Umpqua Bank | Umpqua Holdings | employment screening violation | 2019 | private lawsuit-federal | $325,000 |
UBS AG | UBS | price-fixing or anti-competitive practices | 2016 | WV-AG | $325,000 |
J.P. Morgan Securities LLC | JPMorgan Chase | investor protection violation | 2020 | KY-FIN | $325,000 |
Marsh USA Inc. | Marsh & McLennan | insurance violation | 2009 | MN-FIN | $325,000 |
State Street Bank and Trust Company | State Street Corp. | investor protection violation | 2018 | NH-BSR | $325,000 |
NEXT Financial Group, Inc | Atria Wealth Solutions | investor protection violation | 2019 | NH-BSR | $325,000 |
UBS Financial Services Inc. | UBS | investor protection violation | 2014 | VT-FIN | $325,000 |
Morgan Stanley DW Inc. | Morgan Stanley | investor protection violation | 2004 | WA-FIN | $325,000 |
Merrill Lynch, Pierce and Fenner & Smith, Incorporated | Bank of America | investor protection violation | 2020 | SEC | $325,376 |
TIAA | TIAA | wage and hour violation | 2005 | WHD | $327,168 |
Josephthal & Co. | Oppenheimer Holdings | employment discrimination | 2000 | EEOC | $330,000 |
First Mercury Insurance Co. | Fairfax Financial Holdings | insurance violation | 2012 | CA-INS | $330,000 |
GE Capital Corp. | Synchrony Financial | consumer protection violation | 2006 | CT-AG | $336,000 |
Morgan Stanley DW Inc | Morgan Stanley | investor protection violation | 2004 | FINRA | $336,510 |
SELECTIVE INSURANCE COMPANY OF AMERICA | Selective Insurance Group | insurance violation | 2017 | VA-INS | $339,333 |
BlackRock Inc. | BlackRock | investor protection violation | 2017 | SEC | $340,000 |
Hilltop Securities Inc. | Hilltop Holdings | investor protection violation | 2021 | SEC | $340,193 |
Countrywide Financial Corporation | Bank of America | mortgage abuses | 2009 | WV-AG | $340,901 |
Piper Jaffray & Co. | Piper Sandler | investor protection violation | 2006 | MT-FIN | $345,000 |
Comerica Securities | Comerica | investor protection violation | 2015 | FINRA | $347,757 |
Liberty Mutual Insurance | Liberty Mutual Insurance | employment discrimination | 2000 | private lawsuit-state | $348,111 |
SunTrust Mortgage, Inc. | Truist Financial | consumer protection violation | 2019 | CA-DFPI | $349,015 |
Merrill Lynch | Bank of America | investor protection violation | 2011 | CFTC | $350,000 |
Australia and New Zealand Banking Group Ltd. | Australia and New Zealand Banking Group | investor protection violation | 2012 | CFTC | $350,000 |
Charles Schwab & Co., Inc. | Charles Schwab Corp. | investor protection violation | 2004 | SEC | $350,000 |
Morgan Stanley | Morgan Stanley | data submission deficiencies | 2017 | CFTC | $350,000 |
Putnam Investment Management, LLC | Franklin Resources | investor protection violation | 2007 | SEC | $350,000 |
Metropolitan Life | MetLife | benefit plan administrator violation | 2012 | private lawsuit-federal | $350,000 |
Aflac Inc. | Aflac | insurance violation | 2017 | MULTI-AG | $350,000 |
Bank of America | Bank of America | privacy violation | 2009 | CT-AG | $350,000 |
Prudential Insurance Co. | Prudential Financial | kickbacks and bribery | 2008 | CA-MULTI | $350,000 |
Gerber Life Insurance Co. | Western & Southern Financial Group | insurance violation | 2000 | WA-INS | $350,000 |
American Family Life Insurance Company of Columbus | Aflac | insurance violation | 2017 | MULTI-FIN | $350,000 |
Protective Life Insurance Company et al. | Dai-ichi Life | insurance violation | 2019 | MULTI-FIN | $350,000 |
Seterus Inc. | Mr. Cooper Group | mortgage abuses | 2019 | MULTI-FIN | $350,000 |
