LPL Financial LLC | LPL Financial | investor protection violation | 2017 | MA-SEC | $975,000 |
Investment Professionals, Inc. | Ameriprise Financial | investor protection violation | 2017 | MA-SEC | $100,000 |
Morgan Stanley Smith Barney LLC | Morgan Stanley | investor protection violation | 2017 | MA-SEC | $1,000,000 |
LPL Financial LLC | LPL Financial | investor protection violation | 2017 | MA-SEC | $1,000,000 |
MetLife, Inc. | MetLife | investor protection violation | 2018 | MA-SEC | $1,000,000 |
LPL Financial LLC | LPL Financial | investor protection violation | 2019 | MA-SEC | $1,100,000 |
Wells Fargo Clearing Services, LLC | Wells Fargo | investor protection violation | 2019 | MA-SEC | $450,000 |
Morgan Stanley Smith Barney LLC | Morgan Stanley | investor protection violation | 2019 | MA-SEC | $382,500 |
Next Financial Group, Inc. | Atria Wealth Solutions | investor protection violation | 2019 | MA-SEC | $150,000 |
MML Investors Services, LLC | Massachusetts Mutual Life Insurance | investor protection violation | 2021 | MA-SEC | $4,000,000 |
MML Investors Services, LLC | Massachusetts Mutual Life Insurance | investor protection violation | 2022 | MA-SEC | $262,092 |
STIFEL, NICOLAUS & COMPANY, INC. | Stifel Financial | investor protection violation | 2023 | MA-SEC | $2,500,000 |
Fidelity Brokerage Services LLC | Fidelity Investments | investor protection violation | 2023 | MA-SEC | $750,000 |
LPL Financial, LLC | LPL Financial | investor protection violation | 2023 | MA-SEC | $250,000 |
Robinhood Financial LLC | Robinhood Markets | investor protection violation | 2024 | MA-SEC | $7,500,000 |
Scottsdale Insurance Company | Nationwide | insurance violation | 2000 | MA-INS | $26,208 |
National Casualty Company | Nationwide | insurance violation | 2000 | MA-INS | $6,500 |
Philadelphia Indemnity Insurance Company | Tokio Marine | insurance violation | 2000 | MA-INS | $7,040 |
New Hampshire Insurance Company | American International Group | insurance violation | 2002 | MA-INS | $639,576 |
Insurance Company of the State of PA | American International Group | insurance violation | 2002 | MA-INS | $124,532 |
Hanover Insurance Company | Hanover Insurance | insurance violation | 2001 | MA-INS | $7,040 |
Fidelity & Guaranty Insurance Company | Fidelity National Financial | insurance violation | 2001 | MA-INS | $21,037 |
Valley Forge Life Insurance Company | Prudential PLC | insurance violation | 2001 | MA-INS | $11,600 |
American Bankers Insurance Company of Florida | Assurant | insurance violation | 2001 | MA-INS | $65,000 |
Sentry Insurance A Mutual Company | Sentry Insurance | insurance violation | 2001 | MA-INS | $14,500 |
AIU Insurance Company | American International Group | insurance violation | 2002 | MA-INS | $365,615 |
American Home Assurance Company | American International Group | insurance violation | 2002 | MA-INS | $64,546 |
Fireman's Fund Insurance Company | Allianz | insurance violation | 2002 | MA-INS | $20,000 |
Travelers Insurance Company | Travelers | insurance violation | 2002 | MA-INS | $8,600 |
Zurich Direct | Zurich Insurance | insurance violation | 2002 | MA-INS | $6,000 |
Zurich Life Insurance Company of America | Zurich Insurance | insurance violation | 2002 | MA-INS | $12,000 |
Harleysville Worcester Insurance Company | Nationwide | insurance violation | 2002 | MA-INS | $6,000 |
Banner Life Insurance Company | Legal & General Group PLC | insurance violation | 2002 | MA-INS | $10,900 |
