LEGGETT AND PLATT | Leggett & Platt | diversified | workplace safety or health violation | 2019 | OSHA | $6,630 |
LEGGETT & PLATT INC. | Leggett & Platt | diversified | workplace safety or health violation | 2020 | OSHA | $7,421 |
L&P FINANCIAL SERVICES CO. | Leggett & Platt | diversified | workplace safety or health violation | 2020 | OSHA | $5,060 |
ELITE COMFORT SOLUTIONS LLC | Leggett & Platt | diversified | workplace safety or health violation | 2021 | OSHA | $21,000 |
LEGGETT AND PLATT | Leggett & Platt | diversified | workplace safety or health violation | 2021 | OSHA | $8,874 |
ELITE COMFORT SOLUTIONS | Leggett & Platt | diversified | workplace safety or health violation | 2021 | OSHA | $5,372 |
HANES COMPANIES, INC. | Leggett & Platt | diversified | workplace safety or health violation | 2021 | OSHA | $10,500 |
LEGGETT & PLATT AEROSPACE- MIDDLETOWN LLC | Leggett & Platt | diversified | workplace safety or health violation | 2021 | OSHA | $8,157 |
ELITE COMFORT SOLUTIONS LLC | Leggett & Platt | diversified | workplace safety or health violation | 2023 | OSHA | $17,202 |
LEGGETT - PLATT INCORPORATED | Leggett & Platt | diversified | workplace safety or health violation | 2023 | OSHA | $9,500 |
WESTERN PNEUMATIC TUBE CO | Leggett & Platt | diversified | workplace safety or health violation | 2023 | OSHA | $13,000 |
MEMC Electronic Materials, Inc. | SunEdison | electrical and electronic equipment | labor relations violation | 2005 | NLRB | $689,218 |
SOLAICX INC | SunEdison | electrical and electronic equipment | environmental violation | 2016 | OR-ENV | $6,421 |
SOLAICX, INC. | SunEdison | electrical and electronic equipment | environmental violation | 2015 | OR-ENV | $11,559 |
MEMC Pasadena, Inc. | SunEdison | electrical and electronic equipment | environmental violation | 2014 | TX-ENV | $126,560 |
MEMC Pasadena, Inc. | SunEdison | electrical and electronic equipment | environmental violation | 2013 | TX-ENV | $9,121 |
MEMC Pasadena, Inc. | SunEdison | electrical and electronic equipment | environmental violation | 2011 | TX-ENV | $5,284 |
MEMC Pasadena, Inc. | SunEdison | electrical and electronic equipment | environmental violation | 2009 | TX-ENV | $7,813 |
MEMC Pasadena, Inc. | SunEdison | electrical and electronic equipment | environmental violation | 2009 | TX-ENV | $9,639 |
MEMC Pasadena, Inc. | SunEdison | electrical and electronic equipment | environmental violation | 2004 | TX-ENV | $5,000 |
MEMC PASADENA, INC. | SunEdison | electrical and electronic equipment | workplace safety or health violation | 2008 | OSHA | $16,900 |
MEMC PASADENA, INC | SunEdison | electrical and electronic equipment | workplace safety or health violation | 2011 | OSHA | $35,000 |
MEMC PASADENA INC | SunEdison | electrical and electronic equipment | workplace safety or health violation | 2015 | OSHA | $26,000 |
MEMC ELECTRONIC MATERIALS, INC. | SunEdison | electrical and electronic equipment | environmental violation | 2000 | EPA | $5,000 |
Edward D. Jones & Co. LP | Jones Financial | financial services | investor protection violation | 2015 | SEC | $20,000,000 |
Stifel, Nicolaus & Company, Inc. | Stifel Financial | financial services | investor protection violation | 2015 | SEC | $500,000 |
Stifel Nicolaus & Co. | Stifel Financial | financial services | investor protection violation | 2014 | SEC | $60,000 |
Edward D. Jones & Co., L.P. | Jones Financial | financial services | investor protection violation | 2004 | SEC | $75,000,000 |
Thomas Weisel Partners LLC | Stifel Financial | financial services | investor protection violation | 2004 | SEC | $12,500,000 |
Stifel, Nicolaus & Co., Inc. | Stifel Financial | financial services | investor protection violation | 2016 | SEC | $24,500,000 |
H & R Block | H&R Block | financial services | wage and hour violation | 2015 | WHD | $257,577 |
H & R Block | H&R Block | financial services | wage and hour violation | 2014 | WHD | $128,872 |
H&R Block Eastern Enterprises Inc | H&R Block | financial services | wage and hour violation | 2014 | WHD | $24,928 |
UMB Bank, NA | UMB Financial Corp. | financial services | banking violation | 2017 | OCC | $1,500,000 |
