MEMC Electronic Materials, Inc. | SunEdison | electrical and electronic equipment | labor relations violation | 2005 | NLRB | $689,218 |
Kansas City Power & Light Co. | Evergy Inc. | utilities and power generation | labor relations violation | 2005 | NLRB | $52,000 |
Leggett and Platt, Incorporated | Leggett & Platt | diversified | labor relations violation | 2005 | NLRB | $12,500 |
Schnuck Markets, Inc. | Schnuck Markets | retailing | labor relations violation | 2004 | NLRB | $12,500 |
Bellefontaine Gardens Nursing & Rehab, Inc. | Rehab Systems of Missouri | healthcare services | labor relations violation | 2003 | NLRB | $5,001 |
SSM St. Joseph Hospital Kirkwood | SSM Health | healthcare services | labor relations violation | 2002 | NLRB | $9,000 |
St. John's Regional Medical Center | Mercy (Sisters of Mercy Health System) | healthcare services | labor relations violation | 2002 | NLRB | $8,986 |
St. John's Regional Health Center | Mercy (Sisters of Mercy Health System) | healthcare services | labor relations violation | 2002 | NLRB | $20,000 |
Alamo Rental Car | Enterprise Holdings | miscellaneous services | labor relations violation | 2001 | NLRB | $18,990 |
Central Illinois Public Service Company | Ameren | utilities and power generation | labor relations violation | 2001 | NLRB | $45,437 |
GRAYBAR ELECTRIC COMPANY | Graybar Electric | wholesalers | labor relations violation | 2000 | NLRB | $61,000 |
Union Electric Company | Ameren | utilities and power generation | labor relations violation | 2000 | NLRB | $8,892 |
Illinois Power Company | Ameren | utilities and power generation | labor relations violation | 2000 | NLRB | $20,000 |
Alamo Rental Car | Enterprise Holdings | miscellaneous services | labor relations violation | 2000 | NLRB | $5,000 |
Michael Foods, Inc. | Post Holdings | food products | labor relations violation | 2019 | NLRB | $14,261 |
BASS PRO OUTDOOR WORLD, L.L.C., d/b/a Uncle Buck's Fishbowl and Grill | Bass Pro | retailing | labor relations violation | 2019 | NLRB | $5,000 |
National Pasteurized Eggs | Post Holdings | food products | labor relations violation | 2018 | NLRB | $30,168 |
Big Ridge, Inc. | Peabody Energy | mining and minerals | labor relations violation | 2017 | NLRB | $49,809 |
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 |
Health Net Inc. | Centene | healthcare services | investor protection violation | 2016 | SEC | $340,000 |
Dairy Farmers of America, Inc. | Dairy Farmers of America (DFA) | food products | investor protection violation | 2008 | CFTC | $12,000,000 |
WellCare Health Plans, Inc. | Centene | healthcare services | investor protection violation | 2009 | SEC | $10,000,000 |
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 |
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 |
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 |
WellCare Health Plans Inc. | Centene | healthcare services | investor protection violation | 2010 | MULTI-AG | $200,000,000 |
Stifel, Nicolaus & Co., Inc. | Stifel Financial | financial services | investor protection violation | 2019 | SEC | $2,700,000 |
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 |
Graybar Electric Company, Inc. | Graybar Electric | wholesalers | investor protection violation | 2006 | CA-DFPI | $45,000 |
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 |
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 |
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 |
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 |
Belden Inc. | Belden | industrial equipment | investor protection violation | 2020 | SEC | $650,000 |
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., L.P. | Jones Financial | financial services | investor protection violation | 2022 | WA-SEC | $175,000 |
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 |
Health Net of Arizona, Inc. | Centene | healthcare services | insurance violation | 2008 | AZ-DIFI | $20,000 |
Health Net of Arizona, Inc. | Centene | healthcare services | insurance violation | 2010 | AZ-DIFI | $83,500 |
Health Net Life Insurance Co. | Centene | healthcare services | insurance violation | 2010 | AZ-DIFI | $153,000 |
Health Net of Arizona, Inc. | Centene | healthcare services | insurance violation | 2011 | AZ-DIFI | $287,000 |
Health Net Life Insurance Co. | Centene | healthcare services | insurance violation | 2011 | AZ-DIFI | $248,000 |
Health Net of California, Inc. | Centene | healthcare services | insurance violation | 2001 | CA-MHC | $30,000 |
Health Net of California, Inc. | Centene | healthcare services | insurance violation | 2001 | CA-MHC | $15,000 |
Health Net | Centene | healthcare services | insurance violation | 2001 | CA-MHC | $100,000 |
Health Net of California, Inc. | Centene | healthcare services | insurance violation | 2003 | CA-MHC | $140,000 |
Health Net of California, Inc. | Centene | healthcare services | insurance violation | 2003 | CA-MHC | $10,000 |
Health Net of California, Inc. | Centene | healthcare services | insurance violation | 2003 | CA-MHC | $17,500 |
Health Net of California, Inc. | Centene | healthcare services | insurance violation | 2003 | CA-MHC | $5,000 |
Health Net of California, Inc. | Centene | healthcare services | insurance violation | 2004 | CA-MHC | $5,000 |
Health Net of California, Inc. | Centene | healthcare services | insurance violation | 2004 | CA-MHC | $5,000 |
Health Net of California, Inc. | Centene | healthcare services | insurance violation | 2004 | CA-MHC | $7,500 |
Health Net of California, Inc. | Centene | healthcare services | insurance violation | 2004 | CA-MHC | $5,000 |
Health Net of California, Inc. | Centene | healthcare services | insurance violation | 2004 | CA-MHC | $12,500 |
Health Net of California, Inc. | Centene | healthcare services | insurance violation | 2004 | CA-MHC | $7,500 |
Health Net of California | Centene | healthcare services | insurance violation | 2005 | CA-MHC | $250,000 |
Health Net of California, Inc. | Centene | healthcare services | insurance violation | 2005 | CA-MHC | $5,000 |
Health Net of California, Inc. | Centene | healthcare services | insurance violation | 2005 | CA-MHC | $5,000 |
Health Net of California, Inc. | Centene | healthcare services | insurance violation | 2005 | CA-MHC | $40,000 |
Health Net of California, Inc. | Centene | healthcare services | insurance violation | 2005 | CA-MHC | $10,000 |
Health Net of California, Inc. | Centene | healthcare services | insurance violation | 2005 | CA-MHC | $5,000 |
Health Net of California, Inc. | Centene | healthcare services | insurance violation | 2005 | CA-MHC | $5,000 |
Health Net of California, Inc. | Centene | healthcare services | insurance violation | 2006 | CA-MHC | $25,000 |
Health Net of California, Inc. | Centene | healthcare services | insurance violation | 2006 | CA-MHC | $5,000 |