| Accident Fund National Insurance Company | AF Group | insurance violation | 2018 | TX-INS | $19,100 |
| National Interstate Insurance Company | American Financial Group | insurance violation | 2018 | TX-INS | $10,000 |
| Colonial County Mutual Insurance Company and Titan Insurance Services Inc. | Nationwide | insurance violation | 2018 | TX-INS | $50,000 |
| Cincinnati Insurance Company | Cincinnati Financial | insurance violation | 2018 | TX-INS | $30,000 |
| Ace American Insurance Company | Chubb Limited | insurance violation | 2018 | TX-INS | $7,500 |
| Marsh & McLennan Agency LLC | Marsh & McLennan | insurance violation | 2018 | TX-INS | $7,600 |
| Arthur J. Gallagher Risk Management Services, Inc. | Arthur J. Gallagher & Co. | insurance violation | 2018 | TX-INS | $6,300 |
| Jefferson National Life Insurance Company | Nationwide | insurance violation | 2018 | TX-INS | $15,000 |
| Oscar Insurance Company | Oscar Health Inc. | insurance violation | 2018 | TX-INS | $75,000 |
| Ace American Insurance Company | Chubb Limited | insurance violation | 2018 | TX-INS | $9,000 |
| The Insurance Company of the State of Pennsylvania | American International Group | insurance violation | 2018 | TX-INS | $8,400 |
| The Travelers Indemnity Company | Travelers | insurance violation | 2018 | TX-INS | $7,500 |
| The Travelers Indemnity Company of Connecticut | Travelers | insurance violation | 2018 | TX-INS | $20,000 |
| Catlin Insurance Company Inc. | AXA | insurance violation | 2018 | UT-INS | $100,000 |
| Lawyers Title Company | Fidelity National Financial | insurance violation | 2018 | UT-INS | $93,500 |
| Allstate Indemnity Company | Allstate | insurance violation | 2018 | UT-INS | $5,000 |
| American Family Mutual Insurance Company | American Family Insurance | insurance violation | 2018 | UT-INS | $39,400 |
| GRANITE STATE INSURANCE CO. | American International Group | insurance violation | 2018 | VA-INS | $152,318 |
| TOKIO MARINE KILN SYNDICATES, LTD. | Tokio Marine | insurance violation | 2018 | VA-INS | $7,500 |
| SELECTIVE INSURANCE CO. ET AL. | Selective Insurance Group | insurance violation | 2018 | VA-INS | $10,000 |
| LINCOLN FINANCIAL SECURITIES | Lincoln National | investor protection violation | 2018 | VA-SEC | $20,000 |
| MERCURY CASUALTY COMPANY | Mercury General Corporation | insurance violation | 2018 | VA-INS | $173,650 |
| ACADIA INSURANCE COMPANY ET AL | W.R. Berkley | insurance violation | 2018 | VA-INS | $91,793 |
| THE GENERAL AUTOMOBILE INSURANCE CO. | American Family Insurance | insurance violation | 2018 | VA-INS | $66,996 |
| LIBERTY MUTUAL FIRE INSURANCE | Liberty Mutual Insurance | insurance violation | 2018 | VA-INS | $108,053 |
| PROGRESSIVE NORTHERN INSURANCE CO. | Progressive | insurance violation | 2018 | VA-INS | $1,818,318 |
| USAA CASUALTY INSURANCE CO ET AL. | USAA | insurance violation | 2018 | VA-INS | $4,396,720 |
| ELEPHANT INSURANCE COMPANY | Admiral Group | insurance violation | 2018 | VA-INS | $79,017 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Bank of America | investor protection violation | 2018 | VT-FIN | $120,000 |
| Berkley National Insurance Company | W.R. Berkley | insurance violation | 2018 | WA-INS | $10,000 |
| Ticor Title Company | Fidelity National Financial | insurance violation | 2018 | WA-INS | $10,000 |
| Unum Life Insurance Company Of America | Unum | insurance violation | 2018 | WA-INS | $7,000 |
| Hartford Insurance Company The Midwest | Hartford Financial Services | insurance violation | 2018 | WA-INS | $20,000 |
| Metropolitan Life Insurance Company | MetLife | insurance violation | 2018 | WA-INS | $7,000 |
| American Strategic Insurance Corp | Progressive | insurance violation | 2018 | WA-INS | $10,000 |
| American Family Mutual Insurance Company S.I. | American Family Insurance | insurance violation | 2018 | WA-INS | $10,000 |
