000 |
American Express Financial Advisors, Inc. | Ameriprise Financial | financial services | investor protection violation | 2005 | MN-FIN | $2,000,000 |
Securian Financial Services, Inc. | Securian Financial | financial services | investor protection violation | 2009 | MO-SEC | $79,445 |
Investment Professionals, Inc. | Ameriprise Financial | financial services | investor protection violation | 2009 | MO-SEC | $52,500 |
Ameriprise Financial Services, Inc. | Ameriprise Financial | financial services | investor protection violation | 2008 | MS-SEC | $150,000 |
U.S. Bancorp Piper Jaffray Inc. | Piper Sandler | financial services | investor protection violation | 2003 | MT-FIN | $2,625,000 |
Piper Jaffray & Co. | Piper Sandler | financial services | investor protection violation | 2006 | MT-FIN | $345,000 |
US Bancorp Piper Jaffray Inc. | Piper Sandler | financial services | investor protection violation | 2001 | ND-SEC | $23,250 |
Piper Jaffray & Co. | Piper Sandler | financial services | investor protection violation | 2004 | ND-SEC | $20,000 |
Piper Jaffray & Co. | Piper Sandler | financial services | investor protection violation | 2004 | ND-SEC | $17,000 |
Piper Jaffray & Co. | Piper Sandler | financial services | investor protection violation | 2005 | ND-SEC | $30,000 |
Piper Jaffray & Co. | Piper Sandler | financial services | investor protection violation | 2006 | ND-SEC | $17,204 |
Piper Jaffray & Co. | Piper Sandler | financial services | investor protection violation | 2006 | ND-SEC | $229,000 |
U.S. Bancorp Piper Jaffray Inc. | Piper Sandler | financial services | investor protection violation | 2002 | NE-DBF | $5,000 |
American Express Financial Advisors Inc. | Ameriprise Financial | financial services | investor protection violation | 2005 | NH-BSR | $7,375,000 |
Ameriprise Financial Services, Inc. | Ameriprise Financial | financial services | investor protection violation | 2008 | NH-BSR | $3,400,000 |
Ameriprise Financial Services, Inc. | Ameriprise Financial | financial services | investor protection violation | 2014 | NH-BSR | $90,000 |
Ameriprise Financial Services, Inc. | Ameriprise Financial | financial services | investor protection violation | 2016 | NH-BSR | $30,800 |
Ameriprise Advisor Services Inc. | Ameriprise Financial | financial services | investor protection violation | 2009 | RI-FIN | $48,411 |
Ameriprise Financial Services Inc. | Ameriprise Financial | financial services | investor protection violation | 2018 | SC-SEC | $650,000 |
American Express Financial Advisors Inc. | Ameriprise Financial | financial services | investor protection violation | 2000 | TX-SEC | $9,000 |
Securian Financial Services Inc. | Securian Financial | financial services | investor protection violation | 2009 | TX-SEC | $50,000 |
AMERIPRISE FINANCIAL SERVICES | Ameriprise Financial | financial services | investor protection violation | 2008 | VA-SEC | $780,000 |
AMERIPRISE FINANCIAL SERVICES, INC. | Ameriprise Financial | financial services | investor protection violation | 2016 | VA-SEC | $14,000 |
Ameriprise Financial Services, Inc. | Ameriprise Financial | financial services | investor protection violation | 2016 | WA-FIN | $55,000 |
Ameriprise Financial Services Inc. | Ameriprise Financial | financial services | investor protection violation | 2009 | MULTI-FIN | $720,000 |
U.S. Bancorp Piper Jaffray Inc. | Piper Sandler | financial services | investor protection violation | 2003 | MULTI-FIN | (*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $12,500,000 |
Thrivent Investment Management Inc. | Thrivent Financial | financial services | investor protection violation | 2020 | IL-SEC | $400,000 |
Ameriprise Financial Services, Inc. | Ameriprise Financial | financial services | investor protection violation | 2016 | FINRA | $850,000 |
Ameriprise Financial Services, Inc. | Ameriprise Financial | financial services | investor protection violation | 2013 | FINRA | $750,000 |
Piper Jaffray & Co. | Piper Sandler | financial services | investor protection violation | 2010 | FINRA | $700,000 |
US Bancorp Investments, Inc. | U.S. Bancorp | financial services | investor protection violation | 2010 | FINRA | $275,000 |