Banc of America Investment Services, Inc. | Bank of America | investor protection violation | 2006 | IL-SEC | $250,000 |
Merrill Lynch, Pierce, Fenner & Smith Inc. | Bank of America | investor protection violation | 2007 | IL-SEC | $40,000 |
Ameriprise Financial Services, Inc. | Ameriprise Financial | investor protection violation | 2008 | IL-SEC | $1,449,384 |
ING Financial Partners, Inc. | Voya Financial | investor protection violation | 2008 | IL-SEC | $4,677,326 |
LPL Financial Corp. | LPL Financial | investor protection violation | 2010 | IL-SEC | $300,000 |
MetLife Securities, Inc. | MetLife | investor protection violation | 2010 | IL-SEC | $135,000 |
Charles Schwab & Co., Inc. et al. | Charles Schwab Corp. | investor protection violation | 2011 | IL-SEC | $8,567,364 |
Stifel, Nicolaus & Company, Inc. | Stifel Financial | investor protection violation | 2011 | IL-SEC | $80,224 |
LPL Financial, LLC | LPL Financial | investor protection violation | 2011 | IL-SEC | $250,000 |
Merrill Lynch Pierce Fenner & Smith Inc. | Bank of America | investor protection violation | 2012 | IL-SEC | $25,930,000 |
Southwest Securities, Inc. | Hilltop Holdings | investor protection violation | 2012 | IL-SEC | $7,500 |
LPL Financial, LLC | LPL Financial | investor protection violation | 2014 | IL-SEC | $2,000,000 |
LPL Financial, LLC | LPL Financial | investor protection violation | 2014 | IL-SEC | $815,218 |
Pruco Securities, LLC | Prudential Financial | investor protection violation | 2017 | IL-SEC | $900,000 |
Wells Fargo Advisors, LLC | Wells Fargo | investor protection violation | 2017 | IL-SEC | $270,000 |
Solium Financial Services LLC | Morgan Stanley | investor protection violation | 2020 | IL-SEC | $11,385 |
Thrivent Investment Management Inc. | Thrivent Financial | investor protection violation | 2020 | IL-SEC | $400,000 |
Indiana Insurance Co. | Liberty Mutual Insurance | insurance violation | 2010 | IL-INS | $25,000 |
State Farm Mutual Automobile Insurance Co. and State Farm Fire and Casualty Co. | State Farm Insurance | insurance violation | 2011 | IL-INS | $50,000 |
American Bankers Life Assurance Company of Florida | Assurant | insurance violation | 2011 | IL-INS | $15,000 |
Sentinel Insurance Company Ltd. | Hartford Financial Services | insurance violation | 2011 | IL-INS | $9,000 |
BUCKEYE PIPE LINE & WEST SHORE PIPE LINE | IFM Investors | environmental violation | 2014 | IL-ENV | $125,000 |
RR DONNELLEY & SONS | Chatham Asset Management | environmental violation | 2013 | IL-ENV | $5,000 |
BUCKEYE PIPELINE | IFM Investors | environmental violation | 2009 | IL-ENV | $82,845 |
BUCKEYE PARTNERS | IFM Investors | environmental violation | 2009 | IL-ENV | $354,540 |
Buckeye Pipe Line Company, L.P. and West Shore Pipe Line Comany | IFM Investors | environmental violation | 2021 | IL-ENV | $8,700,000 |
GUARANTEED RATE INC | Guaranteed Rate Inc. | wage and hour violation | 2015 | IL-DOL | $7,291 |
US BANK | U.S. Bancorp | wage and hour violation | 2014 | IL-DOL | $131,922 |
RR Donnelley | Chatham Asset Management | wage and hour violation | 2020 | IL-DOL | $30,000 |
Nuveen Services LLC | TIAA | wage and hour violation | 2018 | IL-DOL | $27,983 |
FIRST MIDWEST BANK | Old National Bancorp | wage and hour violation | 2018 | IL-DOL | $15,000 |
ZURICH AMERICAN INS CO | Zurich Insurance | wage and hour violation | 2018 | IL-DOL | $13,865 |
NORTHWESTERN MUTUAL | Northwestern Mutual | wage and hour violation | 2023 | IL-DOL | $9,000 |