| Washington National Insurance Company | CNO Financial | insurance violation | 2018 | WA-INS | $7,500 |
| Crestbrook Insurance Company | Nationwide | insurance violation | 2018 | WA-INS | $50,000 |
| Fidelity & Guaranty Life Insurance Company | Fidelity National Financial | insurance violation | 2018 | WA-INS | $5,000 |
| Amica Mutual Insurance Company | Amica Mutual Insurance | insurance violation | 2018 | WA-INS | $20,000 |
| Horace Mann Insurance Company | Horace Mann Educators Corp. | insurance violation | 2018 | WA-INS | $10,000 |
| Credit Acceptance Corporation | Credit Acceptance Corp. | insurance violation | 2018 | WA-INS | $30,000 |
| Nationwide Agribusiness Insurance Company | Nationwide | insurance violation | 2018 | WA-INS | $25,000 |
| State Farm Life Insurance Company | State Farm Insurance | insurance violation | 2018 | WA-INS | $10,000 |
| American Automobile Insurance Company | Allianz | insurance violation | 2018 | WA-INS | $10,000 |
| Allstate Life Insurance Company | Allstate | insurance violation | 2018 | MULTI-FIN | $150,000 |
| American Family Life Insurance Company of Columbus | Aflac | insurance violation | 2018 | MULTI-FIN | $2,500,000 |
| HCC Life Insurance Company et al. | Tokio Marine | insurance violation | 2018 | MULTI-FIN | $5,000,000 |
| LPL Financial LLC | LPL Financial | investor protection violation | 2018 | MULTI-FIN | $26,000,000 |
| MLD Mortgage Inc. dba The Money Store | MLD Mortgage Inc. dba The Money Store | consumer protection violation | 2018 | MULTI-FIN | $720,000 |
| Nationwide Mutual Insurance Company | Nationwide | insurance violation | 2018 | MULTI-FIN | $725,000 |
| Travelers Indemnity Company | Travelers | discriminatory practices (non-employment) | 2018 | private lawsuit-federal | $450,000 |
| Nuveen Services LLC | TIAA | wage and hour violation | 2018 | IL-DOL | $27,983 |
| FIRST MIDWEST BANK | Old National Bancorp | wage and hour violation | 2018 | IL-DOL | $15,000 |
| ZURICH AMERICAN INS CO | Zurich Insurance | wage and hour violation | 2018 | IL-DOL | $13,865 |
| PRUDENTIAL INS CO OF AMER | Prudential Financial | environmental violation | 2018 | PA-ENV | $9,000 |
| Buckeye Albany Terminals, LLC | IFM Investors | environmental violation | 2018 | NY-ENV | $15,750 |
| Synagro Woonsocket, LLC | Goldman Sachs | environmental violation | 2018 | RI-ENV | $175,000 |
| Buckeye Texas HUB LLC | IFM Investors | environmental violation | 2018 | TX-RRC | $6,000 |
| Morgan Stanley Smith Barney LLC | Morgan Stanley | anti-money-laundering deficiencies | 2018 | FINRA | $10,000,000 |
| Merrill Lynch, Pierce, Fenner & Smith Inc. | Bank of America | securities issuance or trading violation | 2018 | FINRA | $5,990,530 |
| UBS Financial Services Inc. and UBS Securities LLC | UBS | anti-money-laundering deficiencies | 2018 | FINRA | $5,000,000 |
| LPL Financial, LLC | LPL Financial | investor protection violation | 2018 | FINRA | $2,750,000 |
| Interactive Brokers LLC | Interactive Brokers Group | investor protection violation | 2018 | FINRA | $5,500,000 |
| Industrial and Commercial Bank of China Financial Services LLC | Industrial and Commercial Bank of China | anti-money-laundering deficiencies | 2018 | FINRA | $5,300,000 |
| Fifth Third Securities, Inc. | Fifth Third Bancorp | investor protection violation | 2018 | FINRA | $6,000,000 |
| Wedbush Securities Inc. | Wedbush Securities | investor protection violation | 2018 | FINRA | $1,500,000 |
| El Paso Electric Company | JPMorgan Chase | utility service violation | 2018 | TX-PUC | $20,000 |
| Bank of America N.A. | Bank of America | price-fixing or anti-competitive practices | 2018 | private lawsuit-federal | $187,500,000 |
| Bank of America N.A. | Bank of America | price-fixing or anti-competitive practices | 2018 | private lawsuit-federal | $50,000,000 |
| Bank of Tokyo-Mitsubishi UFJ, Ltd. | Mitsubishi UFJ Financial Group | price-fixing or anti-competitive practices | 2018 | private lawsuit-federal | $10,500,000 |
