CUNA Brokerage Services, Inc. | CUNA Mutual | investor protection violation | 2001 | FINRA | $100,000 |
Prudential Securities Incorporated | Wells Fargo | investor protection violation | 2001 | FINRA | $20,000 |
J.P. Morgan Securities, Inc. | JPMorgan Chase | investor protection violation | 2001 | FINRA | $10,000 |
Schwab Capital Markets | UBS | investor protection violation | 2001 | FINRA | $12,000 |
Spear, Leeds & Kellogg | Goldman Sachs | investor protection violation | 2001 | FINRA | $10,000 |
E-Trade Securities | Morgan Stanley | investor protection violation | 2001 | FINRA | $90,000 |
Banc of America Securities LLC | Bank of America | investor protection violation | 2001 | FINRA | $40,000 |
Credit Suisse First Boston Corporation | UBS | investor protection violation | 2001 | FINRA | $25,000 |
Merrill Lynch, Pierce, Fenner & Smith, Inc. | Bank of America | investor protection violation | 2001 | FINRA | $15,000 |
Chase Securities, Inc. | JPMorgan Chase | investor protection violation | 2001 | FINRA | $10,000 |
Josephthal & Co., Inc. | Oppenheimer Holdings | investor protection violation | 2001 | FINRA | $2,300,000 |
Stifel, Nicolaus & Company, Inc. | Stifel Financial | investor protection violation | 2001 | FINRA | $225,000 |
Prudential Securities, Inc. | Wells Fargo | investor protection violation | 2001 | FINRA | $10,000 |
First Union Brokerage Services, Inc. | Wells Fargo | investor protection violation | 2001 | FINRA | $32,500 |
Branch Banking & Trust Corporation | Truist Financial | campaign finance violation | 2001 | FEC | $22,000 |
MBNA Corp. | Bank of America | consumer protection violation | 2001 | private lawsuit-federal | $8,700,000 |
RR DONNELLEY & SONS COMPANY | Chatham Asset Management | workplace safety or health violation | 2001 | OSHA | $5,000 |
GARNER PRINTING | Chatham Asset Management | workplace safety or health violation | 2001 | OSHA | $6,000 |
SPENCER PRESS OF MAINE, INC. | Chatham Asset Management | workplace safety or health violation | 2001 | OSHA | $10,500 |
R. R. DONNELLEY AND SONS COMPANY | Chatham Asset Management | environmental violation | 2001 | EPA | $11,344 |
Dain Rauscher Incorporated | Royal Bank of Canada | investor protection violation | 2000 | SEC | $12,941,191 |
Goldman, Sachs & Co. | Goldman Sachs | investor protection violation | 2000 | SEC | $5,200,000 |
Merrill Lynch, Pierce, Fenner & Smith Incorporated | Bank of America | investor protection violation | 2000 | SEC | $5,000,000 |
Morgan Stanley & Co. Incorporated | Morgan Stanley | investor protection violation | 2000 | SEC | $2,500,000 |
PaineWebber Incorporated | UBS | investor protection violation | 2000 | SEC | $26,200,000 |
Prudential Securities Incorporated | Wells Fargo | investor protection violation | 2000 | SEC | $5,880,000 |
Salomon Smith Barney Inc. | Morgan Stanley | investor protection violation | 2000 | SEC | $45,000,000 |
Warburg Dillon Read LLC | UBS | investor protection violation | 2000 | SEC | $6,680,000 |
Josephthal & Co. | Oppenheimer Holdings | employment discrimination | 2000 | EEOC | $330,000 |
Cincinnati Bell Telephone and Cincinnati Bell Information Systems | Macquarie | employment discrimination | 2000 | EEOC | $1,000,000 |
First Union Bank | Wells Fargo | labor relations violation | 2000 | NLRB | $9,116 |
Fifth Third Bank | Fifth Third Bancorp | employment discrimination | 2000 | OFCCP | $440,000 |
Wachovia National Bank, N.A. | Wells Fargo | benefit plan administrator violation | 2000 | EBSA | $30,000,000 |
