| Farmers Insurance Exchange et al. | Farmers Insurance Exchange | insurance violation | 2017 | WA-INS | $25,000 |
| Hartford Insurance Company The Midwest | Hartford Financial Services | insurance violation | 2017 | WA-INS | $10,000 |
| Ticor Title Company | Fidelity National Financial | insurance violation | 2017 | WA-INS | $6,000 |
| AIG Assurance Company et al. | American International Group | insurance violation | 2017 | WA-INS | $25,000 |
| United States Fire Insurance Company | Fairfax Financial Holdings | insurance violation | 2017 | WA-INS | $10,000 |
| Twin City Fire Insurance Company | Hartford Financial Services | insurance violation | 2017 | WA-INS | $30,000 |
| Ameritas Life Insurance Corp | Ameritas Mutual Holding Company | insurance violation | 2017 | WA-INS | $10,000 |
| Titan Indemnity Company; Victoria Fire & Casualty Company | Nationwide | insurance violation | 2017 | WA-INS | $60,000 |
| Depositors Insurance Company | Nationwide | insurance violation | 2017 | WA-INS | $10,000 |
| American Family Life Insurance Company of Columbus | Aflac | insurance violation | 2017 | MULTI-FIN | $350,000 |
| American Modern Home Insurance Company | Munich Re | insurance violation | 2017 | MULTI-FIN | $255,000 |
| Arch Insurance Company | Arch Capital | insurance violation | 2017 | MULTI-FIN | $1,017,000 |
| BCS Insurance Company | BCS Financial Corporation | insurance violation | 2017 | MULTI-FIN | $1,000,000 |
| Generali U.S. Branch | Assicurazioni Generali | insurance violation | 2017 | MULTI-FIN | $492,000 |
| Jefferson Insurance Company | Allianz | insurance violation | 2017 | MULTI-FIN | $1,800,000 |
| Old Republic Insurance Company | Old Republic International | insurance violation | 2017 | MULTI-FIN | $298,958 |
| QBE Holdings Inc. | QBE Insurance | insurance violation | 2017 | MULTI-FIN | $21,164,000 |
| State Farm Life Insurance Company et al. | State Farm Insurance | insurance violation | 2017 | MULTI-FIN | $250,000 |
| Transamerica Casualty Insurance Company | Aegon | insurance violation | 2017 | MULTI-FIN | $3,000,000 |
| United States Fire Insurance Company | Fairfax Financial Holdings | insurance violation | 2017 | MULTI-FIN | $1,914,370 |
| Wells Fargo Bank, N.A. | Wells Fargo | privacy violation | 2017 | private lawsuit-federal | $30,446,022 |
| Iberiabank Corp | First Horizon National | environmental violation | 2017 | LA-ENV | $14,213 |
| WHEELABRATOR GLOUCESTER COMPANY L P | Macquarie | environmental violation | 2017 | NJ-ENV | $6,000 |
| Regions Bank | Regions Financial | environmental violation | 2017 | TN-ENV | $20,750 |
| Nyrstar Tennessee Mines - Gordonsville, LLC | Trafigura | environmental violation | 2017 | TN-ENV | $41,760 |
| Buckeye Terminals, LLC | IFM Investors | environmental violation | 2017 | VA-ENV | $9,537 |
| Navy Federal Credit Union | Navy Federal Credit Union | environmental violation | 2017 | VA-ENV | $7,426 |
| Citigroup Global Markets Inc. | Citigroup | investor protection violation | 2017 | FINRA | $11,500,000 |
| J.P. Morgan Securities | JPMorgan Chase | investor protection violation | 2017 | FINRA | $2,800,000 |
| Raymond James Financial Services, Inc. | Raymond James Financial | investor protection violation | 2017 | FINRA | $2,000,000 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Bank of America | investor protection violation | 2017 | FINRA | $1,400,000 |
| J.P. Morgan Securities, LLC | JPMorgan Chase | investor protection violation | 2017 | FINRA | $1,250,000 |
| Wells Fargo Clearing Services, LLC and Wells Fargo Advisors Financial Network, LLC | Wells Fargo | investor protection violation | 2017 | FINRA | $3,400,000 |
