Allied Home Mortgage Capital Corp. | Americus Mortgage | consumer protection violation | 2009 | KY-FIN | $5,740 |
Mortgage Access Corp. dba Weichert Financial Services | Weichert Financial Services | consumer protection violation | 2009 | KY-FIN | $5,000 |
Ameriprise Financial Services, Inc. | Ameriprise Financial | investor protection violation | 2009 | KY-FIN | $983,984 |
Morgan Stanley & Co. Inc. | Morgan Stanley | investor protection violation | 2009 | MD-SEC | $100,000 |
Prosper Marketplace, Inc. | Prosper Marketplace | investor protection violation | 2009 | MD-SEC | $28,706 |
Bankers Life & Casualty Co. | CNO Financial | insurance violation | 2009 | ME-INS | $500,000 |
Sun Life Insurance Company of Canada | Sun Life Financial | insurance violation | 2009 | MN-FIN | $7,500 |
Homesite Insurance Company of the Midwest | American Family Insurance | insurance violation | 2009 | MN-FIN | $15,000 |
Marsh USA Inc. | Marsh & McLennan | insurance violation | 2009 | MN-FIN | $325,000 |
Merrill Lynch, Pierce, Fenner & Smith Inc. | Bank of America | investor protection violation | 2009 | MO-SEC | $20,000 |
Old Republic National Title Insurance Co. | Old Republic International | insurance violation | 2009 | MO-INS | $77,375 |
Securian Financial Services, Inc. | Securian Financial | investor protection violation | 2009 | MO-SEC | $79,445 |
Raymond James Financial Services, Inc. | Raymond James Financial | investor protection violation | 2009 | MO-SEC | $52,300 |
Chicago Title Insurance Co. | Fidelity National Financial | insurance violation | 2009 | MO-INS | $55,496 |
Ticor Title Insurance Co. | Fidelity National Financial | insurance violation | 2009 | MO-INS | $20,725 |
UBS Financial Services, Inc. | UBS | investor protection violation | 2009 | MO-SEC | $170,175 |
Monumental Life Insurance Co. | Aegon | insurance violation | 2009 | MO-INS | $26,001 |
Conseco Medical Insurance Co. | CNO Financial | insurance violation | 2009 | MO-INS | $75,018 |
Investment Professionals, Inc. | Ameriprise Financial | investor protection violation | 2009 | MO-SEC | $52,500 |
LPL Financial Corp. | LPL Financial | investor protection violation | 2009 | MT-FIN | $1,294,416 |
American Family Mutual Insurance Company | American Family Insurance | insurance violation | 2009 | ND-INS | $5,000 |
Great Plains Specialty Finance, Inc., d/b/a Check 'n Go | CNG Financial | consumer protection violation | 2009 | NE-DBF | $42,850 |
Great Plains Specialty Finance, Inc., d/b/a Check 'n Go | CNG Financial | consumer protection violation | 2009 | NE-DBF | $5,500 |
Great Plains Specialty Finance, Inc., d/b/a Check 'n Go | CNG Financial | consumer protection violation | 2009 | NE-DBF | $5,250 |
CIT Group | First Citizens BancShares | consumer protection violation | 2009 | NE-DBF | $52,000 |
Great Plains Specialty Finance, Inc., d/b/a Check 'n Go | CNG Financial | consumer protection violation | 2009 | NE-DBF | $29,800 |
Great Plains Specialty Finance, Inc., d/b/a Check 'n Go | CNG Financial | consumer protection violation | 2009 | NE-DBF | $24,400 |
Great Plains Specialty Finance, Inc., d/b/a Check 'n Go | CNG Financial | consumer protection violation | 2009 | NE-DBF | $11,050 |
Ace Cash Express, Inc. | ACE Cash Express | consumer protection violation | 2009 | NE-DBF | $15,550 |
MetLife Investors USA Insurance Company | MetLife | insurance violation | 2009 | NH-INS | $54,524 |
Allstate New Jersey Insurance Company | Allstate | insurance violation | 2009 | NJ-DBI | $5,000 |
Ocwen Loan Servicing LLC | Ocwen Financial | consumer protection violation | 2009 | OH-BKG | $10,000 |
Ace Cash Express | ACE Cash Express | consumer protection violation | 2009 | OH-BKG | $7,050 |
