American General Life Insurance Company of Delaware | American International Group | insurance violation | 2012 | WI-INS | $40,000 |
Bankers Life & Casualty Co. | CNO Financial | insurance violation | 2012 | WI-INS | $40,000 |
Prudential Insurance Company of America | Prudential Financial | insurance violation | 2012 | WI-INS | $7,500 |
Genworth Life Insurance Co. | Genworth Financial | insurance violation | 2012 | WI-INS | $65,000 |
American Family Life Assurance Company of Columbus | Aflac | insurance violation | 2012 | MULTI-FIN | $1,600,000 |
American International Group | American International Group | insurance violation | 2012 | MULTI-FIN | $11,000,000 |
Bankers Life and Casualty Company and BLC Financial Services, Inc. | CNO Financial | investor protection violation | 2012 | MULTI-FIN | $10,641,000 |
Bankers Life and Casualty Company | CNO Financial | insurance violation | 2012 | MULTI-FIN | $4,000,000 |
James B. Nutter & Company | James B. Nutter & Company | mortgage abuses | 2012 | MULTI-FIN | $492,050 |
John Hancock Life Insurance Company | Manulife Financial | insurance violation | 2012 | MULTI-FIN | $13,300,000 |
National Union Fire Insurance Company of Pittsburgh, PA | American International Group | insurance violation | 2012 | MULTI-FIN | $39,000,000 |
ProEquities, Inc | Dai-ichi Life | investor protection violation | 2012 | MULTI-FIN | $435,000 |
Wells Fargo | Wells Fargo | discriminatory practices (non-employment) | 2012 | private lawsuit-federal | $7,500,000 |
Wells Fargo Bank, N.A. | Wells Fargo | discriminatory practices (non-employment) | 2012 | private lawsuit-federal | $7,500,000 |
WHEELABRATOR FRACKVILLE ENERGY | Macquarie | environmental violation | 2012 | PA-ENV | $27,400 |
Trafigura Beheer B.V. Amsterdam | Trafigura | environmental violation | 2012 | CA-ARB | $10,000 |
Imperial-Savannah, L.P. | Louis Dreyfus | environmental violation | 2012 | GA-ENV | $6,000 |
Imperial Sugar Company | Louis Dreyfus | environmental violation | 2012 | LA-ENV | $10,770 |
BUCKEYE PERTH AMBOY TERMINAL LLC | IFM Investors | environmental violation | 2012 | NJ-ENV | $231,875 |
BUCKEYE PENNSAUKEN TERMINAL LLC | IFM Investors | environmental violation | 2012 | NJ-ENV | $5,250 |
BUCKEYE PORT READING TERMINAL LLC | IFM Investors | environmental violation | 2012 | NJ-ENV | $425,000 |
IAC SPARTANBURG, INC | Invesco | environmental violation | 2012 | SC-ENV | $7,000 |
Federal Home Loan Mortgage Corp. | Freddie Mac (Federal Home Loan Mortgage Corporation) | environmental violation | 2012 | VA-ENV | $55,802 |
Synagro Central, LLC | Goldman Sachs | environmental violation | 2012 | VA-ENV | $65,000 |
Citigroup | Citigroup | investor protection violation | 2012 | FINRA | $1,279,106 |
Goldman Sachs | Goldman Sachs | investor protection violation | 2012 | FINRA | $683,997 |
JP Morgan | JPMorgan Chase | investor protection violation | 2012 | FINRA | $623,376 |
Merrill Lynch | Bank of America | investor protection violation | 2012 | FINRA | $1,074,200 |
Morgan Stanley | Morgan Stanley | investor protection violation | 2012 | FINRA | $817,754 |
Pruco Securities, LLC | Prudential Financial | investor protection violation | 2012 | FINRA | $11,250,000 |
Merrill Lynch, Pierce, Fenner & Smith Inc. | Bank of America | investor protection violation | 2012 | FINRA | $500,000 |
Merrill Lynch, Pierce, Fenner & Smith, Inc. | Bank of America | investor protection violation | 2012 | FINRA | $2,800,000 |
Citigroup Global Markets, Inc. | Citigroup | investor protection violation | 2012 | FINRA | $3,500,000 |
Citigroup Global Markets, Inc | Citigroup | investor protection violation | 2012 | FINRA | $2,741,489 |
Morgan Stanley & Co., LLC | Morgan Stanley | investor protection violation | 2012 | FINRA | $2,146,431 |