Stifel, Nicolaus & Company, Incorporated | Stifel Financial | financial services | investor protection violation | 2017 | SEC | $300,000 |
Edward D. Jones & Co., L.P. | Jones Financial | financial services | investor protection violation | 2015 | SEC | $100,000 |
UMB Bank N.A. Investment Banking Division | UMB Financial Corp. | financial services | investor protection violation | 2015 | SEC | $420,000 |
H & R Block | H&R Block | financial services | wage and hour violation | 2003 | CA-LCO | $12,000 |
H&R Block | H&R Block | financial services | wage and hour violation | 2013 | private lawsuit-federal | $221,400 |
H&R Block | H&R Block | financial services | wage and hour violation | 2012 | private lawsuit-state | $7,500,000 |
H&R Block | H&R Block | financial services | wage and hour violation | 2012 | private lawsuit-federal | $35,000,000 |
H&R Block | H&R Block | financial services | wage and hour violation | 2010 | private lawsuit-federal | $1,400,000 |
Edward D. Jones & Co. | Jones Financial | financial services | wage and hour violation | 2008 | private lawsuit-federal | $21,000,000 |
Edward D. Jones & Co. | Jones Financial | financial services | wage and hour violation | 2008 | private lawsuit-federal | $19,000,000 |
Stifel and Nicolaus & Company, Incorporated | Stifel Financial | financial services | investor protection violation | 2019 | SEC | $6,037,175 |
Edward Jones & Co. | Jones Financial | financial services | investor protection violation | 2008 | CA-AG | $7,500,000 |
H&R Block | H&R Block | financial services | consumer protection violation | 2003 | MULTI-AG | $3,300,000 |
H&R Block | H&R Block | financial services | consumer protection violation | 2009 | CA-AG | $4,850,000 |
H&R Block | H&R Block | financial services | consumer protection violation | 2010 | NY-AG | $12,150,000 |
H&R Block | H&R Block | financial services | consumer protection violation | 2008 | NY-AG | $245,000 |
H&R Block Financial Advisors | H&R Block | financial services | privacy violation | 2001 | MO-AG | $15,000 |
H&R Block, Inc. | H&R Block | financial services | discriminatory practices (non-employment) | 2011 | MA-AG | $125,000,000 |
GREAT SOUTHERN BANK | Great Southern Bancorp | financial services | banking violation | 2011 | FDIC | $21,935 |
Stifel, Nicolaus & Co., Inc. | Stifel Financial | financial services | investor protection violation | 2019 | SEC | $2,700,000 |
H&R Block | H&R Block | financial services | consumer protection violation | 2002 | NY-NYCDCWP | $4,000,000 |
Edward D. Jones & Co., L.P. | Jones Financial | financial services | benefit plan administrator violation | 2019 | private lawsuit-federal | $3,175,000 |
Edward D. Jones and Co.,LP | Jones Financial | financial services | investor protection violation | 2003 | AK-DBS | $11,000 |
Edward D. Jones & Co., L.P. | Jones Financial | financial services | investor protection violation | 2018 | AR-SEC | $50,000 |
Thomas Weisel Partners LLC | Stifel Financial | financial services | investor protection violation | 2006 | CT-SEC | $52,480 |
Stifel, Nicolaus & Company, Inc. | Stifel Financial | financial services | investor protection violation | 2011 | IL-SEC | $80,224 |
Edward D. Jones & Co., L.P. | Jones Financial | financial services | investor protection violation | 2011 | IN-SEC | $10,000 |
James B. Nutter & Company | James B. Nutter & Company | financial services | consumer protection violation | 2010 | KY-FIN | $24,000 |
Edward D. Jones & Co., L.P. | Jones Financial | financial services | investor protection violation | 2010 | ME-SEC | $10,000 |
Edward D. Jones & Co. L.P. | Jones Financial | financial services | investor protection violation | 2005 | MO-SEC | $1,500,000 |
Stifel, Nicolaus & Company, Inc. | Stifel Financial | financial services | investor protection violation | 2010 | MO-SEC | $211,617 |
Edward D. Jones & Co. L.P. | Jones Financial | financial services | investor protection violation | 2010 | MO-SEC | $40,500 |
Stifel, Nicolaus & Company, Inc. | Stifel Financial | financial services | investor protection violation | 2012 | MO-SEC | $1,101,385 |
Stifel, Nicolaus & Company, Inc. | Stifel Financial | financial services | investor protection violation | 2017 | MS-SEC | $50,000 |
Edward Jones | Jones Financial | financial services | investor protection violation | 2010 | MT-FIN | $100,000 |