Allied Home Mortgage Capital Corporation | Americus Mortgage | consumer protection violation | 2009 | NY-DFS | $10,000 |
National Union Fire Insurance Company of Pittsburgh, PA | American International Group | insurance violation | 2009 | OR-FIN | $65,000 |
Virginia Surety Company, Inc. | Assurant | insurance violation | 2009 | OR-FIN | $10,000 |
Transamerica Life Insurance Company | Aegon | insurance violation | 2009 | OR-FIN | $25,000 |
AMEX Assurance Company | American Express | insurance violation | 2009 | OR-FIN | $25,000 |
Stewart Title Guaranty Company | Stewart Information Services | insurance violation | 2009 | OR-FIN | $30,000 |
First American Title Insurance Company | First American Financial | insurance violation | 2009 | OR-FIN | $61,000 |
Prosper Marketplace Inc. | Prosper Marketplace | investor protection violation | 2009 | OR-FIN | $15,000 |
First American Title Insurance Company of Oregon | First American Financial | insurance violation | 2009 | OR-FIN | $18,000 |
Farmers Insurance Company of Oregon | Zurich Insurance | insurance violation | 2009 | OR-FIN | $10,000 |
Liberty Northwest Insurance Corporation | Liberty Mutual Insurance | insurance violation | 2009 | OR-FIN | $5,000 |
T.H.E. Insurance Company | AXA | insurance violation | 2009 | PA-INS | $5,000 |
Scor Reinsurance Company | SCOR | insurance violation | 2009 | PA-INS | $5,000 |
Amerisave Mortgage Corporation | AmeriSave Mortgage | consumer protection violation | 2009 | PA-BKG | $50,000 |
MLD Mortgage Inc. dba The Money Store | MLD Mortgage Inc. dba The Money Store | consumer protection violation | 2009 | PA-BKG | $5,000 |
Allied Home Mortgage Capital Corporation | Americus Mortgage | consumer protection violation | 2009 | PA-BKG | $8,000 |
Progressive Casualty Insurance Company | Progressive | insurance violation | 2009 | PA-INS | $25,000 |
Jefferson National Life Insurance Company | Nationwide | insurance violation | 2009 | PA-INS | $5,000 |
National General Assurance Company | Allstate | insurance violation | 2009 | RI-FIN | $16,500 |
Ameriprise Advisor Services Inc. | Ameriprise Financial | investor protection violation | 2009 | RI-FIN | $48,411 |
Travelers Indemnity Company of America | Travelers | insurance violation | 2009 | RI-FIN | $5,000 |
Allstate Insurance Company | Allstate | insurance violation | 2009 | RI-FIN | $5,000 |
Zurich American Insurance Company | Zurich Insurance | insurance violation | 2009 | TX-INS | $15,000 |
American Home Assurance Company | American International Group | insurance violation | 2009 | TX-INS | $22,500 |
Fidelity and Guaranty Insurance Company | Fidelity National Financial | insurance violation | 2009 | TX-INS | $9,000 |
The Insurance Company of the State of Pennsylvania | American International Group | insurance violation | 2009 | TX-INS | $7,500 |
New Hampshire Insurance Company | American International Group | insurance violation | 2009 | TX-INS | $7,500 |
Securian Financial Services Inc. | Securian Financial | investor protection violation | 2009 | TX-SEC | $50,000 |
Stewart Title Guaranty Company | Stewart Information Services | insurance violation | 2009 | TX-INS | $55,000 |
Old Republic Insurance Company | Old Republic International | insurance violation | 2009 | TX-INS | $7,500 |
United States Fire Insurance Company of Plano | Fairfax Financial Holdings | insurance violation | 2009 | TX-INS | $10,500 |
Ace American Insurance Co. | Chubb Limited | insurance violation | 2009 | UT-INS | $141,500 |
ALLSTATE FIRE & CASUALTY ET AL | Allstate | insurance violation | 2009 | VA-INS | $36,000 |
