Morgan Stanley & Co. Inc. | Morgan Stanley | investor protection violation | 2012 | IN-SEC | $210,000 |
Mid-Century Insurance Co. | Zurich Insurance | insurance violation | 2012 | IN-INS | $5,000 |
Time Insurance Co. and John Alden Life Insurance Co. and Union Securitiy Insurance Co. | Haven Holdings | insurance violation | 2012 | IN-INS | $2,950,000 |
Globe Life & Accident Insurance Co. | Globe Life Inc. | insurance violation | 2012 | KS-INS | $17,250 |
Continental Western Insurance Co. | W.R. Berkley | insurance violation | 2012 | KS-INS | $6,000 |
Safeco Insurance Company of America | Liberty Mutual Insurance | insurance violation | 2012 | KS-INS | $5,000 |
Home Loan Center, Inc. dba Lending Tree Loans | LendingTree | consumer protection violation | 2012 | MA-BKG | $38,000 |
State Street Global Advisors | State Street Corp. | investor protection violation | 2012 | MA-SEC | $5,000,000 |
RBC Capital Markets, LLC | Royal Bank of Canada | investor protection violation | 2012 | MA-SEC | $250,000 |
Citigroup Global Markets Inc. | Citigroup | investor protection violation | 2012 | MA-SEC | $2,000,000 |
Morgan Stanley & Co. LLC | Morgan Stanley | investor protection violation | 2012 | MA-SEC | $5,000,000 |
American Family Life Assurance Company of Columbus | Aflac | insurance violation | 2012 | MD-INS | $200,000 |
Metropolitan Life Insurance Co. | MetLife | insurance violation | 2012 | MD-INS | $11,400 |
Unum Life Insurance Company of America | Unum | insurance violation | 2012 | MD-INS | $19,000 |
Wells Fargo Advisors LLC | Wells Fargo | investor protection violation | 2012 | MD-SEC | $50,000 |
Metropolitan Life Insurance Co. | MetLife | insurance violation | 2012 | MD-INS | $175,000 |
Thrivent Financial For Lutherans | Thrivent Financial | insurance violation | 2012 | MD-INS | $8,000 |
The United States Life Insurance Company In the City of New York | American International Group | insurance violation | 2012 | MD-INS | $75,000 |
Erie Insurance Exchange | Erie Indemnity | insurance violation | 2012 | MD-INS | $50,000 |
Metropolitan Life Insurance Co. | MetLife | insurance violation | 2012 | MD-INS | $5,000 |
Bankers Life and Casualty Co. | CNO Financial | insurance violation | 2012 | MD-INS | $15,000 |
National Union Fire Insurance Company of Pittsburgh, Pa. | American International Group | insurance violation | 2012 | MN-FIN | $2,731,385 |
ING Financial Partners, Inc. | Voya Financial | investor protection violation | 2012 | MN-FIN | $5,000 |
ING Life Insurance and Annuity Co. et al. | Voya Financial | insurance violation | 2012 | MN-FIN | $200,000 |
John Hancock Life Insurance Co. (USA) et al. | Manulife Financial | insurance violation | 2012 | MN-FIN | $200,000 |
MetLife Investors USA Insurance Co. et al. | MetLife | insurance violation | 2012 | MN-FIN | $200,000 |
Prudential Insurance Company of America | Prudential Financial | insurance violation | 2012 | MN-FIN | $200,000 |
State Farm Fire and Casualty Co. | State Farm Insurance | insurance violation | 2012 | MN-FIN | $5,000 |
Metropolitan Property and Casualty Insurance Co. | Zurich Insurance | insurance violation | 2012 | MN-FIN | $10,000 |
Allstate Insurance Co. | Allstate | insurance violation | 2012 | MN-FIN | $5,000 |
Jackson National Life Insurance Co. | Jackson Financial | insurance violation | 2012 | MN-FIN | $60,000 |
Transamerica Life Insurance Co. et al. | Aegon | insurance violation | 2012 | MN-FIN | $50,000 |
Stifel, Nicolaus & Company, Inc. | Stifel Financial | investor protection violation | 2012 | MO-SEC | $1,101,385 |
National General Insurance Co. | Allstate | insurance violation | 2012 | MO-INS | $5,000 |