Edward D. Jones & Co. LP | Jones Financial | financial services | investor protection violation | 2003 | ND-SEC | $7,000 |
Edward D. Jones & Co., L.P. | Jones Financial | financial services | consumer protection violation | 2013 | NE-DBF | $12,500 |
Stifel, Nicolaus & Company Inc. | Stifel Financial | financial services | investor protection violation | 2014 | NE-DBF | $61,000 |
Edward Jones & Co. LP | Jones Financial | financial services | investor protection violation | 2014 | NH-BSR | $750,000 |
Stifel Nicolaus & Company, Inc. | Stifel Financial | financial services | investor protection violation | 2010 | NJ-BOS | $5,415,381 |
Edward D. Jones & Co. LP | Jones Financial | financial services | investor protection violation | 2016 | PA-BKG | $135,000 |
Edward D. Jones & Co. L.P. | Jones Financial | financial services | investor protection violation | 2019 | SD-INS | $10,000 |
James B. Nutter & Company | James B. Nutter & Company | financial services | mortgage abuses | 2012 | MULTI-FIN | $492,050 |
Stifel, Nicolaus & Company, Incorporated | Stifel Financial | financial services | investor protection violation | 2009 | MULTI-FIN | $525,000 |
Thomas Weisel Partners LLC | Stifel Financial | financial services | investor protection violation | 2005 | 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. $5,000,000 |
Stifel, Nicolaus & Company, Incorporated | Stifel Financial | financial services | investor protection violation | 2020 | FINRA | $3,650,000 |
Edward D. Jones & Co., L.P. | Jones Financial | financial services | investor protection violation | 2015 | FINRA | $13,500,000 |
Stifel Nicolaus & Company, Inc. | Stifel Financial | financial services | investor protection violation | 2015 | FINRA | $2,900,000 |
Stifel Financial Corporation | Stifel Financial | financial services | investor protection violation | 2014 | FINRA | $1,025,000 |
H&R Block Financial Advisors, Inc. | H&R Block | financial services | investor protection violation | 2010 | FINRA | $200,000 |
Edward D. Jones & Co., L.P. | Jones Financial | financial services | investor protection violation | 2009 | FINRA | $900,000 |
Thomas Weisel Partners, LLC | Stifel Financial | financial services | investor protection violation | 2008 | FINRA | $200,000 |
Edward D. Jones & Co., L.P. | Jones Financial | financial services | investor protection violation | 2006 | FINRA | $250,000 |
Edward D. Jones & Co., L.P. | Jones Financial | financial services | investor protection violation | 2005 | FINRA | $300,000 |
Thomas Weisel Partners | Stifel Financial | financial services | investor protection violation | 2005 | FINRA | $1,750,000 |
H&R Block Financial Advisors, Inc. | H&R Block | financial services | investor protection violation | 2004 | FINRA | $825,000 |
Edward Jones & Co., LP | Jones Financial | financial services | investor protection violation | 2004 | FINRA | $300,000 |
Edward Jones | Jones Financial | financial services | investor protection violation | 2004 | FINRA | $25,181 |
Stifel Nicolaus & Company | Stifel Financial | financial services | investor protection violation | 2004 | FINRA | $125,000 |
Stifel, Nicolaus & Company, Inc. | Stifel Financial | financial services | investor protection violation | 2001 | FINRA | $225,000 |
Edward D. Jones & Co. | Jones Financial | financial services | employment discrimination | 2021 | private lawsuit-federal | $58,000,000 |
Edward D. Jones & Co., L.P. | Jones Financial | financial services | investor protection violation | 2022 | WA-SEC | $175,000 |
Commerce Bank NA | Commerce Bancshares | financial services | consumer protection violation | 2013 | private lawsuit-federal | $18,300,000 |
STIFEL, NICOLAUS & COMPANY, INC. | Stifel Financial | financial services | investor protection violation | 2023 | MA-SEC | $2,500,000 |
Edward D. Jones & Co., LP | Jones Financial | financial services | investor protection violation | 2024 | PA-BKG | $300,000 |
James B. Nutter & Company | James B. Nutter & Company | financial services | consumer protection violation | 2024 | NC-BKG | $10,000 |
DEAN INTERNATIONAL INC | Dairy Farmers of America (DFA) | food products | aviation safety violation | 2012 | FAA | $15,000 |