LPL Financial LLC | LPL Financial | consumer protection violation | 2015 | MULTI-AG | $2,000,000 |
Nelnet Inc. | Nelnet | consumer protection violation | 2007 | NY-AG | $2,000,000 |
Ocwen Loan Servicing LLC | Ocwen Financial | mortgage abuses | 2019 | MA-AG | $2,000,000 |
Sallie Mae | SLM Corp. | consumer protection violation | 2007 | NY-AG | $2,000,000 |
US Bank | U.S. Bancorp | privacy violation | 2000 | MULTI-AG | $2,000,000 |
Western Union Financial Services, Inc. | Western Union | consumer protection violation | 2008 | AZ-DIFI | $2,000,000 |
Farmers Insurance Exchange et al. | Farmers Insurance Exchange | insurance violation | 2007 | CA-INS | $2,000,000 |
LPL Financial, LLC | LPL Financial | investor protection violation | 2014 | IL-SEC | $2,000,000 |
Citigroup Global Markets Inc. | Citigroup | investor protection violation | 2012 | MA-SEC | $2,000,000 |
Freedom Mortgage Corp. | Freedom Mortgage | mortgage abuses | 2016 | MA-BKG | $2,000,000 |
LendingClub Corp. and Springstone Financial, LLC | LendingClub Corp. | consumer protection violation | 2018 | MA-BKG | $2,000,000 |
American Express Financial Advisors, Inc. | Ameriprise Financial | investor protection violation | 2005 | MN-FIN | $2,000,000 |
Citicorp Insurance Agency, Inc., Citicorp Investment Services, and SBHU Life Agency, Inc. | Citigroup | insurance violation | 2010 | NY-DFS | $2,000,000 |
Cash Call Inc. and Western Sky Financial LLC | CashCall Inc. | consumer protection violation | 2015 | WA-FIN | $2,000,000 |
UBS Financial Services Inc. | UBS | investor protection violation | 2019 | FINRA | $2,000,000 |
Cantor Fitzgerald & Co. | Cantor Fitzgerald | investor protection violation | 2019 | FINRA | $2,000,000 |
Raymond James Financial Services, Inc. | Raymond James Financial | investor protection violation | 2017 | FINRA | $2,000,000 |
RBS Securities, Inc. | NatWest Group PLC | investor protection violation | 2016 | FINRA | $2,000,000 |
Charles Schwab & Co. | Charles Schwab Corp. | investor protection violation | 2015 | FINRA | $2,000,000 |
Morgan Stanley & Co. LLC | Morgan Stanley | investor protection violation | 2015 | FINRA | $2,000,000 |
Merrill Lynch, Pierce, Fenner & Smith Incorporated | Bank of America | investor protection violation | 2013 | FINRA | $2,000,000 |
Wells Fargo Investments, LLC | Wells Fargo | investor protection violation | 2011 | FINRA | $2,000,000 |
Santander Securities of Puerto Rico | Banco Santander | investor protection violation | 2011 | FINRA | $2,000,000 |
Citigroup Global Markets | Citigroup | investor protection violation | 2009 | FINRA | $2,000,000 |
Wachovia Securities LLC | Wells Fargo | investor protection violation | 2007 | FINRA | $2,000,000 |
Chase Investment Services | JPMorgan Chase | investor protection violation | 2005 | FINRA | $2,000,000 |
Morgan Stanley DW Inc. | Morgan Stanley | investor protection violation | 2003 | FINRA | $2,000,000 |
Progressive Direct Insurance Company | Progressive | insurance violation | 2022 | NY-DFS | $2,000,000 |
Capital One, N.A. | Capital One Financial | consumer protection violation | 2022 | CA-MULTI | $2,000,000 |
Progressive Specialty Insurance Company | Progressive | consumer protection violation | 2020 | private lawsuit-federal | $2,000,000 |
State Farm Mutual Automobile Insurance Company | State Farm Insurance | insurance violation | 2024 | MT-FIN | $2,000,000 |
IMPERIAL SUGAR COMPANY; IMPERIAL-SAVANNAH, L.P.: I | Louis Dreyfus | workplace safety or health violation | 2008 | OSHA | $2,000,000 |
JPMorgan Chase & Co. | JPMorgan Chase | investor protection violation | 2008 | SEC | $1,998,143 |
Principal Life Insurance Company | Principal Financial | insurance violation | 2021 | NY-DFS | $1,997,866 |
