Property & Casualty Insurance Company of Hartford | Hartford Financial Services | insurance violation | 2013 | SD-INS | $5,000 |
Federal Insurance Company | Chubb Limited | insurance violation | 2013 | TX-INS | $36,000 |
Mid-Century Insurance Company | Zurich Insurance | insurance violation | 2013 | TX-INS | $14,360 |
National Interstate Insurance Company | American Financial Group | insurance violation | 2013 | TX-INS | $23,000 |
American Home Assurance Company | American International Group | insurance violation | 2013 | TX-INS | $5,500 |
Liberty Mutual Fire Insurance Company | Liberty Mutual Insurance | insurance violation | 2013 | TX-INS | $7,000 |
Standard Fire Insurance Company | Travelers | insurance violation | 2013 | TX-INS | $5,000 |
Federal Insurance Company | Chubb Limited | insurance violation | 2013 | TX-INS | $6,000 |
Indemnity Insurance Company of North America | Chubb Limited | insurance violation | 2013 | TX-INS | $15,000 |
Chubb Indemnity Insurance Company | Chubb Limited | insurance violation | 2013 | TX-INS | $7,000 |
Wausau Underwriters Insurance Company | Liberty Mutual Insurance | insurance violation | 2013 | TX-INS | $8,000 |
Protective Insurance Company | Progressive | insurance violation | 2013 | TX-INS | $30,000 |
Pacific Indemnity Company | Chubb Limited | insurance violation | 2013 | TX-INS | $17,500 |
Globe Life and Accident Insurance Company | Globe Life Inc. | insurance violation | 2013 | UT-INS | $10,000 |
BANKERS LIFE AND CASUALTY CO. | CNO Financial | insurance violation | 2013 | VA-INS | $27,000 |
ALLSTATE INSURANCE COMPANY | Allstate | insurance violation | 2013 | VA-INS | $5,000 |
American Family Life Assurance Company of Columbus | Aflac | insurance violation | 2013 | VA-INS | $10,000 |
PROGRESSIVE NORTHERN INSURANCE | Progressive | insurance violation | 2013 | VA-INS | $221,905 |
ELEPHANT INSURANCE COMPANY | Admiral Group | insurance violation | 2013 | VA-INS | $6,154 |
Horace Mann Insurance Company | Horace Mann Educators Corp. | insurance violation | 2013 | VT-FIN | $11,007 |
Bankers Life and Casualty Company | CNO Financial | insurance violation | 2013 | VT-FIN | $600,000 |
Dairyland Insurance Company | Sentry Insurance | insurance violation | 2013 | VT-FIN | $37,852 |
American Income Life Insurance Company | Globe Life Inc. | insurance violation | 2013 | WA-INS | $75,000 |
American Family Mutual Insurance Company S.I. | American Family Insurance | insurance violation | 2013 | WA-INS | $10,000 |
United States Fire Insurance Company | Fairfax Financial Holdings | insurance violation | 2013 | WA-INS | $15,000 |
American Alternative Insurance Corporation et al. | Munich Re | insurance violation | 2013 | WA-INS | $10,000 |
Allianz Life Insurance Company Of North America | Allianz | insurance violation | 2013 | WA-INS | $150,000 |
Hartford Fire Insurance Company And Twin City Fire Insurance Company | Hartford Financial Services | insurance violation | 2013 | WA-INS | $10,000 |
Hartford Accident & Indemnity Company et al. | Hartford Financial Services | insurance violation | 2013 | WA-INS | $100,000 |
Allstate Fire & Casualty Insurance Company | Allstate | insurance violation | 2013 | WA-INS | $15,000 |
American Guarantee & Liability Insurance Company et al. | Zurich Insurance | insurance violation | 2013 | WA-INS | $50,000 |
Transamerica Premier Life Insurance Company | Aegon | insurance violation | 2013 | WA-INS | $150,000 |
Bankers Life & Casualty | CNO Financial | insurance violation | 2013 | WI-INS | $200,000 |
Thrivent Financial for Lutherans | Thrivent Financial | insurance violation | 2013 | WI-INS | $5,000 |
