Mastercard Inc. | MasterCard | consumer protection violation | 2018 | NM-AG | $1,125,000 |
MasterCard Inc. | MasterCard | price-fixing or anti-competitive practices | 2009 | private lawsuit-federal | $72,480,000 |
MassMutual Life Insurance Company | Massachusetts Mutual Life Insurance | insurance violation | 2020 | NY-DFS | $1,399,708 |
Massachusetts Mutual Life Insurance Company, Inc. | Massachusetts Mutual Life Insurance | insurance violation | 2019 | CT-INS | $61,000 |
Massachusetts Mutual Life Insurance Company | Massachusetts Mutual Life Insurance | investor protection violation | 2012 | SEC | $1,625,000 |
Massachusetts Mutual Life Insurance Company | Massachusetts Mutual Life Insurance | consumer protection violation | 2017 | private lawsuit-federal | $37,500,000 |
MASSACHUSETTS MUTUAL LIFE INSURANCE COMPANY | Massachusetts Mutual Life Insurance | insurance violation | 2023 | WA-INS | $10,000 |
Massachusetts Mutual Life Insurance Co. | Massachusetts Mutual Life Insurance | benefit plan administrator violation | 2016 | private lawsuit-federal | $30,900,000 |
Massachusetts Mutual Life Insurance Co. | Massachusetts Mutual Life Insurance | benefit plan administrator violation | 2015 | private lawsuit-federal | $9,475,000 |
MASSACHUSETTS MUTUAL LIFE INSURANCE | Massachusetts Mutual Life Insurance | insurance violation | 2003 | VA-INS | $15,000 |
Massachusetts Financial Services Company | Sun Life Financial | investor protection violation | 2004 | SEC | $50,000,000 |
Massachusetts Financial Services Company | Sun Life Financial | investor protection violation | 2003 | SEC | $917,858 |
Massachusetts Financial Services Company | Sun Life Financial | investor protection violation | 2018 | SEC | $1,900,000 |
Massachusetts Financial Services Co. | Sun Life Financial | investor protection violation | 2004 | SEC | $225,000,000 |
Massachusetts Financial Services Co. | Sun Life Financial | investor protection violation | 2004 | NY-AG | $350,000,000 |
MASS MUTUAL INSTITUTIONAL FUNDS | Massachusetts Mutual Life Insurance | workplace safety or health violation | 2020 | OSHA | $9,639 |
Marsh USA, Inc. | Marsh & McLennan | insurance violation | 2005 | OR-FIN | $75,000 |
Marsh USA, Inc. | Marsh & McLennan | insurance violation | 2016 | TX-INS | $6,500 |
MARSH USA, INC. | Marsh & McLennan | insurance violation | 2006 | VA-INS | $150,000 |
Marsh USA, Inc. | Marsh & McLennan | insurance violation | 2022 | TX-INS | $5,200 |
Marsh USA Inc. | Marsh & McLennan | insurance violation | 2015 | AK-INS | $25,000 |
Marsh USA Inc. | Marsh & McLennan | insurance violation | 2019 | AK-INS | $30,000 |
Marsh USA Inc. | Marsh & McLennan | insurance violation | 2009 | MN-FIN | $325,000 |
Marsh USA Inc. | Marsh & McLennan | insurance violation | 2008 | PA-INS | $50,000 |
Marsh USA Inc. | Marsh & McLennan | insurance violation | 2011 | TX-INS | $121,189 |
Marsh USA Inc. | Marsh & McLennan | insurance violation | 2023 | AK-INS | $55,000 |
Marsh USA Inc. | Marsh & McLennan | insurance violation | 2023 | NY-DFS | $123,100 |
Marsh USA Inc | Marsh & McLennan | insurance violation | 2018 | NY-DFS | $12,950 |
Marsh and McLennan | Marsh & McLennan | investor protection violation | 2009 | MULTI-AG | $400,000,000 |
Marsh and McLennan | Marsh & McLennan | price-fixing or anti-competitive practices | 2009 | MULTI-AG | $7,000,000 |