Citigroup Global Markets, Inc. | Citigroup | investor protection violation | 2023 | SEC | $1,975,000 |
Encompass Insurance Company of Massachusetts | Allstate | consumer protection violation | 2012 | MA-AG | $1,972,635 |
MetLife | MetLife | wage and hour violation | 2015 | private lawsuit-federal | $1,970,000 |
ACE Group | Chubb Limited | price-fixing or anti-competitive practices | 2011 | OH-AG | $1,970,000 |
Citigroup Technology Inc | Citigroup | wage and hour violation | 2016 | WHD | $1,967,689 |
Citigroup Global Markets Inc. | Citigroup | investor protection violation | 2015 | MULTI-FIN | $1,965,000 |
Bank of America Corp. | Bank of America | consumer protection violation | 2013 | WV-AG | $1,950,000 |
Citibank/Citigroup Inc. | Citigroup | consumer protection violation | 2013 | WV-AG | $1,950,000 |
Discover Financial Services | Discover Financial Services | consumer protection violation | 2013 | WV-AG | $1,950,000 |
HSBC Finance Corporation | HSBC | consumer protection violation | 2013 | WV-AG | $1,950,000 |
JPMorgan Chase & Co. | JPMorgan Chase | consumer protection violation | 2013 | WV-AG | $1,950,000 |
BMO Capital Markets Corp. | Bank of Montreal | investor protection violation | 2019 | SEC | $1,950,000 |
J.P. Morgan Chase | JPMorgan Chase | discriminatory practices (non-employment) | 2010 | private lawsuit-federal | $1,950,000 |
American Family Mutual Insurance Co. | American Family Insurance | insurance violation | 2022 | MULTI-FIN | $1,950,000 |
Bank of America, N.A. | Bank of America | consumer protection violation | 2017 | CA-MULTI | $1,940,000 |
Horizon Healthcare of New Jersey, Inc. | Horizon Healthcare Services | insurance violation | 2019 | NJ-DBI | $1,940,000 |
Hartford Financial Services Group Inc. | Hartford Financial Services | benefit plan administrator violation | 2012 | private lawsuit-federal | $1,935,000 |
Wells Fargo Advisors, LLC | Wells Fargo | investor protection violation | 2012 | FINRA | $1,931,488 |
The Bank of New York Mellon Corporation | Bank of New York Mellon | employment discrimination | 2022 | OFCCP | $1,925,000 |
Erie Insurance Exchange | Erie Indemnity | insurance violation | 2019 | VA-INS | $1,921,784 |
United States Fire Insurance Company | Fairfax Financial Holdings | insurance violation | 2017 | MULTI-FIN | $1,914,370 |
First Tennessee Bank | First Horizon National | discriminatory practices (non-employment) | 2016 | HUD | $1,900,000 |
Bank of America | Bank of America | wage and hour violation | 2017 | private lawsuit-federal | $1,900,000 |
Massachusetts Financial Services Company | Sun Life Financial | investor protection violation | 2018 | SEC | $1,900,000 |
Genworth Life Insurance Co. | Genworth Financial | insurance violation | 2014 | MULTI-AG | $1,900,000 |
AXA Equitable Life Insurance Company | Equitable Holdings | insurance violation | 2010 | NY-DFS | $1,900,000 |
Wells Fargo Investments, LLC | Wells Fargo | investor protection violation | 2009 | MULTI-FIN | $1,900,000 |
Cincinnati Life Insurance Company | Cincinnati Financial | discriminatory practices (non-employment) | 2004 | private lawsuit-state | $1,900,000 |
Mutual of Omaha | Mutual of Omaha | consumer protection violation | 2012 | private lawsuit-federal | $1,900,000 |
Bank of America | Bank of America | wage and hour violation | 2024 | private lawsuit-federal | $1,890,000 |
American Modern Home Insurance Company | Munich Re | insurance violation | 2012 | NC-INS | $1,860,000 |
Wedbush Securities Inc. | Wedbush Securities | investor protection violation | 2019 | SEC | $1,852,540 |
ProEquities, Inc. | Dai-ichi Life | investor protection violation | 2019 | SEC | $1,852,383 |
Wells Fargo Bank | Wells Fargo | wage and hour violation | 2015 | private lawsuit-federal | $1,850,000 |