NORTHWESTERN MUTUAL | Northwestern Mutual | wage and hour violation | 2023 | IL-DOL | $9,000 |
NORTHWESTERN MUTUAL | Northwestern Mutual | wage and hour violation | 2023 | IL-DOL | $7,000 |
NORTHWESTERN MUTUAL | Northwestern Mutual | wage and hour violation | 2023 | IL-DOL | $7,000 |
WELLS FARGO BANK NA | Wells Fargo | wage and hour violation | 2022 | IL-DOL | $18,049 |
PNC BANK N A | PNC Financial Services | wage and hour violation | 2022 | IL-DOL | $7,600 |
WELLS FARGO BANK NA | Wells Fargo | wage and hour violation | 2022 | IL-DOL | $18,049 |
BANK OF AMERICA CORP | Bank of America | wage and hour violation | 2022 | IL-DOL | $9,660 |
Allstate Insurance | Allstate | wage and hour violation | 2021 | IL-DOL | $12,000 |
RR Donnelley | Chatham Asset Management | wage and hour violation | 2021 | IL-DOL | $174,720 |
RR Donnelley | Chatham Asset Management | wage and hour violation | 2021 | IL-DOL | $174,600 |
Allstate | Allstate | wage and hour violation | 2021 | IL-DOL | $85,000 |
Allstate | Allstate | wage and hour violation | 2021 | IL-DOL | $75,000 |
Allstate | Allstate | wage and hour violation | 2021 | IL-DOL | $73,000 |
Allstate | Allstate | wage and hour violation | 2021 | IL-DOL | $10,000 |
GUARANTEED RATE INC | Guaranteed Rate Inc. | wage and hour violation | 2021 | IL-DOL | $5,335 |
FIFTH THIRD SECURITIES INC | Fifth Third Bancorp | wage and hour violation | 2021 | IL-DOL | $12,000 |
GMAC Mortgage, LLC | Ally Financial | consumer protection violation | 2010 | IL-BKG | $50,000 |
Countrywide Home Loans, Inc. | Bank of America | consumer protection violation | 2010 | IL-BKG | $54,000 |
Quicken Loans, Inc. | Rocket Companies Inc. | consumer protection violation | 2011 | IL-BKG | $75,000 |
PHH Mortgage Corp. | Ocwen Financial | mortgage abuses | 2012 | IL-BKG | $150,000 |
Allied Home Mortgage Corp. | Americus Mortgage | consumer protection violation | 2012 | IL-BKG | $7,500 |
GMAC Mortgage, LLC dba Ditech | Ally Financial | consumer protection violation | 2013 | IL-BKG | $15,000 |
Arthur J. Gallagher & Co. | Arthur J. Gallagher & Co. | consumer protection violation | 2005 | IL-AG | $27,000,000 |
Morgan Stanley | Morgan Stanley | toxic securities abuses | 2016 | IL-AG | $22,500,000 |
OppenheimerFunds, Inc. | Invesco | investor protection violation | 2009 | IL-AG | $77,230,000 |
Royal Bank of Scotland | NatWest Group PLC | toxic securities abuses | 2018 | IL-AG | $20,000,000 |
Wells Fargo | Wells Fargo | toxic securities abuses | 2018 | IL-AG | $17,250,000 |
World Group Securities, Inc. | Aegon | investor protection violation | 2004 | ID-SEC | $15,000 |
Morgan Stanley DW Inc. | Morgan Stanley | investor protection violation | 2006 | ID-SEC | $415,000 |
Old Republic National Title Insurance Co. | Old Republic International | insurance violation | 2008 | ID-INS | $10,000 |
Bristol West Insurance Co. | Zurich Insurance | insurance violation | 2008 | ID-INS | $5,330 |
Globe Life and Accident Insurance Co. | Globe Life Inc. | insurance violation | 2008 | ID-INS | $26,000 |
National Union Fire Insurance Company of Pittsburgh, Pa. | American International Group | insurance violation | 2009 | ID-INS | $5,000 |
National Union Fire Insurance Company of Pittsburgh, Pa. | American International Group | insurance violation | 2010 | ID-INS | $15,000 |
Progressive Northwestern Insurance Co. and Progressive Direct Insurance Co. | Progressive | insurance violation | 2010 | ID-INS | $32,000 |