UBS Financial Services | UBS | investor protection violation | 2012 | FINRA | $2,354,584 |
Wells Fargo Advisors, LLC | Wells Fargo | investor protection violation | 2012 | FINRA | $1,931,488 |
Goldman, Sachs & Co. | Goldman Sachs | investor protection violation | 2012 | FINRA | (*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $11,000,000 |
Merrill Lynch, Pierce, Fenner & Smith | Bank of America | investor protection violation | 2012 | FINRA | $1,000,000 |
Citigroup Global Markets, Inc. | Citigroup | investor protection violation | 2012 | FINRA | $725,000 |
Wheelabrator Norwalk Energy Co. Inc. | Macquarie | environmental violation | 2012 | CA-SCAQMD | $8,900 |
American International Group Inc. | American International Group | price-fixing or anti-competitive practices | 2012 | private lawsuit-federal | $3,727,272 |
Aon Corporation | Aon | price-fixing or anti-competitive practices | 2012 | private lawsuit-federal | $3,727,272 |
Crum & Forster Holdings Corp. | Fairfax Financial Holdings | price-fixing or anti-competitive practices | 2012 | private lawsuit-federal | $3,727,272 |
Fireman's Fund Insurance Corp. | Allianz | price-fixing or anti-competitive practices | 2012 | private lawsuit-federal | $3,727,272 |
Hartford Fire Insurance Co. | Hartford Financial Services | price-fixing or anti-competitive practices | 2012 | private lawsuit-federal | $3,727,272 |
JPMorgan Chase & Co. | JPMorgan Chase | price-fixing or anti-competitive practices | 2012 | private lawsuit-federal | $42,600,000 |
Liberty Mutual Holding Co. Inc. | Liberty Mutual Insurance | price-fixing or anti-competitive practices | 2012 | private lawsuit-federal | $3,727,272 |
Travelers Companies Inc. | Travelers | price-fixing or anti-competitive practices | 2012 | private lawsuit-federal | $3,727,272 |
Willis Group Holdings Ltd. | Willis Towers Watson | price-fixing or anti-competitive practices | 2012 | private lawsuit-federal | $3,727,272 |
Allstate Insurance Co. | Allstate | consumer protection violation | 2012 | private lawsuit-federal | $2,727,555 |
American Express Co. | American Express | consumer protection violation | 2012 | private lawsuit-federal | $49,500,000 |
Merrill Lynch, Pierce, Fenner & Smith Incorporated | Bank of America | consumer protection violation | 2012 | private lawsuit-federal | $11,500,000 |
Bank of Hawaii Corp. | Bank of Hawaii | consumer protection violation | 2012 | private lawsuit-state | $9,000,000 |
Bank of the West | Bank of Montreal | consumer protection violation | 2012 | private lawsuit-federal | $18,000,000 |
Citigroup Mortgage Loan Trust Inc. | Citigroup | consumer protection violation | 2012 | private lawsuit-federal | $24,975,000 |
Deutsche Bank | Deutsche Bank | investor protection violation | 2012 | private lawsuit-federal | $32,500,000 |
IBERIABANK Corporation | First Horizon National | consumer protection violation | 2012 | private lawsuit-federal | $2,500,000 |
Goldman Sachs | Goldman Sachs | consumer protection violation | 2012 | private lawsuit-federal | $26,612,500 |
HSBC Bank USA N.A. | HSBC | consumer protection violation | 2012 | private lawsuit-federal | $23,500,000 |
Chase Bank NA | JPMorgan Chase | consumer protection violation | 2012 | private lawsuit-federal | $100,000,000 |
Chase Home Finance LLC | JPMorgan Chase | consumer protection violation | 2012 | private lawsuit-federal | $56,000,000 |
JPMorgan Chase | JPMorgan Chase | consumer protection violation | 2012 | private lawsuit-federal | $2,463,000 |
JPMorgan Chase Bank | JPMorgan Chase | consumer protection violation | 2012 | private lawsuit-federal | $110,000,000 |
Washington Mutual | JPMorgan Chase | consumer protection violation | 2012 | private lawsuit-federal | $4,000,000 |