| Morgan Stanley Smith Barney LLC | Morgan Stanley | investor protection violation | 2017 | FINRA | $13,030,000 |
| Deutsche Bank Securities Inc. | Deutsche Bank | investor protection violation | 2017 | FINRA | $2,500,000 |
| Citigroup Global Markets Inc. | Citigroup | investor protection violation | 2017 | FINRA | $1,000,000 |
| J.P. Morgan Securities LLC | JPMorgan Chase | investor protection violation | 2017 | FINRA | $800,000 |
| Interactive Brokers LLC | Interactive Brokers Group | investor protection violation | 2017 | FINRA | $450,000 |
| Wells Fargo | Wells Fargo | workplace whistleblower retaliation | 2017 | OSHA | $577,500 |
| Wells Fargo Bank N.A | Wells Fargo | workplace whistleblower retaliation | 2017 | OSHA | $5,400,000 |
| R. R. Donnelley & Sons Co | Chatham Asset Management | environmental violation | 2017 | CA-SCAQMD | $27,500 |
| Credit Suisse Energy LLC | UBS | utility service violation | 2017 | TX-PUC | $7,500 |
| Deutsche Bank AG | Deutsche Bank | price-fixing or anti-competitive practices | 2017 | private lawsuit-federal | $77,000,000 |
| JPMorgan Chase & Co. | JPMorgan Chase | price-fixing or anti-competitive practices | 2017 | private lawsuit-federal | $71,000,000 |
| Assurant Inc. | Assurant | consumer protection violation | 2017 | private lawsuit-federal | $3,350,000 |
| Bank of America N.A. | Bank of America | consumer protection violation | 2017 | private lawsuit-federal | $29,000,000 |
| CashCall Inc. and Delbert Service Corporation | CashCall Inc. | consumer protection violation | 2017 | private lawsuit-federal | $14,435,000 |
| JPMorgan Chase & Co. | JPMorgan Chase | consumer protection violation | 2017 | private lawsuit-federal | $2,295,000 |
| Massachusetts Mutual Life Insurance Company | Massachusetts Mutual Life Insurance | consumer protection violation | 2017 | private lawsuit-federal | $37,500,000 |
| Ocwen Loan Servicing, LLC | Ocwen Financial | consumer protection violation | 2017 | private lawsuit-federal | $600,000 |
| PayPal, Inc. | PayPal Holdings | consumer protection violation | 2017 | private lawsuit-federal | $4,000,000 |
| TD Bank, N.A. | Toronto-Dominion Bank | consumer protection violation | 2017 | private lawsuit-federal | $500,000 |
| Branch Banking & Trust Co. | Truist Financial | consumer protection violation | 2017 | private lawsuit-federal | $3,350,000 |
| United Services Automobile Association | USAA | consumer protection violation | 2017 | private lawsuit-federal | $53,200,000 |
| Wells Fargo Bank N.A. | Wells Fargo | consumer protection violation | 2017 | private lawsuit-federal | $750,000 |
| Wells Fargo Bank N.A. | Wells Fargo | consumer protection violation | 2017 | private lawsuit-federal | $880,000 |
| Wells Fargo N.A. | Wells Fargo | consumer protection violation | 2017 | private lawsuit-federal | $50,000,000 |
| Citizens Bank | Citizens Financial Group | wage and hour violation | 2017 | MI-LEO | $5,719 |
| New York Life Insurance Company | New York Life Insurance | wage and hour violation | 2017 | MI-LEO | $8,000 |
| Allstate Insurance | Allstate | wage and hour violation | 2017 | MI-LEO | $5,000 |
| Allstate Insurance Company | Allstate | wage and hour violation | 2017 | MI-LEO | $5,000 |
| Bankers Life & Casualty | CNO Financial | wage and hour violation | 2017 | MI-LEO | $16,190 |
| WELLS FARGO BANK, NA | Wells Fargo | workplace safety or health violation | 2017 | OSHA | $9,000 |
| IAC ALBEMARLE, LLC | Invesco | workplace safety or health violation | 2017 | OSHA | $7,000 |