Valley Forge Life Insurance Company | Prudential PLC | insurance violation | 2002 | MA-INS | $24,500 |
Protective Life Insurance Company | Dai-ichi Life | insurance violation | 2003 | MA-INS | $30,000 |
American Zurich Insurance Company | Zurich Insurance | insurance violation | 2003 | MA-INS | $40,000 |
American Home Assurance Company | American International Group | insurance violation | 2003 | MA-INS | $12,500 |
Allstate Life Insurance Company | Allstate | insurance violation | 2004 | MA-INS | $25,000 |
American Automobile Insurance Company | Allianz | insurance violation | 2005 | MA-INS | $9,000 |
Aon Risk Services Inc. of Pennsylvania | Aon | insurance violation | 2005 | MA-INS | $19,000 |
New England Life Insurance Company | Brighthouse Financial | insurance violation | 2005 | MA-INS | $13,000 |
Amica Mutual Insurance Co. | Amica Mutual Insurance | insurance violation | 2007 | MA-INS | $12,000 |
Progressive Direct Insurance Co. | Progressive | insurance violation | 2011 | MA-INS | $125,000 |
Aon Risk Services Northeast | Aon | insurance violation | 2014 | MA-INS | $15,000 |
LIBERTY MUTUAL INSURANCE CO IH LAB | Liberty Mutual Insurance | environmental violation | 2011 | MA-ENV | $8,000 |
MANULIFE FINANCIAL | Manulife Financial | environmental violation | 2008 | MA-ENV | $18,030 |
SUN LIFE ASSURANCE CO OF CANADA | Sun Life Financial | environmental violation | 2005 | MA-ENV | $31,635 |
HANOVER INSURANCE GROUP | Hanover Insurance | environmental violation | 2002 | MA-ENV | $10,000 |
AmeriSave Mortgage Corp. | AmeriSave Mortgage | consumer protection violation | 2010 | MA-BKG | $25,000 |
Nationstar Mortgage LLC | Mr. Cooper Group | consumer protection violation | 2011 | MA-BKG | $25,000 |
Home Loan Center, Inc. dba Lending Tree Loans | LendingTree | consumer protection violation | 2012 | MA-BKG | $38,000 |
Prospect Mortgage, LLC | Homebridge Financial Services | consumer protection violation | 2013 | MA-BKG | $25,000 |
Guaranteed Rate, Inc. | Guaranteed Rate Inc. | consumer protection violation | 2014 | MA-BKG | $25,000 |
Freedom Mortgage Corp. | Freedom Mortgage | mortgage abuses | 2016 | MA-BKG | $2,000,000 |
LendingClub Corp. and Springstone Financial, LLC | LendingClub Corp. | consumer protection violation | 2018 | MA-BKG | $2,000,000 |
Quicken Loans, Inc. and One Reverse Mortgage, LLC | Rocket Companies Inc. | consumer protection violation | 2018 | MA-BKG | $250,000 |
Freedom Mortgage Corp. | Freedom Mortgage | consumer protection violation | 2020 | MA-BKG | $25,000 |
Mutual of Omaha Mortgage, Inc. | Mutual of Omaha | consumer protection violation | 2022 | MA-BKG | $25,000 |
LendingTree, LLC | LendingTree | consumer protection violation | 2021 | MA-BKG | $34,000 |
Allstate Company, Inc. | Allstate | wage and hour violation | 2007 | MA-AG | $125,000 |
American Automobile Insurance Co. | Allianz | consumer protection violation | 2011 | MA-AG | $571,394 |
American Bankers Insurance Co. | Assurant | consumer protection violation | 2006 | MA-AG | $20,000 |
American International Group | American International Group | wage and hour violation | 2009 | MA-AG | $900,000 |
American International Group | American International Group | False Claims Act and related | 2008 | MA-AG | $218,920 |
American International Group | American International Group | False Claims Act and related | 2007 | MA-AG | $58,500,000 |
American Security Insurance Co. | Assurant | consumer protection violation | 2017 | MA-AG | $6,300,000 |