Mutual of Omaha | Mutual of Omaha | consumer protection violation | 2012 | private lawsuit-federal | $1,900,000 |
State Street Bank and Trust Co. | State Street Corp. | consumer protection violation | 2012 | private lawsuit-federal | $6,250,000 |
Union Bank N.A. | U.S. Bancorp | consumer protection violation | 2012 | private lawsuit-federal | $35,000,000 |
Wells Fargo Bank N.A. | Wells Fargo | consumer protection violation | 2012 | private lawsuit-federal | $6,778,000 |
Wells Fargo Bank N.A. | Wells Fargo | consumer protection violation | 2012 | private lawsuit-federal | $3,190,000 |
Ace American Insurance | Chubb Limited | wage and hour violation | 2012 | MI-LEO | $6,000 |
RR DONNELLEY INC | Chatham Asset Management | workplace safety or health violation | 2012 | OSHA | $7,750 |
R.R. DONNELLEY & SONS COMPANY | Chatham Asset Management | workplace safety or health violation | 2012 | OSHA | $5,950 |
PROGRESSIVE, INC. | Progressive | workplace safety or health violation | 2012 | OSHA | $29,000 |
AMERICAN FAMILY INSURANCE | American Family Insurance | workplace safety or health violation | 2012 | OSHA | $12,500 |
CINCINNATI BELL TELEPHONE | Macquarie | workplace safety or health violation | 2012 | OSHA | $13,500 |
RR DONNELLY COMPANY | Chatham Asset Management | workplace safety or health violation | 2012 | OSHA | $17,000 |
IFCO SYSTEMS, NORTH AMERICA | Triton Investments Advisers | workplace safety or health violation | 2012 | OSHA | $6,720 |
STATE FARM INSURANCE | State Farm Insurance | workplace safety or health violation | 2012 | OSHA | $8,160 |
THE KEMPER COMPANY | Kemper | workplace safety or health violation | 2012 | OSHA | $9,800 |
SYNAGRO | Goldman Sachs | workplace safety or health violation | 2012 | OSHA | $7,000 |
BUCKEYE PARTNERS | IFM Investors | environmental violation | 2012 | EPA | $463,745 |
INTERNATIONAL AUTOMOTIVE COMPONENTS A/K/A LEAR COR | Invesco | environmental violation | 2012 | EPA | $35,000 |
Buckeye Pipe Line Company, L.P. | IFM Investors | environmental violation | 2012 | EPA | $8,397 |
Buckeye Terminals, LLC | IFM Investors | environmental violation | 2012 | EPA | $6,766 |
Trafigura AG | Trafigura | environmental violation | 2012 | EPA | $73,465 |
Nyrstar Tennessee Mines - Gordonsville, LLC | Trafigura | workplace safety or health violation | 2012 | MSHA | $7,115 |
Nyrstar Tennessee Mines - Gordonsville, LLC | Trafigura | workplace safety or health violation | 2012 | MSHA | $6,996 |
Nyrstar Tennessee Mines - Gordonsville, LLC | Trafigura | workplace safety or health violation | 2012 | MSHA | $31,100 |
Nyrstar Tennessee Mines - Gordonsville, LLC | Trafigura | workplace safety or health violation | 2012 | MSHA | $7,000 |
Cleco Corp | Macquarie | workplace safety or health violation | 2012 | MSHA | $9,310 |
BUCKEYE PARTNERS LP | IFM Investors | environmental violation | 2011 | PHMSA | $141,200 |
BUCKEYE PARTNERS LP | IFM Investors | environmental violation | 2011 | PHMSA | $81,400 |
BUCKEYE PARTNERS LP | IFM Investors | environmental violation | 2011 | PHMSA | $74,400 |
Buckeye Partners | IFM Investors | railroad safety violation | 2011 | FRA | $7,500 |
Peter Cremer Company | Cremer | railroad safety violation | 2011 | FRA | $5,000 |
Xstrata Copper | Glencore | railroad safety violation | 2011 | FRA | $7,500 |
Wachovia Bank N.A. | Wells Fargo | price-fixing or anti-competitive practices | 2011 | DOJ_ANTITRUST | $148,000,000 |
Morgan Stanley | Morgan Stanley | price-fixing or anti-competitive practices | 2011 | DOJ_ANTITRUST | $4,800,000 |
JPMorgan Chase & Co. | JPMorgan Chase | price-fixing or anti-competitive practices | 2011 | DOJ_ANTITRUST | $228,000,000 |
UBS AG | UBS | price-fixing or anti-competitive practices | 2011 | DOJ_ANTITRUST | $160,000,000 |