Liberty Mutual Insurance | Liberty Mutual Insurance | employment discrimination | 2000 | private lawsuit-state | $348,111 |
First Union Securities, Inc. | Wells Fargo | investor protection violation | 2000 | SEC | $408,931 |
Dean Witter Reynolds Inc. | Morgan Stanley | investor protection violation | 2000 | SEC | $476,702 |
Fahnestock & Co., Inc. | Oppenheimer Holdings | investor protection violation | 2000 | SEC | $20,000 |
Janney Montgomery Scott LLC | Penn Mutual | investor protection violation | 2000 | SEC | $100,000 |
Dreyfus Corporation | Bank of New York Mellon | investor protection violation | 2000 | SEC | $950,000 |
Dreyfus Corporation | Bank of New York Mellon | investor protection violation | 2000 | NY-AG | $2,000,000 |
Metropolitan Life Insurance Co. | MetLife | consumer protection violation | 2000 | MA-AG | $1,200,000 |
Metropolitan Property and Casualty Insurance Co. | Zurich Insurance | consumer protection violation | 2000 | MA-AG | $1,840,000 |
MONY Life Insurance Co. | Dai-ichi Life | consumer protection violation | 2000 | CT-AG | $250,000 |
Providian Financial Corp. | JPMorgan Chase | consumer protection violation | 2000 | CA-AG | $305,500,000 |
Providian Financial Corp. | JPMorgan Chase | consumer protection violation | 2000 | CT-AG | $1,600,000 |
State Farm | State Farm Insurance | consumer protection violation | 2000 | TX-AG | $3,100,000 |
Union Security Life Insurance Co | Assurant | consumer protection violation | 2000 | MA-AG | $1,000,000 |
US Bank | U.S. Bancorp | privacy violation | 2000 | MULTI-AG | $2,000,000 |
American Express Financial Advisors | Ameriprise Financial | investor protection violation | 2000 | AZ-CC | $125,000 |
Stewart Title Guaranty Co. | Stewart Information Services | insurance violation | 2000 | CO-INS | $25,000 |
Commonwealth Land Title Insurance Co. | Fidelity National Financial | insurance violation | 2000 | CO-INS | $20,750 |
American Heritage Life Insurance Co. | Allstate | insurance violation | 2000 | FL-OFR | $12,750 |
Protective Life Insurance Co. | Dai-ichi Life | insurance violation | 2000 | FL-OFR | $8,750 |
Conseco Senior Health Insurance Co. | CNO Financial | insurance violation | 2000 | FL-OFR | $5,500 |
Allianz Life Insurance Company of North America | Allianz | insurance violation | 2000 | FL-OFR | $14,000 |
Conseco Life Insurance Co. | CNO Financial | insurance violation | 2000 | FL-OFR | $5,625 |
American General Life and Accident Insurance Co. | American International Group | insurance violation | 2000 | KS-INS | $23,400 |
New Hampshire Insurance Co. | American International Group | insurance violation | 2000 | KS-INS | $10,375 |
National Union Fire Insurance Company of Pittsburgh, Pennsylvania | American International Group | insurance violation | 2000 | KS-INS | $10,375 |
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 |
United of Omaha Life Insurance Co. | Mutual of Omaha | insurance violation | 2000 | ME-INS | $6,000 |
Indiana Insurance Co. | Liberty Mutual Insurance | insurance violation | 2000 | MN-FIN | $25,000 |
Auto-Owners Insurance Co. | Auto-Owners Insurance | insurance violation | 2000 | MN-FIN | $15,000 |
Provident Life and Accident Insurance Co. | Unum | insurance violation | 2000 | NC-INS | $80,000 |
Guardian Life Insurance Company of America | Guardian Life Insurance | insurance violation | 2000 | NY-DFS | $250,000 |
Nationwide Mutual Insurance Company | Nationwide | insurance violation | 2000 | OR-FIN | $10,000 |