THE TRAVELERS INDEMNITY CO. et al. | Travelers | insurance violation | 2009 | VA-INS | $7,000 |
ESURANCE INSURANCE COMPANY | Allstate | insurance violation | 2009 | VA-INS | $20,000 |
THE NORTH RIVER INSURANCE CO. | Fairfax Financial Holdings | insurance violation | 2009 | VA-INS | $28,916 |
LIBERTY INSURANCE CORP., ET AL | Liberty Mutual Insurance | insurance violation | 2009 | VA-INS | $6,000 |
American Economy Insurance Company | Liberty Mutual Insurance | insurance violation | 2009 | VA-INS | $8,000 |
VICTORIA FIRE AND CASUALTY INSURANCE | Nationwide | insurance violation | 2009 | VA-INS | $7,500 |
Travelers Property Casualty Co. of America | Travelers | insurance violation | 2009 | VA-INS | $6,000 |
American General Financial Services | OneMain Holdings | consumer protection violation | 2009 | WA-FIN | $74,984 |
Freedom Mortgage Corp. | Freedom Mortgage | consumer protection violation | 2009 | WA-FIN | $52,791 |
Conseco Health Insurance Co. | CNO Financial | insurance violation | 2009 | WI-INS | $20,000 |
Ameriprise Financial Services Inc. | Ameriprise Financial | investor protection violation | 2009 | MULTI-FIN | $720,000 |
Morgan Stanley & Co. | Morgan Stanley | investor protection violation | 2009 | MULTI-FIN | $8,500,000 |
Stifel, Nicolaus & Company, Incorporated | Stifel Financial | investor protection violation | 2009 | MULTI-FIN | $525,000 |
Wells Fargo Investments, LLC | Wells Fargo | investor protection violation | 2009 | MULTI-FIN | $1,900,000 |
John Hancock Life Insurance Company | Manulife Financial | discriminatory practices (non-employment) | 2009 | private lawsuit-federal | $24,400,000 |
BUCKEYE PIPELINE | IFM Investors | environmental violation | 2009 | IL-ENV | $82,845 |
BUCKEYE PARTNERS | IFM Investors | environmental violation | 2009 | IL-ENV | $354,540 |
BUCKEYE PORT READING TERMINAL | IFM Investors | environmental violation | 2009 | NJ-ENV | $7,000 |
BUCKEYE PERTH AMBOY TERMINAL LLC | IFM Investors | environmental violation | 2009 | NJ-ENV | $9,550 |
BUCKEYE PORT READING TERMINAL LLC | IFM Investors | environmental violation | 2009 | NJ-ENV | $9,700 |
BUCKEYE PORT READING TERMINAL LLC | IFM Investors | environmental violation | 2009 | NJ-ENV | $8,200 |
MetLife Securities, Inc. | MetLife | investor protection violation | 2009 | FINRA | $1,200,000 |
Scottrade | Charles Schwab Corp. | anti-money-laundering deficiencies | 2009 | FINRA | $600,000 |
Citigroup Global Markets Inc. | Citigroup | investor protection violation | 2009 | FINRA | $600,000 |
Citigroup Global Markets | Citigroup | investor protection violation | 2009 | FINRA | $425,000 |
UBS Securities | UBS | investor protection violation | 2009 | FINRA | $268,000 |
Deutsche Bank | Deutsche Bank | investor protection violation | 2009 | FINRA | $152,000 |
Northwestern Mutual Investment Services, LLC | Northwestern Mutual | investor protection violation | 2009 | FINRA | $200,000 |
Fifth Third Securities, Inc. | Fifth Third Bancorp | investor protection violation | 2009 | FINRA | $150,000 |
Credit Suisse Securities (USA), LLC | UBS | investor protection violation | 2009 | FINRA | $275,000 |
Ameritas Investment Corp. | Ameritas Mutual Holding Company | investor protection violation | 2009 | FINRA | $100,000 |
Merrill Lynch, Pierce, Fenner & Smith, Inc. | Bank of America | investor protection violation | 2009 | FINRA | $150,000 |
UBS Financial Services, Inc. | UBS | investor protection violation | 2009 | FINRA | $100,000 |
KeyBanc Capital Markets, Inc. | KeyCorp | investor protection violation | 2009 | FINRA | $425,000 |
Wells Fargo Investments, LLC | Wells Fargo | investor protection violation | 2009 | FINRA | $275,000 |