Old Republic Insurance Co. | Old Republic International | insurance violation | 2012 | MO-INS | $134,750 |
LendingClub Corp. | LendingClub Corp. | investor protection violation | 2012 | MO-SEC | $105,000 |
XL Specialty Insurance Co. | AXA | insurance violation | 2012 | MO-INS | $21,000 |
Stewart Title Guarantee Co. | Stewart Information Services | insurance violation | 2012 | MO-INS | $128,000 |
Chubb National Insurance Co. | Chubb Limited | insurance violation | 2012 | MO-INS | $68,000 |
First American Title Insurance Co. | First American Financial | insurance violation | 2012 | MO-INS | $34,500 |
Zenith Insurance Co. | Fairfax Financial Holdings | insurance violation | 2012 | MO-INS | $93,842 |
Fidelity National Title Insurance Co. et al. | Fidelity National Financial | insurance violation | 2012 | MO-INS | $237,500 |
Washington National Insurance Co. | CNO Financial | insurance violation | 2012 | MO-INS | $150,000 |
First American Title Insurance Co. | First American Financial | insurance violation | 2012 | MO-INS | $165,000 |
Companion Life Insurance Co. | BlueCross BlueShield of South Carolina | insurance violation | 2012 | MT-FIN | $12,500 |
LPL Financial LLC | LPL Financial | investor protection violation | 2012 | MT-FIN | $30,500 |
Metlife Investors USA Insurance Co | MetLife | investor protection violation | 2012 | MT-FIN | $5,000 |
RBC Capital Markets, LLC | Royal Bank of Canada | investor protection violation | 2012 | MT-FIN | $186,439 |
Hartford Life and Annuity Insurance Company | Hartford Financial Services | insurance violation | 2012 | NC-INS | $91,500 |
American Modern Home Insurance Company | Munich Re | insurance violation | 2012 | NC-INS | $1,860,000 |
Ace Cash Express, Inc. | ACE Cash Express | consumer protection violation | 2012 | NE-DBF | $5,400 |
Ace Cash Express, Inc. | ACE Cash Express | consumer protection violation | 2012 | NE-DBF | $7,000 |
Home Loan Center Inc., d/b/a LendingTree Loans | LendingTree | consumer protection violation | 2012 | NE-DBF | $6,000 |
Ace Cash Express, Inc. | ACE Cash Express | consumer protection violation | 2012 | NE-DBF | $5,800 |
Oppenheimer & Co. Inc. | Oppenheimer Holdings | investor protection violation | 2012 | NH-BSR | $155,000 |
Morgan Stanley Smith Barney | Morgan Stanley | investor protection violation | 2012 | NH-BSR | $35,000 |
Prospect Mortgage, LLC | Homebridge Financial Services | consumer protection violation | 2012 | NH-BKG | $101,185 |
UBS Financial Services Inc. | UBS | investor protection violation | 2012 | NH-BSR | $72,500 |
Praetorian Insurance Company | QBE Insurance | insurance violation | 2012 | NJ-DBI | $10,000 |
Horizon Healthcare Services, Inc. | Horizon Healthcare Services | insurance violation | 2012 | NJ-DBI | $4,233,100 |
Horizon Healthcare Services, Inc. | Horizon Healthcare Services | insurance violation | 2012 | NJ-DBI | $100,000 |
Hartford Life Insurance Company | Hartford Financial Services | insurance violation | 2012 | NY-DFS | $24,000,000 |
HealthNow | Highmark Inc. | insurance violation | 2012 | NY-DFS | $101,640 |
Standard Chartered Bank | Standard Chartered | anti-money-laundering deficiencies | 2012 | NY-DFS | $340,000,000 |
Hartford Life and Accident Insurance Company | Hartford Financial Services | insurance violation | 2012 | OR-FIN | $5,000 |
Bankers Life and Casualty Company | CNO Financial | insurance violation | 2012 | OR-FIN | $14,000 |
Navigators Insurance Company | Hartford Financial Services | insurance violation | 2012 | OR-FIN | $17,000 |
American Home Assurance Company | American International Group | consumer protection violation | 2012 | OR-FIN | $20,000 |