Amerisave Mortgage Corporation | AmeriSave Mortgage | investor protection violation | 2013 | MULTI-FIN | $2,300,000 |
Morgan Keegan & Company | Raymond James Financial | toxic securities abuses | 2013 | MULTI-FIN | (*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $100,000,000 |
TIAA-CREF Life Insurance Company | TIAA | insurance violation | 2013 | MULTI-FIN | $6,200,000 |
UBS Financial Services Inc. | UBS | investor protection violation | 2013 | MULTI-FIN | $4,600,000 |
UVEST Financial Services Group, Inc. | LPL Financial | investor protection violation | 2013 | MULTI-FIN | $750,000 |
Virginia Surety Company Inc. | Assurant | insurance violation | 2013 | MULTI-FIN | $200,000 |
BUCKEYE TERM LLC | IFM Investors | environmental violation | 2013 | PA-ENV | $7,000 |
Wheelabrator Lisbon, Inc. | Macquarie | environmental violation | 2013 | CT-ENV | $9,350 |
RR DONNELLEY & SONS | Chatham Asset Management | air pollution violation | 2013 | IL-ENV | $5,000 |
LOUIS DREYFUS AGRICULTURAL INDUSTRIES LLC | Louis Dreyfus | air pollution violation | 2013 | IN-ENV | $7,750 |
Louisiana Generating, LLC | Macquarie | environmental violation | 2013 | LA-ENV | $1,750,000 |
BUCKEYE RARITAN BAY TERMINAL | IFM Investors | air pollution violation | 2013 | NJ-ENV | $10,000 |
Buckeye Terminals LLC | IFM Investors | air pollution violation | 2013 | SC-ENV | $15,000 |
Nyrstar Gordonsville LLC | Trafigura | water pollution violation | 2013 | TN-ENV | $5,000 |
Buckeye Terminals, LLC | IFM Investors | environmental violation | 2013 | VA-ENV | $14,262 |
Bank of America, National Association | Bank of America | environmental violation | 2013 | VA-ENV | $27,625 |
Barclays Capital Inc. | Barclays | investor protection violation | 2013 | FINRA | $3,750,000 |
Deutsche Bank Securities, Inc. | Deutsche Bank | investor protection violation | 2013 | FINRA | $6,500,000 |
Oppenheimer & Co., Inc. | Oppenheimer Holdings | investor protection violation | 2013 | FINRA | $921,000 |
TD Ameritrade Clearing, Inc. | Charles Schwab Corp. | investor protection violation | 2013 | FINRA | $1,150,000 |
SG Americas Securities, Inc. | Societe Generale | investor protection violation | 2013 | FINRA | $675,000 |
Morgan Stanley Smith Barney LLC and Morgan Stanley & Co. LLC | Morgan Stanley | investor protection violation | 2013 | FINRA | $1,188,000 |
Oppenheimer and Co., Inc. | Oppenheimer Holdings | anti-money-laundering deficiencies | 2013 | FINRA | $1,425,000 |
Wells Fargo Advisors, LLC | Wells Fargo | investor protection violation | 2013 | FINRA | $3,250,000 |
Merrill Lynch, Pierce, Fenner & Smith Incorporated | Bank of America | investor protection violation | 2013 | FINRA | $2,000,000 |
LPL Financial LLC | LPL Financial | investor protection violation | 2013 | FINRA | $9,000,000 |
Merrill Lynch, Pierce, Fenner & Smith Inc. | Bank of America | investor protection violation | 2013 | FINRA | $1,373,000 |
Ameriprise Financial Services, Inc. | Ameriprise Financial | investor protection violation | 2013 | FINRA | $750,000 |
Charles Schwab & Company | Charles Schwab Corp. | investor protection violation | 2013 | FINRA | $500,000 |
ING Groep N.V. | Voya Financial | investor protection violation | 2013 | FINRA | $1,200,000 |
R. R. Donnelley & Sons Co. | Chatham Asset Management | air pollution violation | 2013 | CA-SCAQMD | $7,500 |
JPMorgan Chase Bank | JPMorgan Chase | wage and hour violation | 2013 | CA-LCO | $9,111 |
Wells Fargo Bank, National Association | Wells Fargo | wage and hour violation | 2013 | CA-LCO | $37,036 |
Countrywide Financial Corporation | Bank of America | WARN Act violation | 2013 | private lawsuit-federal | $1,200,000 |
Wells Fargo | Wells Fargo | price-fixing or anti-competitive practices | 2013 | private lawsuit-federal | $35,000,000 |