Marsh & McLennan Companies, Inc. | Marsh & McLennan | benefit plan administrator violation | 2010 | private lawsuit-federal | $35,000,000 |
Marsh & McLennan Companies, Inc. | Marsh & McLennan | kickbacks and bribery | 2009 | CT-AG | $2,400,000 |
Marsh & McLennan Companies, Inc. | Marsh & McLennan | price-fixing or anti-competitive practices | 2005 | MULTI-AG | $850,000,000 |
Marsh & McLennan Companies Inc. | Marsh & McLennan | price-fixing or anti-competitive practices | 2009 | private lawsuit-federal | $69,000,000 |
Marsh & McLennan Agency, LLC | Marsh & McLennan | insurance violation | 2014 | NJ-DBI | $15,000 |
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 & McLennan Agency LLC | Marsh & McLennan | insurance violation | 2015 | NJ-DBI | $50,000 |
Marsh & McLennan Agency LLC | Marsh & McLennan | insurance violation | 2017 | TX-INS | $6,825 |
Marsh & McLennan Agency LLC | Marsh & McLennan | insurance violation | 2018 | TX-INS | $7,600 |
Marsh & McLennan Agency LLC | Marsh & McLennan | insurance violation | 2020 | TX-INS | $6,350 |
Marsh & McLennan Agency LLC | Marsh & McLennan | insurance violation | 2023 | AK-INS | $20,000 |
Manulife Financial Corporation | Manulife Financial | investor protection violation | 2004 | DOJ_ANTITRUST | $1,000,000 |
MANULIFE FINANCIAL | Manulife Financial | environmental violation | 2008 | MA-ENV | $18,030 |
MAINSOURCE BANK | First Financial Bancorp. | banking violation | 2010 | FDIC | $22,000 |
Macquarie Futures USA LLC | Macquarie | investor protection violation | 2013 | CFTC | $150,000 |
Macquarie Capital Investment Management LLC, et al | Macquarie | investor protection violation | 2015 | SEC | $120,000 |
Macquarie Capital (USA) Inc. | Macquarie | investor protection violation | 2015 | SEC | $15,000,000 |
Macquarie Capital (USA) Inc. | Macquarie | investor protection violation | 2015 | FINRA | $2,950,000 |
M&T Securities, Inc. | M&T Bank | investor protection violation | 2009 | FINRA | $200,000 |
M&T Bank Corp. | M&T Bank | False Claims Act and related | 2016 | DOJ_CIVIL | $64,000,000 |
M&T Bank | M&T Bank | consumer protection violation | 2014 | CFPB | $3,100,000 |
M&T Bank | M&T Bank | anti-money-laundering deficiencies | 2014 | USAO | $560,000 |
M&T Bank | M&T Bank | employment discrimination | 2020 | EEOC | $100,000 |
M&T Bank | M&T Bank | banking violation | 2020 | FED | $546,000 |
M&T Bank | M&T Bank | consumer protection violation | 2022 | private lawsuit-federal | $3,325,000 |
M&T Bank | M&T Bank | consumer protection violation | 2015 | private lawsuit-federal | $4,000,000 |
M&T Bank Corporation | M&T Bank | wage and hour violation | 2018 | private lawsuit-federal | $2,490,000 |
LPL Financial, LLC | LPL Financial | investor protection violation | 2017 | NJ-AG | $975,000 |
LPL Financial, LLC | LPL Financial | investor protection violation | 2011 | IL-SEC | $250,000 |
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 |
LPL Financial, LLC | LPL Financial | investor protection violation | 2013 | IN-SEC | $14,000 |
LPL Financial, LLC | LPL Financial | investor protection violation | 2018 | IN-SEC | $450,000 |
LPL Financial, LLC | LPL Financial | investor protection violation | 2015 | NH-BSR | $750,000 |
LPL Financial, LLC | LPL Financial | investor protection violation | 2018 | FINRA | $2,750,000 |