| Bank of Tokyo-Mitsubishi UFJ, Ltd. | Mitsubishi UFJ Financial Group | price-fixing or anti-competitive practices | 2018 | private lawsuit-federal | $30,000,000 |
| Barclays Bank PLC | Barclays | price-fixing or anti-competitive practices | 2018 | private lawsuit-federal | $120,000,000 |
| Barclays Bank PLC | Barclays | price-fixing or anti-competitive practices | 2018 | private lawsuit-federal | $384,000,000 |
| Barclays Bank PLC | Barclays | price-fixing or anti-competitive practices | 2018 | private lawsuit-federal | $30,000,000 |
| Barclays Bank PLC | Barclays | price-fixing or anti-competitive practices | 2018 | private lawsuit-federal | $29,000,000 |
| Barclays PLC | Barclays | price-fixing or anti-competitive practices | 2018 | private lawsuit-federal | $94,000,000 |
| BNP Paribas Group | BNP Paribas | price-fixing or anti-competitive practices | 2018 | private lawsuit-federal | $115,000,000 |
| BNP Paribas SA | BNP Paribas | price-fixing or anti-competitive practices | 2018 | private lawsuit-federal | $33,500,000 |
| Citibank N.A. | Citigroup | price-fixing or anti-competitive practices | 2018 | private lawsuit-federal | $130,000,000 |
| Citigroup Inc. | Citigroup | price-fixing or anti-competitive practices | 2018 | private lawsuit-federal | $402,000,000 |
| Citigroup Inc. | Citigroup | price-fixing or anti-competitive practices | 2018 | private lawsuit-federal | $42,000,000 |
| Credit Suisse AG | UBS | price-fixing or anti-competitive practices | 2018 | private lawsuit-federal | $50,000,000 |
| Deutsche Bank | Deutsche Bank | price-fixing or anti-competitive practices | 2018 | private lawsuit-federal | $240,000,000 |
| Deutsche Bank AG | Deutsche Bank | price-fixing or anti-competitive practices | 2018 | private lawsuit-federal | $170,000,000 |
| Deutsche Bank AG | Deutsche Bank | price-fixing or anti-competitive practices | 2018 | private lawsuit-federal | $190,000,000 |
| Deutsche Bank AG | Deutsche Bank | price-fixing or anti-competitive practices | 2018 | private lawsuit-federal | $50,000,000 |
| Goldman Sachs Group Inc. | Goldman Sachs | price-fixing or anti-competitive practices | 2018 | private lawsuit-federal | $135,000,000 |
| Goldman Sachs Group Inc. | Goldman Sachs | price-fixing or anti-competitive practices | 2018 | private lawsuit-federal | $56,500,000 |
| HSBC Bank PLC | HSBC | price-fixing or anti-competitive practices | 2018 | private lawsuit-federal | $100,000,000 |
| HSBC Bank USA N.A. | HSBC | price-fixing or anti-competitive practices | 2018 | private lawsuit-federal | $14,000,000 |
| HSBC Holdings PLC | HSBC | price-fixing or anti-competitive practices | 2018 | private lawsuit-federal | $45,000,000 |
| HSBC Holdings PLC | HSBC | price-fixing or anti-competitive practices | 2018 | private lawsuit-federal | $285,000,000 |
| ICAP Capital Markets LLC | CME Group | price-fixing or anti-competitive practices | 2018 | private lawsuit-federal | $11,500,000 |
| JPMorgan Chase & Co. | JPMorgan Chase | price-fixing or anti-competitive practices | 2018 | private lawsuit-federal | $104,500,000 |
| JPMorgan Chase & Co. | JPMorgan Chase | price-fixing or anti-competitive practices | 2018 | private lawsuit-federal | $52,000,000 |
| Morgan Stanley & Co. LLC | Morgan Stanley | price-fixing or anti-competitive practices | 2018 | private lawsuit-federal | $50,000,000 |
| Morgan Stanley & Co. LLC | Morgan Stanley | price-fixing or anti-competitive practices | 2018 | private lawsuit-federal | $33,500,000 |
| Nomura Securities International Inc. | Nomura | price-fixing or anti-competitive practices | 2018 | private lawsuit-federal | $8,750,000 |
| RBC Capital Markets LLC | Royal Bank of Canada | price-fixing or anti-competitive practices | 2018 | private lawsuit-federal | $15,500,000 |
| Royal Bank of Scotland Group | NatWest Group PLC | price-fixing or anti-competitive practices | 2018 | private lawsuit-federal | $255,000,000 |
