SunTrust Mortgage, Inc. | Truist Financial | consumer protection violation | 2017 | AR-SEC | $13,000 |
Edward D. Jones & Co., L.P. | Jones Financial | investor protection violation | 2018 | AR-SEC | $50,000 |
LPL Financial LLC | LPL Financial | investor protection violation | 2019 | AR-SEC | $40,000 |
Solium Financial Services LLC | Morgan Stanley | investor protection violation | 2019 | AR-SEC | $5,000 |
CUNA Brokerage Services, Inc. | CUNA Mutual | investor protection violation | 2021 | AR-SEC | $50,000 |
Encompass Indemnity Co. and Encompass Insurance Company of America | Allstate | insurance violation | 2019 | AR-INS | $40,000 |
Chicago Title Insurance Co. | Fidelity National Financial | insurance violation | 2017 | AR-INS | $50,000 |
Stewart Title Guaranty Co. | Stewart Information Services | insurance violation | 2013 | AR-INS | $10,000 |
Farmers Insurance Exchange et al. | Farmers Insurance Exchange | insurance violation | 2013 | AR-INS | $5,000 |
Western Sky Financial, CashCall Inc. and WS Funding | CashCall Inc. | consumer protection violation | 2016 | AR-AG | $750,000 |
Prudential Equity Group, Inc. | Prudential Financial | investor protection violation | 2005 | AL-SEC | $45,000 |
Morgan Keegan & Co. | Raymond James Financial | investor protection violation | 2005 | AL-SEC | $100,000 |
Morgan Keegan & Co. | Raymond James Financial | investor protection violation | 2010 | AL-SEC | $15,000 |
Next Financial Group, Inc. | Atria Wealth Solutions | investor protection violation | 2012 | AL-SEC | $60,000 |
Morgan Keegan & Co. | Raymond James Financial | investor protection violation | 2017 | AL-SEC | $20,000 |
LPL Financial LLC | LPL Financial | investor protection violation | 2018 | AL-SEC | $80,000 |
Solium Financial Services LLC | Morgan Stanley | investor protection violation | 2020 | AL-SEC | $18,874 |
Regions Bank | Regions Financial | banking violation | 2014 | AL-SBD | $5,000,000 |
GMAC Mortgage, LLC | Ally Financial | environmental violation | 2010 | AL-ENV | $5,505 |
Principal Life Insurance Co. | Principal Financial | insurance violation | 2002 | AK-INS | $16,095 |
Aon Risk Services Inc. of Washington | Aon | insurance violation | 2002 | AK-INS | $5,000 |
Seabury & Smith, Inc. | Marsh & McLennan | insurance violation | 2006 | AK-INS | $6,530 |
Liberty Mutual Group | Liberty Mutual Insurance | insurance violation | 2007 | AK-INS | $32,500 |
Principal Life Insurance Co. | Principal Financial | insurance violation | 2008 | AK-INS | $25,000 |
Seabury & Smith, Inc. | Marsh & McLennan | insurance violation | 2009 | AK-INS | $39,378 |
Brown & Brown of Washington, Inc. | Brown & Brown | insurance violation | 2012 | AK-INS | $30,000 |
Marsh USA Inc. | Marsh & McLennan | insurance violation | 2015 | AK-INS | $25,000 |
Marsh & McLennan Agency LLC | Marsh & McLennan | insurance violation | 2016 | AK-INS | $10,000 |
Marsh & McLennan Agency LLC | Marsh & McLennan | insurance violation | 2019 | AK-INS | $20,000 |
Marsh USA Inc. | Marsh & McLennan | insurance violation | 2019 | AK-INS | $30,000 |
Affinity Insurance Services, Inc. | Aon | insurance violation | 2021 | AK-INS | $35,000 |
New Hampshire Insurance Co. | American International Group | insurance violation | 2022 | AK-INS | $7,500 |
Marsh USA Inc. | Marsh & McLennan | insurance violation | 2023 | AK-INS | $55,000 |
Marsh & McLennan Agency LLC | Marsh & McLennan | insurance violation | 2023 | AK-INS | $20,000 |
Edward D. Jones and Co.,LP | Jones Financial | investor protection violation | 2003 | AK-DBS | $11,000 |