CIBC World Markets Corp. | Canadian Imperial Bank of Commerce | investor protection violation | 2008 | FINRA | $350,000 |
Citigroup Global Markets, Inc. | Citigroup | investor protection violation | 2006 | FINRA | $350,000 |
Sanford C. Bernstein & Co. | Equitable Holdings | investor protection violation | 2006 | FINRA | $350,000 |
NYLife Securities, Inc. | New York Life Insurance | investor protection violation | 2004 | FINRA | $350,000 |
American Express Financial Advisors Inc. | Ameriprise Financial | investor protection violation | 2002 | FINRA | $350,000 |
First Union Securities, Inc. | Wells Fargo | investor protection violation | 2000 | FINRA | $350,000 |
WEX Inc. | WEX Inc. | investor protection violation | 2021 | SEC | $350,000 |
State Farm Lloyds | State Farm Insurance | insurance violation | 2023 | TX-INS | $350,000 |
SunTrust Bank, Inc. | Truist Financial | wage and hour violation | 2006 | WHD | $350,875 |
ACE Cash Express, Inc. | ACE Cash Express | consumer protection violation | 2015 | MD-FIN | $353,286 |
NYLIFE Securities LLC | New York Life Insurance | investor protection violation | 2007 | FINRA | $354,000 |
BUCKEYE PARTNERS | IFM Investors | environmental violation | 2009 | IL-ENV | $354,540 |
Wheelabrator Claremont Company, L.P. | Macquarie | energy market violation | 2018 | FERC | $357,231 |
Bear Stearns Companies Inc. | JPMorgan Chase | wage and hour violation | 2003 | WHD | $358,974 |
Hilltop Securities Inc. | Hilltop Holdings | investor protection violation | 2016 | SEC | $360,000 |
The Hartford et al. | Hartford Financial Services | insurance violation | 2022 | ID-INS | $360,000 |
Tokio Marine America Insurance Company | Tokio Marine | insurance violation | 2023 | NY-DFS | $360,000 |
Simmons First National Bank | Simmons First National Corp. | employment discrimination | 2010 | OFCCP | $360,187 |
Homesite Insurance Company | American Family Insurance | insurance violation | 2013 | CA-INS | $360,522 |
American General Life Insurance Company | American International Group | insurance violation | 2020 | MA-AG | $363,000 |
Investment Centers of America, Inc. | LPL Financial | investor protection violation | 2005 | FINRA | $363,500 |
Fidelity National Title Co. | Fidelity National Financial | insurance violation | 2009 | CA-INS | $365,000 |
AIU Insurance Company | American International Group | insurance violation | 2002 | MA-INS | $365,615 |
Allied Home Mortgage Capital Corporation | Americus Mortgage | consumer protection violation | 2003 | HUD | $370,000 |
UBS Financial Services, Inc. | UBS | investor protection violation | 2007 | FINRA | $370,000 |
Synagro Northeast, LLC | Goldman Sachs | air pollution violation | 2021 | EPA | $373,660 |
Prudential Equity Group, LLC f/k/a Prudential Securities Inc. | Prudential Financial | investor protection violation | 2004 | SEC | $375,000 |
TD Bank | Toronto-Dominion Bank | wage and hour violation | 2010 | private lawsuit-federal | $375,000 |
Ameriprise Financial Services, Inc. | Ameriprise Financial | investor protection violation | 2018 | NJ-AG | $375,000 |
QBE Insurance | QBE Insurance | consumer protection violation | 2016 | MA-AG | $375,000 |
CCO Investment Services Corp. | Citizens Financial Group | investor protection violation | 2007 | NH-BSR | $375,000 |
HSBC Securities (USA) Inc. | HSBC | investor protection violation | 2010 | FINRA | $375,000 |
Metropolitan Life Insurance Co. | MetLife | investor protection violation | 2004 | FINRA | $375,000 |
BB&T Securities, LLC | Truist Financial | investor protection violation | 2019 | SEC | $376,059 |