| BUCKEYE PARTNERS, L.P. | IFM Investors | workplace safety or health violation | 2017 | OSHA | $7,000 |
| WHEELABRATOR SAUGUS, INC. | Macquarie | workplace safety or health violation | 2017 | OSHA | $17,600 |
| FITTJE BROS. PRINTING CO. | Chatham Asset Management | workplace safety or health violation | 2017 | OSHA | $5,000 |
| CLECO CORPORATION | Macquarie | workplace safety or health violation | 2017 | OSHA | $8,626 |
| LOUIS DREYFUS COMPANY RIVER ELEVATORS, LLC | Louis Dreyfus | workplace safety or health violation | 2017 | OSHA | $8,665 |
| NEOVIA LOGISTICS SERVICES, LLC | Goldman Sachs | workplace safety or health violation | 2017 | OSHA | $7,605 |
| CITIZENS FINANCIAL GROUP, INC. | Citizens Financial Group | workplace safety or health violation | 2017 | OSHA | $6,338 |
| W. R. BERKLEY CORPORATION | W.R. Berkley | workplace safety or health violation | 2017 | OSHA | $5,000 |
| CLECO CORPORATION | Macquarie | workplace safety or health violation | 2017 | OSHA | $5,545 |
| BUCKEYE TEXAS PROCESSING LLC (BTXPP) | IFM Investors | environmental violation | 2017 | EPA | $18,247 |
| Morgan Stanley Capital Group, Inc. | Morgan Stanley | environmental violation | 2017 | EPA | $1,119,000 |
| Vitol | Vitol | environmental violation | 2017 | EPA | $35,000 |
| JP Morgan Chase Bank, N.A. | JPMorgan Chase | environmental violation | 2017 | EPA | $230,392 |
| Citibank | Citigroup | consumer protection violation | 2016 | CFPB | $7,890,000 |
| Citibank | Citigroup | consumer protection violation | 2016 | CFPB | $45,000,000 |
| Morgan Stanley & Co. LLC | Morgan Stanley | toxic securities abuses | 2016 | FDIC | $62,950,000 |
| TCF National Bank | Huntington Bancshares | banking violation | 2016 | OCC | $56,500 |
| HSBC Bank USA, National Association | HSBC | banking violation | 2016 | OCC | $35,000,000 |
| Santander Bank, National Association | Banco Santander | banking violation | 2016 | OCC | $3,400,000 |
| U.S. Bank National Association | U.S. Bancorp | banking violation | 2016 | OCC | $10,000,000 |
| Sun National Bank | OceanFirst Financial | banking violation | 2016 | OCC | $25,000 |
| Everbank | TIAA | banking violation | 2016 | OCC | $1,000,000 |
| JPMorgan Chase Bank, National Association | JPMorgan Chase | banking violation | 2016 | OCC | $48,000,000 |
| HSBC North America Holdings, Inc. | HSBC | banking violation | 2016 | FED | $131,000,000 |
| M&T Bank Corp. | M&T Bank | False Claims Act and related | 2016 | DOJ_CIVIL | $64,000,000 |
| Freedom Mortgage Corporation | Freedom Mortgage | False Claims Act and related | 2016 | DOJ_CIVIL | $113,000,000 |
| Goldman Sachs | Goldman Sachs | toxic securities abuses | 2016 | DOJ | $5,060,000,000 |
| Wells Fargo Bank, National Association | Wells Fargo | False Claims Act and related | 2016 | DOJ_CIVIL | $1,200,000,000 |
| Morgan Stanley | Morgan Stanley | toxic securities abuses | 2016 | DOJ | $2,600,000,000 |
| HSBC Bank USA NA | HSBC | mortgage abuses | 2016 | DOJ | $470,000,000 |
| Barclays Capital Inc. | Barclays | investor protection violation | 2016 | SEC | $35,000,000 |
| Credit Suisse Securities (USA) LLC | UBS | investor protection violation | 2016 | SEC | $54,300,000 |
| Goldman Sachs & Co. | Goldman Sachs | investor protection violation | 2016 | SEC | $15,000,000 |
| J.P. Morgan Securities LLC | JPMorgan Chase | investor protection violation | 2016 | SEC | $4,000,000 |
| UBS | UBS | toxic securities abuses | 2016 | NCUA | $69,800,000 |
| Credit Suisse | UBS | toxic securities abuses | 2016 | NCUA | $50,300,000 |
| Citigroup | Citigroup | price-fixing or anti-competitive practices | 2016 | CFTC | $175,000,000 |