Associated Bank N.A. | Associated Banc-Corp | consumer protection violation | 2013 | private lawsuit-federal | $13,000,000 |
BBVA Compass | Banco Bilbao Vizcaya Argentaria | consumer protection violation | 2013 | private lawsuit-federal | $11,500,000 |
Bank of America | Bank of America | consumer protection violation | 2013 | private lawsuit-federal | $20,000,000 |
Bank of America N.A. | Bank of America | consumer protection violation | 2013 | private lawsuit-federal | $100,000,000 |
Bank of America N.A. | Bank of America | consumer protection violation | 2013 | private lawsuit-federal | $19,610,000 |
Countrywide Financial Corporation | Bank of America | consumer protection violation | 2013 | private lawsuit-federal | $500,000,000 |
BMO Harris | Bank of Montreal | consumer protection violation | 2013 | private lawsuit-federal | $9,400,000 |
BMO Harris | Bank of Montreal | consumer protection violation | 2013 | private lawsuit-federal | $4,000,000 |
Capital One N.A. | Capital One Financial | consumer protection violation | 2013 | private lawsuit-federal | $10,000,000 |
Citibank N.A. | Citigroup | consumer protection violation | 2013 | private lawsuit-federal | $2,320,000 |
Citibank N.A. | Citigroup | consumer protection violation | 2013 | private lawsuit-federal | $7,500,000 |
Citizens Financial | Citizens Financial Group | consumer protection violation | 2013 | private lawsuit-federal | $137,500,000 |
First National Bank of Pennsylvania | F.N.B. Corporation | consumer protection violation | 2013 | private lawsuit-federal | $3,000,000 |
Great Western Bank | First Interstate Bancsystem | consumer protection violation | 2013 | private lawsuit-federal | $2,200,000 |
RBS Financial Products Inc. | NatWest Group PLC | consumer protection violation | 2013 | private lawsuit-federal | $1,750,000 |
PNC Bank N.A. | PNC Financial Services | consumer protection violation | 2013 | private lawsuit-federal | $90,000,000 |
Sallie Mae Inc. | SLM Corp. | consumer protection violation | 2013 | private lawsuit-federal | $76,000,000 |
TD Bank N.A. | Toronto-Dominion Bank | consumer protection violation | 2013 | private lawsuit-federal | $62,000,000 |
Wells Fargo & Co. | Wells Fargo | consumer protection violation | 2013 | private lawsuit-federal | $12,500,000 |
Commerce Bank NA | Commerce Bancshares | consumer protection violation | 2013 | private lawsuit-federal | $18,300,000 |
Asset Acceptance, LLC | Encore Capital Group | consumer protection violation | 2013 | NC-INS | $8,000 |
Jackson Hewitt | Jackson Hewitt | wage and hour violation | 2013 | MI-LEO | $8,553 |
IAC | Invesco | workplace safety or health violation | 2013 | OSHA | $9,025 |
IAC DAYTON LLC | Invesco | workplace safety or health violation | 2013 | OSHA | $5,775 |
THEO. DAVIS SONS, INCORPORATED | Chatham Asset Management | workplace safety or health violation | 2013 | OSHA | $6,750 |
IFCO SYSTEMS US, LLC SITE146 | Triton Investments Advisers | workplace safety or health violation | 2013 | OSHA | $23,099 |
R.R. DONNELLEY | Chatham Asset Management | workplace safety or health violation | 2013 | OSHA | $15,400 |
THE GAS COMPANY, LLC | Macquarie | workplace safety or health violation | 2013 | OSHA | $7,000 |
THE GAS COMPANY, LLC | Macquarie | workplace safety or health violation | 2013 | OSHA | $10,500 |
R. R. DONNELLEY AND SONS COMPANY | Chatham Asset Management | workplace safety or health violation | 2013 | OSHA | $7,000 |
IFCO SYSTEMS N.A. INC. | Triton Investments Advisers | workplace safety or health violation | 2013 | OSHA | $5,082 |
DEUTSCHE BANK USA | Deutsche Bank | workplace safety or health violation | 2013 | OSHA | $5,250 |