Time Insurance Co. | Haven Holdings | insurance violation | 2014 | ID-INS | $5,000 |
American Family Assurance Company of Columbus | Aflac | insurance violation | 2014 | ID-INS | $30,000 |
Nationwide Life Insurance Co. | Nationwide | insurance violation | 2015 | ID-INS | $5,000 |
Zurich American Insurance Co. | Zurich Insurance | insurance violation | 2015 | ID-INS | $5,000 |
Transamerica Life Insurance Co. | Aegon | insurance violation | 2017 | ID-INS | $5,000 |
Arch Insurance Co. | Arch Capital | insurance violation | 2019 | ID-INS | $5,000 |
The Hartford et al. | Hartford Financial Services | insurance violation | 2022 | ID-INS | $360,000 |
ACE American Insurance Co. | Chubb Limited | insurance violation | 2022 | ID-INS | $156,000 |
Academy Mortgage Corp. | Academy Mortgage Corp. | consumer protection violation | 2011 | ID-FIN | $155,000 |
Navient | Navient | consumer protection violation | 2022 | ID-AG | $3,972,316 |
Conseco Life Insurance Co. | CNO Financial | insurance violation | 2007 | IA-INS | $750,000 |
Nationwide Insurance Company of America et al. | Nationwide | insurance violation | 2011 | IA-INS | $52,000 |
Travelers Casualty & Surety Company of America et al. | Travelers | insurance violation | 2011 | IA-INS | $5,000 |
Ameritas Investment Corp. | Ameritas Mutual Holding Company | investor protection violation | 2014 | IA-INS | $10,000 |
Solium Financial Services, LLC | Morgan Stanley | investor protection violation | 2020 | IA-INS | $10,147 |
CashCall Inc. | CashCall Inc. | consumer protection violation | 2014 | IA-AG | $1,500,000 |
Progressive Insurance Company of Ohio | Progressive | consumer protection violation | 2001 | IA-AG | $127,500 |
First Tennessee Bank | First Horizon National | discriminatory practices (non-employment) | 2016 | HUD | $1,900,000 |
Associated Bank, N.A. | Associated Banc-Corp | discriminatory practices (non-employment) | 2015 | HUD | $200,000,000 |
Wells Fargo Home Mortgage | Wells Fargo | discriminatory practices (non-employment) | 2014 | HUD | $5,000,000 |
Midland States Bancorp | Midland States Bancorp | discriminatory practices (non-employment) | 2014 | HUD | $15,950,000 |
U.S. Bank National Association | U.S. Bancorp | discriminatory practices (non-employment) | 2014 | HUD | $11,489 |
Freedom Mortgage Corporation | Freedom Mortgage | discriminatory practices (non-employment) | 2014 | HUD | $104,000 |
Bank of America | Bank of America | discriminatory practices (non-employment) | 2013 | HUD | $45,000 |
Bank of America | Bank of America | discriminatory practices (non-employment) | 2013 | HUD | $22,449 |
SunTrust Mortgage, Inc. | Truist Financial | discriminatory practices (non-employment) | 2013 | HUD | $36,000 |
PNC Mortgage | PNC Financial Services | discriminatory practices (non-employment) | 2013 | HUD | $15,000 |
U.S. Bank National Association | U.S. Bancorp | discriminatory practices (non-employment) | 2013 | HUD | $12,000 |
Bank of America | Bank of America | discriminatory practices (non-employment) | 2013 | HUD | $7,500 |
Bank of America | Bank of America | discriminatory practices (non-employment) | 2012 | HUD | $161,180 |
Home Loan Center, Inc. | LendingTree | discriminatory practices (non-employment) | 2012 | HUD | $15,000 |
Prospect Mortgage, LLC | Homebridge Financial Services | kickbacks and bribery | 2011 | HUD | $3,100,000 |
Fidelity National Financial, Inc. | Fidelity National Financial | kickbacks and bribery | 2011 | HUD | $4,500,000 |