Towers Perrin | Willis Towers Watson | wage and hour violation | 2004 | WHD | $376,093 |
Prudential Securities, Inc. | Wells Fargo | investor protection violation | 2003 | SEC | $382,000 |
Morgan Stanley Smith Barney LLC | Morgan Stanley | investor protection violation | 2019 | MA-SEC | $382,500 |
USAA Federal Savings Bank | USAA | banking violation | 2020 | OCC | $382,500 |
Highmark BCBSD Inc. | Highmark Inc. | insurance violation | 2016 | DE-INS | $383,000 |
Cash America West, Inc. and First Cash, Inc. | FirstCash | wage and hour violation | 2022 | WA-SOLS | $383,873 |
A.G. Edwards & Sons, Inc. | Wells Fargo | investor protection violation | 2008 | NJ-AG | $387,000 |
Berthel Fisher & Company Financial Services, Inc. | Berthel Fisher | investor protection violation | 2021 | SEC | $389,425 |
Citigroup Global Markets | Citigroup | wage and hour violation | 2011 | private lawsuit-federal | $394,220 |
Metropolitan Property and Casualty Insurance Co. | Zurich Insurance | consumer protection violation | 2012 | MA-AG | $395,000 |
KeyBanc Capital Markets Inc. | KeyCorp | investor protection violation | 2023 | SEC | $397,135 |
Nationwide Mutual Fire Insurance Company | Nationwide | insurance violation | 2019 | VA-INS | $397,667 |
Old Republic Title Co. and Old Republic National Title Insurance Co. | Old Republic International | insurance violation | 2010 | CA-INS | $399,000 |
Oppenheimer & Co. Inc. | Oppenheimer Holdings | investor protection violation | 2015 | SEC | $400,000 |
Wells Fargo Bank, N.A. | Wells Fargo | data submission deficiencies | 2016 | CFTC | $400,000 |
BMO Harris Bank | Bank of Montreal | employment discrimination | 2013 | EEOC | $400,000 |
Great American Life | Massachusetts Mutual Life Insurance | insurance violation | 2016 | MULTI-AG | $400,000 |
JPMorgan Chase and Co. | JPMorgan Chase | price-fixing or anti-competitive practices | 2014 | WV-AG | $400,000 |
JPMorgan Chase Bank | JPMorgan Chase | mortgage abuses | 2015 | MD-AG | $400,000 |
CashCall, Inc. and Western Sky Financial L.L.C. | CashCall Inc. | payday lending violation | 2014 | CT-BKG | $400,000 |
Ameriprise Financial Services, Inc. | Ameriprise Financial | investor protection violation | 2013 | MA-SEC | $400,000 |
Merrill Lynch | Bank of America | privacy violation | 2014 | NH-BSR | $400,000 |
Horizon Healthcare Services, Inc. | Horizon Healthcare Services | insurance violation | 2016 | NJ-DBI | $400,000 |
Morgan Stanley & Co. Inc. | Morgan Stanley | investor protection violation | 2008 | TX-SEC | $400,000 |
TD Ameritrade Inc. | Charles Schwab Corp. | investor protection violation | 2015 | TX-SEC | $400,000 |
LendingClub Corporation | LendingClub Corp. | investor protection violation | 2020 | TX-SEC | $400,000 |
Merrill Lynch, Pierce, Fenner & Smith Inc. | Bank of America | investor protection violation | 2020 | CT-SEC | $400,000 |
Thrivent Investment Management Inc. | Thrivent Financial | investor protection violation | 2020 | IL-SEC | $400,000 |
RBC Capital Markets Corporation | Royal Bank of Canada | investor protection violation | 2009 | FINRA | $400,000 |
Fidelity Investments Institutional Services Company, Inc. and Fidelity Distributors Corporation | Fidelity Investments | investor protection violation | 2007 | FINRA | $400,000 |
Banc One Securities Corporation | JPMorgan Chase | investor protection violation | 2005 | FINRA | $400,000 |
Raymond James Financial Services Inc. | Raymond James Financial | investor protection violation | 2004 | FINRA | $400,000 |