JPMorgan Chase Bank, National Association | JPMorgan Chase | wage and hour violation | 2019 | private lawsuit-federal | $1,850,000 |
Metropolitan Property and Casualty Insurance Co. | Zurich Insurance | consumer protection violation | 2000 | MA-AG | $1,840,000 |
First Republic Investment Management, Inc. | JPMorgan Chase | investor protection violation | 2022 | SEC | $1,825,953 |
J.P. Morgan Securities LLC | JPMorgan Chase | investor protection violation | 2020 | SEC | $1,822,438 |
PROGRESSIVE NORTHERN INSURANCE CO. | Progressive | insurance violation | 2018 | VA-INS | $1,818,318 |
Sentinel Insurance Company | Hartford Financial Services | insurance violation | 2018 | NY-DFS | $1,816,596 |
Fifth Third Bancorp | Fifth Third Bancorp | consumer protection violation | 2015 | private lawsuit-federal | $1,801,384 |
Allied Home Mortgage Capital Corporation | Americus Mortgage | wage and hour violation | 2006 | WHD | $1,800,282 |
Aon Corporation | Aon | benefit plan administrator violation | 2010 | private lawsuit-federal | $1,800,000 |
Jefferson Insurance Company | Allianz | insurance violation | 2017 | MULTI-FIN | $1,800,000 |
Goldman Sachs Execution & Clearing, L.P. | Goldman Sachs | investor protection violation | 2015 | FINRA | $1,800,000 |
First Unum Life Insurance Company of America and Paul Revere Life Insurance Company | Unum | privacy violation | 2021 | NY-DFS | $1,800,000 |
Umpqua Bank | Umpqua Holdings | banking violation | 2021 | FDIC | $1,800,000 |
Nelnet, Inc. | Nelnet | consumer protection violation | 2024 | MA-AG | $1,800,000 |
Liberty Insurance Underwriters, Inc. | Liberty Mutual Insurance | insurance violation | 2022 | NJ-DBI | $1,778,000 |
American Security Insurance Co. et al. | Assurant | insurance violation | 2005 | NJ-DBI | $1,775,000 |
Principal Securities, Inc. | Principal Financial | investor protection violation | 2019 | SEC | $1,764,624 |
Aon Corporation | Aon | Foreign Corrupt Practices Act | 2011 | DOJ_CRIMINAL | $1,760,000 |
Compass Bank | PNC Financial Services | discriminatory practices (non-employment) | 2007 | DOJ_RIGHTS | $1,750,000 |
Nationstar Mortgage LLC | Mr. Cooper Group | consumer protection violation | 2017 | CFPB | $1,750,000 |
Freedom Mortgage Corporation | Freedom Mortgage | mortgage abuses | 2019 | CFPB | $1,750,000 |
Raymond James & Associates, Inc. | Raymond James Financial | investor protection violation | 2011 | MULTI-FIN | $1,750,000 |
Louisiana Generating, LLC | Macquarie | environmental violation | 2013 | LA-ENV | $1,750,000 |
VALIC Financial Advisors, Inc. | American International Group | investor protection violation | 2016 | FINRA | $1,750,000 |
Credit Suisse Securities (USA) LLC | UBS | investor protection violation | 2011 | FINRA | $1,750,000 |
Fifth Third Securities, Inc. | Fifth Third Bancorp | investor protection violation | 2009 | FINRA | $1,750,000 |
Thomas Weisel Partners | Stifel Financial | investor protection violation | 2005 | FINRA | $1,750,000 |
RBS Financial Products Inc. | NatWest Group PLC | consumer protection violation | 2013 | private lawsuit-federal | $1,750,000 |
Freedom Mortgage Corporation | Freedom Mortgage | kickbacks and bribery | 2023 | CFPB | $1,750,000 |
Standard Chartered Bank | Standard Chartered | price-fixing or anti-competitive practices | 2020 | private lawsuit-federal | $1,720,000 |
IFCO Systems North America, Inc. | Triton Investments Advisers | wage and hour violation | 2006 | WHD | $1,712,712 |
UBS AG | UBS | economic sanction violation | 2015 | OFAC | $1,700,100 |
American General Finance Management Corporation | OneMain Holdings | wage and hour violation | 2011 | private lawsuit-federal | $1,700,000 |