American Security Insurance Co. | Assurant | consumer protection violation | 2015 | MA-AG | $565,000 |
Ameriprise Financial Services, Inc. | Ameriprise Financial | consumer protection violation | 2009 | MA-AG | $200,000 |
Amica Mutual Insurance Co. | Amica Mutual Insurance | consumer protection violation | 2012 | MA-AG | $837,384 |
Bank of America | Bank of America | mortgage abuses | 2015 | MA-AG | $675,000 |
Bank of America | Bank of America | discriminatory practices (non-employment) | 2006 | MA-AG | $50,000 |
Barclays Bank PLC | Barclays | toxic securities abuses | 2013 | MA-AG | $36,100,000 |
BNY Mellon Shareowner Services | Bank of New York Mellon | investor protection violation | 2010 | MA-AG | $30,000 |
Citigroup | Citigroup | mortgage abuses | 2015 | MA-AG | $675,000 |
Citigroup | Citigroup | toxic securities abuses | 2008 | MA-AG | $20,000,000 |
Continental American Insurance Co. | Aflac | consumer protection violation | 2010 | MA-AG | $25,000 |
Countrywide Securities Corp. | Bank of America | mortgage abuses | 2013 | MA-AG | $17,300,000 |
Ditech Financial, LLC | Ditech Holding Corporation | consumer protection violation | 2016 | MA-AG | $1,400,000 |
Encompass Insurance Co. | Allstate | consumer protection violation | 2015 | MA-AG | $25,000 |
Encompass Insurance Company of Massachusetts | Allstate | consumer protection violation | 2012 | MA-AG | $1,972,635 |
Goldman Sachs & Co. | Goldman Sachs | mortgage abuses | 2009 | MA-AG | $60,000,000 |
Great American Insurance Co. | American Financial Group | insurance violation | 2009 | MA-AG | $176,000 |
H&R Block, Inc. | H&R Block | discriminatory practices (non-employment) | 2011 | MA-AG | $125,000,000 |
Hanover Insurance Co. | Hanover Insurance | consumer protection violation | 2009 | MA-AG | $415,000 |
Hanover Insurance Group | Hanover Insurance | consumer protection violation | 2010 | MA-AG | $2,500,000 |
HSBC | HSBC | consumer protection violation | 2016 | MA-AG | $4,000,000 |
HSBC Securities | HSBC | mortgage abuses | 2018 | MA-AG | $26,800,000 |
Jackson Hewitt Tax Service Inc. | Jackson Hewitt | consumer protection violation | 2019 | MA-AG | $187,000 |
John Hancock Life Insurance Co. | Manulife Financial | investor protection violation | 2014 | MA-AG | $550,000 |
John Hancock Life Insurance Co. | Manulife Financial | consumer protection violation | 2013 | MA-AG | $40,000 |
JP Morgan Chase | JPMorgan Chase | mortgage abuses | 2015 | MA-AG | $675,000 |
Liberty Mutual | Liberty Mutual Insurance | consumer protection violation | 2007 | MA-AG | $50,000 |
Liberty Mutual Insurance Co. | Liberty Mutual Insurance | consumer protection violation | 2010 | MA-AG | $20,000 |
Liberty Mutual Insurance Co. | Liberty Mutual Insurance | consumer protection violation | 2010 | MA-AG | $3,100,000 |
Liberty Mutual Insurance Group Inc. | Liberty Mutual Insurance | consumer protection violation | 2018 | MA-AG | $50,000 |
Merrill Lynch | Bank of America | toxic securities abuses | 2009 | MA-AG | $300,000 |
Merrill Lynch | Bank of America | toxic securities abuses | 2008 | MA-AG | $13,700,000 |
Metropolitan Life Insurance Co. | MetLife | consumer protection violation | 2004 | MA-AG | $150,000 |
Metropolitan Life Insurance Co. | MetLife | consumer protection violation | 2000 | MA-AG | $1,200,000 |
Metropolitan Property & Casualty | Zurich Insurance | consumer protection violation | 2010 | MA-AG | $20,000 |
Metropolitan Property & Casualty Insurance Co. | Zurich Insurance | consumer protection violation | 2010 | MA-AG | $3,500,000 |