| AXA Equitable Life & Annuity Co. | Equitable Holdings | insurance violation | 2016 | MT-FIN | $5,000 |
| Liberty Mutual Insurance Co. | Liberty Mutual Insurance | insurance violation | 2016 | MT-FIN | $5,000 |
| Conseco Senior Health Insurance Company | CNO Financial | insurance violation | 2001 | ND-INS | $5,000 |
| American Family Mutual Insurance Company | American Family Insurance | insurance violation | 2009 | ND-INS | $5,000 |
| U.S. Bancorp Piper Jaffray Inc. | Piper Sandler | investor protection violation | 2002 | NE-DBF | $5,000 |
| Berthel, Fisher & Company Financial Services, Inc. | Berthel Fisher | investor protection violation | 2007 | NE-DBF | $5,000 |
| Progressive Northern Insurance Company | Progressive | insurance violation | 2006 | NH-INS | $5,000 |
| Allstate New Jersey Insurance Company | Allstate | insurance violation | 2009 | NJ-DBI | $5,000 |
| Gallagher Benefit Services, Inc. | Arthur J. Gallagher & Co. | insurance violation | 2014 | NJ-DBI | $5,000 |
| Globe Life And Accident Insurance Compan | Globe Life Inc. | insurance violation | 2002 | OR-FIN | $5,000 |
| Great American Insurance Company of New York | American Financial Group | insurance violation | 2005 | OR-FIN | $5,000 |
| Ameritas Life Insurance Corp. | Ameritas Mutual Holding Company | insurance violation | 2006 | OR-FIN | $5,000 |
| Granite State Insurance Company | American International Group | insurance violation | 2007 | OR-FIN | $5,000 |
| Reliance Standard Life Insurance Company | Tokio Marine | insurance violation | 2007 | OR-FIN | $5,000 |
| Liberty Northwest Insurance Corporation | Liberty Mutual Insurance | insurance violation | 2009 | OR-FIN | $5,000 |
| Bankers Life and Casualty Company | CNO Financial | insurance violation | 2011 | OR-FIN | $5,000 |
| United of Omaha Life Insurance Company | Mutual of Omaha | insurance violation | 2011 | OR-FIN | $5,000 |
| Metropolitan Life Insurance Company | MetLife | insurance violation | 2011 | OR-FIN | $5,000 |
| Hartford Life and Accident Insurance Company | Hartford Financial Services | insurance violation | 2012 | OR-FIN | $5,000 |
| USAA General Indemnity Company | USAA | insurance violation | 2018 | OR-FIN | $5,000 |
| Minnesota Life Insurance Company | Securian Financial | insurance violation | 2019 | OR-FIN | $5,000 |
| Affinity Insurance Services Inc. | Aon | insurance violation | 2004 | PA-INS | $5,000 |
| Bankers Life and Casualty Company | CNO Financial | insurance violation | 2004 | PA-INS | $5,000 |
| Foremost Insurance Company of Grand Rapids, Michigan | Zurich Insurance | insurance violation | 2005 | PA-INS | $5,000 |
| Safeco Insurance Company of America | Liberty Mutual Insurance | insurance violation | 2005 | PA-INS | $5,000 |
| Selective Insurance Company of South Carolina | Selective Insurance Group | insurance violation | 2005 | PA-INS | $5,000 |
| Selective Way Insurance Company | Selective Insurance Group | insurance violation | 2005 | PA-INS | $5,000 |
| Liberty Insurance Underwriters Inc. | Liberty Mutual Insurance | insurance violation | 2008 | PA-INS | $5,000 |
| Aon Risk Services Central Inc. | Aon | insurance violation | 2008 | PA-INS | $5,000 |
| T.H.E. Insurance Company | AXA | insurance violation | 2009 | PA-INS | $5,000 |
| Scor Reinsurance Company | SCOR | insurance violation | 2009 | PA-INS | $5,000 |
| MLD Mortgage Inc. dba The Money Store | MLD Mortgage Inc. dba The Money Store | consumer protection violation | 2009 | PA-BKG | $5,000 |
| Jefferson National Life Insurance Company | Nationwide | insurance violation | 2009 | PA-INS | $5,000 |
| MLD Mortgage Inc. dba The Money Store | MLD Mortgage Inc. dba The Money Store | consumer protection violation | 2010 | PA-BKG | $5,000 |
| Lincoln Financial Advisors Corp. | Lincoln National | investor protection violation | 2007 | RI-FIN | $5,000 |
| Travelers Indemnity Company of America | Travelers | insurance violation | 2009 | RI-FIN | $5,000 |
| Allstate Insurance Company | Allstate | insurance violation | 2009 | RI-FIN | $5,000 |
| Homesite Insurance Company | American Family Insurance | insurance violation | 2013 | RI-FIN | $5,000 |
| Metropolitan Property and Casualty Company | Zurich Insurance | insurance violation | 2019 | RI-FIN | $5,000 |
| Merrill Lynch Life Insurance Company | Bank of America | insurance violation | 2000 | SC-INS | $5,000 |
| Dairyland Insurance Company | Sentry Insurance | insurance violation | 2003 | SC-INS | $5,000 |
| New Hampshire Insurance Company | American International Group | insurance violation | 2013 | SD-INS | $5,000 |
| Catlin Insurance Company Inc. | AXA | insurance violation | 2013 | SD-INS | $5,000 |