Wachovia Securities, LLC | Wells Fargo | investor protection violation | 2010 | AK-DBS | $129,131 |
Citigroup Global Markets, Inc. | Citigroup | investor protection violation | 2010 | AK-DBS | $150,507 |
UBS Securities LLC | UBS | investor protection violation | 2010 | AK-DBS | $733,465 |
UBS Financial Services, Inc. | UBS | investor protection violation | 2013 | AK-DBS | $64,661 |
RBC Capital Markets, LLC | Royal Bank of Canada | investor protection violation | 2013 | AK-DBS | $44,370 |
J.P. Morgan Securities, LLC | JPMorgan Chase | investor protection violation | 2014 | AK-DBS | $51,120 |
Citigroup Global Markets, Inc. | Citigroup | investor protection violation | 2015 | AK-DBS | $35,000 |
Academy Mortgage Corp. | Academy Mortgage Corp. | consumer protection violation | 2017 | AK-DBS | $6,500 |
Quicken Loans Inc. | Rocket Companies Inc. | consumer protection violation | 2018 | AK-DBS | $11,000 |
LPL Financial LLC | LPL Financial | investor protection violation | 2019 | AK-DBS | $499,000 |
Securian Financial Services, Inc. | Securian Financial | investor protection violation | 2020 | AK-DBS | $10,000 |
Solium Financial Services LLC | Morgan Stanley | investor protection violation | 2020 | AK-DBS | $10,527 |
Bank of America | Bank of America | False Claims Act and related | 2001 | AK-AG | $35,600,000 |
Mercer | Marsh & McLennan | accounting fraud or deficiencies | 2010 | AK-AG | $500,000,000 |
JPMorgan Chase | JPMorgan Chase | wage and hour violation | 2018 | private lawsuit-federal | $3,000,000 |
Wells Fargo | Wells Fargo | wage and hour violation | 2018 | private lawsuit-state | $27,500,000 |
JPMorgan Chase | JPMorgan Chase | wage and hour violation | 2018 | private lawsuit-federal | $8,333,333 |
BB&T | Truist Financial | wage and hour violation | 2018 | private lawsuit-federal | $72,336 |
Wells Fargo | Wells Fargo | wage and hour violation | 2017 | private lawsuit-state | $13,000,000 |
Progressive | Progressive | wage and hour violation | 2017 | private lawsuit-federal | $46,000 |
Prudential Financial | Prudential Financial | wage and hour violation | 2017 | private lawsuit-federal | $12,500,000 |
Bank of America | Bank of America | wage and hour violation | 2017 | private lawsuit-federal | $6,000,000 |
Wells Fargo Advisors | Wells Fargo | wage and hour violation | 2017 | private lawsuit-federal | $3,500,000 |
U.S. Bancorp | U.S. Bancorp | wage and hour violation | 2017 | private lawsuit-federal | $7,000,000 |
JPMorgan Chase | JPMorgan Chase | wage and hour violation | 2017 | private lawsuit-federal | $16,666,667 |
Ditech Financial LLC | Ditech Holding Corporation | wage and hour violation | 2017 | private lawsuit-federal | $1,383,000 |
Farmers Insurance Exchange | Farmers Insurance Exchange | wage and hour violation | 2017 | private lawsuit-federal | $775,000 |
Citigroup | Citigroup | wage and hour violation | 2017 | private lawsuit-federal | $1,080,000 |
Regions Financial | Regions Financial | wage and hour violation | 2017 | private lawsuit-federal | $620,634 |
Fifth Third Bank | Fifth Third Bancorp | wage and hour violation | 2017 | private lawsuit-federal | $1,111,388 |
Wells Fargo | Wells Fargo | wage and hour violation | 2017 | private lawsuit-federal | $685,000 |
PNC Bank | PNC Financial Services | wage and hour violation | 2017 | private lawsuit-federal | $16,000,000 |
JPMorgan Chase | JPMorgan Chase | wage and hour violation | 2017 | private lawsuit-federal | $5,707,279 |