LPL Financial, LLC | LPL Financial | investor protection violation | 2023 | PA-BKG | $190,000 |
LPL Financial, LLC | LPL Financial | investor protection violation | 2023 | MA-SEC | $250,000 |
LPL Financial LLC | LPL Financial | investor protection violation | 2019 | SEC | $9,333,516 |
LPL Financial LLC | LPL Financial | consumer protection violation | 2015 | MULTI-AG | $2,000,000 |
LPL Financial LLC | LPL Financial | investor protection violation | 2019 | MULTI-AG | $25,848,000 |
LPL Financial LLC | LPL Financial | investor protection violation | 2019 | AK-DBS | $499,000 |
LPL Financial LLC | LPL Financial | investor protection violation | 2018 | AL-SEC | $80,000 |
LPL Financial LLC | LPL Financial | investor protection violation | 2019 | AR-SEC | $40,000 |
LPL Financial LLC | LPL Financial | investor protection violation | 2015 | DE-SEC | $200,000 |
LPL Financial LLC | LPL Financial | investor protection violation | 2013 | MA-SEC | $500,000 |
LPL Financial LLC | LPL Financial | investor protection violation | 2015 | MA-SEC | $250,000 |
LPL Financial LLC | LPL Financial | investor protection violation | 2017 | MA-SEC | $975,000 |
LPL Financial LLC | LPL Financial | investor protection violation | 2017 | MA-SEC | $1,000,000 |
LPL Financial LLC | LPL Financial | investor protection violation | 2019 | MA-SEC | $1,100,000 |
LPL Financial LLC | LPL Financial | investor protection violation | 2019 | MD-SEC | $499,000 |
LPL Financial LLC | LPL Financial | investor protection violation | 2013 | MO-SEC | $185,000 |
LPL Financial LLC | LPL Financial | investor protection violation | 2018 | MS-SEC | $40,000 |
LPL Financial LLC | LPL Financial | investor protection violation | 2012 | MT-FIN | $30,500 |
LPL Financial LLC | LPL Financial | investor protection violation | 2011 | OR-FIN | $100,000 |
LPL Financial LLC | LPL Financial | investor protection violation | 2019 | SC-SEC | $40,000 |
LPL Financial LLC | LPL Financial | investor protection violation | 2016 | TX-SEC | $95,000 |
LPL Financial LLC | LPL Financial | investor protection violation | 2015 | MULTI-FIN | $1,425,000 |
LPL Financial LLC | LPL Financial | investor protection violation | 2018 | MULTI-FIN | $26,000,000 |
LPL Financial LLC | LPL Financial | investor protection violation | 2020 | NH-BSR | $976,000 |
LPL Financial LLC | LPL Financial | investor protection violation | 2019 | FINRA | $280,000 |
LPL Financial LLC | LPL Financial | investor protection violation | 2016 | FINRA | $750,000 |
LPL Financial LLC | LPL Financial | investor protection violation | 2015 | FINRA | $6,300,000 |
LPL Financial LLC | LPL Financial | investor protection violation | 2015 | FINRA | $11,700,000 |
LPL Financial LLC | LPL Financial | investor protection violation | 2014 | FINRA | $950,000 |
LPL Financial LLC | LPL Financial | investor protection violation | 2013 | FINRA | $9,000,000 |
LPL Financial LLC | LPL Financial | investor protection violation | 2021 | SEC | $891,202 |
LPL Financial LLC | LPL Financial | investor protection violation | 2021 | CT-SEC | $500,000 |
LPL Financial LLC | LPL Financial | investor protection violation | 2022 | TX-SEC | $125,000 |
LPL Financial LLC | LPL Financial | investor protection violation | 2022 | NH-BSR | $10,307 |
LPL Financial Corporation | LPL Financial | investor protection violation | 2008 | SEC | $275,000 |