Merrill Lynch Life Insurance Company | Bank of America | insurance violation | 2000 | SC-INS | $5,000 |
Standard Fire Insurance Company | Travelers | insurance violation | 2000 | SC-INS | $10,000 |
Mid-Century Insurance Co. of Texas | Zurich Insurance | insurance violation | 2000 | TX-INS | $11,000,000 |
American Express Financial Advisors Inc. | Ameriprise Financial | investor protection violation | 2000 | TX-SEC | $9,000 |
Principal Life Insurance Co. | Principal Financial | insurance violation | 2000 | WA-INS | $100,000 |
Gerber Life Insurance Co. | Western & Southern Financial Group | insurance violation | 2000 | WA-INS | $350,000 |
AIG Warranty Guard, Inc. | American International Group | insurance violation | 2000 | WI-INS | $100,000 |
National Union Fire Insurance Company of Pittsburgh, PA | American International Group | insurance violation | 2000 | WI-INS | $15,000 |
Liberty Insurance Underwriters Inc. | Liberty Mutual Insurance | insurance violation | 2000 | WI-INS | $10,000 |
American General | American International Group | insurance violation | 2000 | MULTI-FIN | $7,500,000 |
American General Life Insurance | American International Group | discriminatory practices (non-employment) | 2000 | private lawsuit-federal | $214,000,000 |
BUCKEYE PIPELINE CO LLP | IFM Investors | air pollution violation | 2000 | NJ-ENV | $14,000 |
WHEELABRATOR GLOUCESTER COMPANY, L.P. | Macquarie | air pollution violation | 2000 | NJ-ENV | $11,600 |
Fleet National Bank | Bank of America | environmental violation | 2000 | RI-ENV | $18,034 |
Morgan Stanley & Co. Inc. | Morgan Stanley | investor protection violation | 2000 | FINRA | $200,000 |
Merrill Lynch, Pierce, Fenner & Smith, Inc. | Bank of America | investor protection violation | 2000 | FINRA | $97,000 |
E-TRADE Securities, Inc. | Morgan Stanley | investor protection violation | 2000 | FINRA | $20,000 |
John Nuveen & Co., Inc. | TIAA | investor protection violation | 2000 | FINRA | $6,630,000 |
First Union Securities, Inc. | Wells Fargo | investor protection violation | 2000 | FINRA | $350,000 |
J. P. Morgan Securities Inc. | JPMorgan Chase | investor protection violation | 2000 | FINRA | $200,000 |
Kemper Distributors, Inc. | Kemper | investor protection violation | 2000 | FINRA | $100,000 |
E-TRADE Securities, Inc. | Morgan Stanley | investor protection violation | 2000 | FINRA | $20,000 |
A.G. Edwards & Sons, Inc. | Wells Fargo | investor protection violation | 2000 | FINRA | $5,890,000 |
Raymond James & Associates Inc. | Raymond James Financial | investor protection violation | 2000 | FINRA | $3,410,000 |
CS First Boston Corp. | UBS | investor protection violation | 2000 | FINRA | $1,240,000 |
Piper Jaffray Inc. | Piper Sandler | investor protection violation | 2000 | FINRA | $933,000 |
Southwest Securities Inc. | Hilltop Holdings | investor protection violation | 2000 | FINRA | $500,000 |
Prudential Securities, Inc. | Wells Fargo | investor protection violation | 2000 | FINRA | $100,000 |
Morgan Stanley & Co., Inc. | Morgan Stanley | investor protection violation | 2000 | FINRA | $495,000 |
Countrywide Home Loans | Bank of America | air pollution violation | 2000 | CA-SCAQMD | $5,000 |
Providian Financial Corp. | JPMorgan Chase | consumer protection violation | 2000 | private lawsuit-federal | $105,000,000 |
Western Union Co. | Western Union | consumer protection violation | 2000 | private lawsuit-federal | $375,000,000 |
WHEELABRATOR SHASTA ENERGY CO. | Macquarie | workplace safety or health violation | 2000 | OSHA | $10,275 |