U.S. Bancorp | U.S. Bancorp | wage and hour violation | 2017 | private lawsuit-federal | $1,150,000 |
Allstate Insurance | Allstate | wage and hour violation | 2017 | private lawsuit-state | $2,000,000 |
Wells Fargo | Wells Fargo | wage and hour violation | 2017 | private lawsuit-federal | $3,900,000 |
Bank of America | Bank of America | wage and hour violation | 2017 | private lawsuit-federal | $7,000,000 |
Bank of America | Bank of America | wage and hour violation | 2017 | private lawsuit-federal | $1,900,000 |
Farmers Insurance Exchange | Farmers Insurance Exchange | wage and hour violation | 2017 | private lawsuit-federal | $4,900,000 |
Bank of America | Bank of America | wage and hour violation | 2017 | private lawsuit-federal | $6,600,000 |
Citigroup | Citigroup | wage and hour violation | 2017 | private lawsuit-federal | $325,000 |
PNC Financial Services | PNC Financial Services | wage and hour violation | 2016 | private lawsuit-federal | $6,000,000 |
Hartford Fire Insurance | Hartford Financial Services | wage and hour violation | 2016 | private lawsuit-federal | $2,650,000 |
Merrill Lynch | Bank of America | wage and hour violation | 2016 | private lawsuit-state | $2,645,000 |
Bank of America | Bank of America | wage and hour violation | 2016 | private lawsuit-state | $4,000,000 |
HSBC | HSBC | wage and hour violation | 2016 | private lawsuit-federal | $6,982,000 |
BMO Financial | Bank of Montreal | wage and hour violation | 2016 | private lawsuit-federal | $700,000 |
Bank of America | Bank of America | wage and hour violation | 2016 | private lawsuit-federal | $3,250,000 |
PNC Bank | PNC Financial Services | wage and hour violation | 2016 | private lawsuit-federal | $1,500,000 |
Morgan Stanley | Morgan Stanley | wage and hour violation | 2016 | private lawsuit-federal | $5,995,000 |
AXA Advisors | Equitable Holdings | wage and hour violation | 2016 | private lawsuit-federal | $2,300,000 |
Merrill Lynch | Bank of America | wage and hour violation | 2016 | private lawsuit-federal | $14,000,000 |
New York Life | New York Life Insurance | wage and hour violation | 2016 | private lawsuit-federal | $94,818 |
JPMorgan Chase | JPMorgan Chase | wage and hour violation | 2016 | private lawsuit-federal | $950,000 |
Banco Popular | Popular Inc. | wage and hour violation | 2016 | private lawsuit-federal | $50,243 |
Bank of America | Bank of America | wage and hour violation | 2016 | private lawsuit-federal | $36,000,000 |
Bank of America | Bank of America | wage and hour violation | 2016 | private lawsuit-federal | $2,250,000 |
Compass Bank | PNC Financial Services | wage and hour violation | 2015 | private lawsuit-federal | $500,000 |
Citigroup | Citigroup | wage and hour violation | 2015 | private lawsuit-federal | $4,650,000 |
Wells Fargo Insurance Services | Wells Fargo | wage and hour violation | 2015 | private lawsuit-federal | $2,000,000 |
JPMorgan Chase | JPMorgan Chase | wage and hour violation | 2015 | private lawsuit-federal | $12,000,000 |
Capital One | Capital One Financial | wage and hour violation | 2015 | private lawsuit-federal | $3,000,000 |
Bank of America | Bank of America | wage and hour violation | 2015 | private lawsuit-federal | $9,000,000 |
TD Bank | Toronto-Dominion Bank | wage and hour violation | 2015 | private lawsuit-federal | $9,900,000 |
MB Financial | Fifth Third Bancorp | wage and hour violation | 2015 | private lawsuit-federal | $800,000 |
UBS | UBS | wage and hour violation | 2015 | private lawsuit-federal | $1,312,500 |