Commerce and Industry Insurance Company | American International Group | insurance violation | 2012 | OR-FIN | $20,000 |
New Hampshire Insurance Company | American International Group | insurance violation | 2012 | OR-FIN | $30,000 |
Insurance Company of the State of Pennsylvania | American International Group | insurance violation | 2012 | OR-FIN | $10,000 |
Western Sky Financial, LLC | CashCall Inc. | consumer protection violation | 2012 | OR-FIN | $17,500 |
Allied Home Mortgage Corporation et al. | Americus Mortgage | consumer protection violation | 2012 | PA-BKG | $10,000 |
Allstate Property & Casualty Insurance Company | Allstate | insurance violation | 2012 | RI-FIN | $8,000 |
MML Investors Services LLC | Massachusetts Mutual Life Insurance | investor protection violation | 2012 | RI-FIN | $250,000 |
United States Fire Insurance Company | Fairfax Financial Holdings | insurance violation | 2012 | SC-INS | $10,000 |
AXA Art Insurance Corporation | AXA | insurance violation | 2012 | SC-INS | $8,000 |
Nationwide Life Insurance Company | Nationwide | insurance violation | 2012 | SD-INS | $40,000 |
Ace American Insurance Company | Chubb Limited | insurance violation | 2012 | TX-INS | $8,500 |
American Zurich Insurance Company | Zurich Insurance | insurance violation | 2012 | TX-INS | $27,500 |
Employers Insurance Company of Wausau | Liberty Mutual Insurance | insurance violation | 2012 | TX-INS | $15,000 |
Hartford Underwriters Insurance Company | Hartford Financial Services | insurance violation | 2012 | TX-INS | $5,000 |
Liberty Mutual Insurance Company | Liberty Mutual Insurance | insurance violation | 2012 | TX-INS | $16,500 |
Wausau Business Insurance Company | Liberty Mutual Insurance | insurance violation | 2012 | TX-INS | $16,000 |
Illinois National Insurance Company | American International Group | insurance violation | 2012 | TX-INS | $8,900 |
Liberty Insurance Corporation | Liberty Mutual Insurance | insurance violation | 2012 | TX-INS | $5,000 |
New Hampshire Insurance Company | American International Group | insurance violation | 2012 | TX-INS | $16,000 |
Wausau Underwriters Insurance Company | Liberty Mutual Insurance | insurance violation | 2012 | TX-INS | $5,000 |
Hartford Insurance Company of the Midwest | Hartford Financial Services | insurance violation | 2012 | TX-INS | $13,000 |
Praetorian Insurance Company | QBE Insurance | insurance violation | 2012 | TX-INS | $14,000 |
Travelers Property Casualty Company of America | Travelers | insurance violation | 2012 | TX-INS | $25,000 |
Wausau Business Insurance Company | Liberty Mutual Insurance | insurance violation | 2012 | TX-INS | $12,000 |
The Netherlands Insurance Company | Liberty Mutual Insurance | insurance violation | 2012 | TX-INS | $8,000 |
LM Insurance Corporation | Liberty Mutual Insurance | insurance violation | 2012 | TX-INS | $62,500 |
Zurich American Insurance Company | Zurich Insurance | insurance violation | 2012 | TX-INS | $35,000 |
Old Republic Insurance Company | Old Republic International | insurance violation | 2012 | TX-INS | $5,000 |
Arch Insurance Company | Arch Capital | insurance violation | 2012 | TX-INS | $26,500 |
American Home Assurance Co. | American International Group | insurance violation | 2012 | TX-INS | $20,784 |
New Hampshire Insurance Company | American International Group | insurance violation | 2012 | TX-INS | $18,096 |
Illinois National Insurance Company | American International Group | insurance violation | 2012 | TX-INS | $5,856 |
Sentry Insurance, A Mutual Company | Sentry Insurance | insurance violation | 2012 | TX-INS | $13,750 |