| Hartford Underwriters Insurance Company | Hartford Financial Services | insurance violation | 2013 | SD-INS | $5,000 |
| Hartford Insurance Company of the Midwest | Hartford Financial Services | insurance violation | 2013 | SD-INS | $5,000 |
| Hartford Casualty Insurance Company | Hartford Financial Services | insurance violation | 2013 | SD-INS | $5,000 |
| Hartford Accident and Indemnity | Hartford Financial Services | insurance violation | 2013 | SD-INS | $5,000 |
| Hartford Fire Insurance Company | Hartford Financial Services | insurance violation | 2013 | SD-INS | $5,000 |
| Hartford Accident and Indemnity | Hartford Financial Services | insurance violation | 2013 | SD-INS | $5,000 |
| Hartford Fire Insurance Company | Hartford Financial Services | insurance violation | 2013 | SD-INS | $5,000 |
| Sentinel Insurance Company Ltd. | Hartford Financial Services | insurance violation | 2013 | SD-INS | $5,000 |
| Twin City Fire Insurance Company | Hartford Financial Services | insurance violation | 2013 | SD-INS | $5,000 |
| Property & Casualty Insurance Company of Hartford | Hartford Financial Services | insurance violation | 2013 | SD-INS | $5,000 |
| Protective Life Insurance Company | Dai-ichi Life | insurance violation | 2014 | SD-INS | $5,000 |
| General Casualty Company of Wisconsin | QBE Insurance | insurance violation | 2014 | SD-INS | $5,000 |
| New Hampshire Insurance Company | American International Group | insurance violation | 2014 | SD-INS | $5,000 |
| American Memorial Life Insurance Company | Assurant | insurance violation | 2016 | SD-INS | $5,000 |
| Indemnity Insurance Company of North America | Chubb Limited | insurance violation | 2016 | SD-INS | $5,000 |
| Old Republic Insurance Company | Old Republic International | insurance violation | 2017 | SD-INS | $5,000 |
| Genworth Life Insurance Company | Genworth Financial | insurance violation | 2019 | SD-INS | $5,000 |
| Sentry Insurance | Sentry Insurance | insurance violation | 2008 | TX-INS | $5,000 |
| A.G. Edwards & Sons Inc. | Wells Fargo | investor protection violation | 2008 | TX-SEC | $5,000 |
| LPL Financial Corporation | LPL Financial | investor protection violation | 2008 | TX-SEC | $5,000 |
| Wausau Business Insurance Company | Liberty Mutual Insurance | insurance violation | 2010 | TX-INS | $5,000 |
| Safeco Lloyds Insurance Co. | Liberty Mutual Insurance | insurance violation | 2010 | TX-INS | $5,000 |
| New Hampshire Insurance Company | American International Group | insurance violation | 2011 | TX-INS | $5,000 |
| Hartford Underwriters Insurance Company | Hartford Financial Services | insurance violation | 2012 | TX-INS | $5,000 |
| Liberty Insurance Corporation | Liberty Mutual Insurance | insurance violation | 2012 | TX-INS | $5,000 |
| Wausau Underwriters Insurance Company | Liberty Mutual Insurance | insurance violation | 2012 | TX-INS | $5,000 |
| Old Republic Insurance Company | Old Republic International | insurance violation | 2012 | TX-INS | $5,000 |
| Hartford Insurance Company of the Midwest | Hartford Financial Services | insurance violation | 2012 | TX-INS | $5,000 |
| Standard Fire Insurance Company | Travelers | insurance violation | 2013 | TX-INS | $5,000 |
| National Interstate Insurance Company | American Financial Group | insurance violation | 2014 | TX-INS | $5,000 |
| Safety National Casualty Corporation | Tokio Marine | insurance violation | 2015 | TX-INS | $5,000 |
| Old Republic Insurance Company | Old Republic International | insurance violation | 2015 | TX-INS | $5,000 |
| American Zurich Insurance Company | Zurich Insurance | insurance violation | 2016 | TX-INS | $5,000 |
| The Standard Fire Insurance Company | Travelers | insurance violation | 2016 | TX-INS | $5,000 |
| New Hampshire Insurance Company | American International Group | insurance violation | 2017 | TX-INS | $5,000 |
| Arch Insurance Company | Arch Capital | insurance violation | 2017 | TX-INS | $5,000 |
| Liberty Insurance Corporation | Liberty Mutual Insurance | insurance violation | 2018 | TX-INS | $5,000 |
| Accident Fund National Insurance Company | AF Group | insurance violation | 2019 | TX-INS | $5,000 |
| XL Insurance America, Inc. | AXA | insurance violation | 2019 | TX-INS | $5,000 |
| Safety National Casualty Corporation | Tokio Marine | insurance violation | 2019 | TX-INS | $5,000 |
| Ace American Insurance Company | Chubb Limited | insurance violation | 2019 | TX-INS | $5,000 |
| Travelers Indemnity Company | Travelers | insurance violation | 2019 | TX-INS | $5,000 |
| Liberty Mutual General Insurance Company | Liberty Mutual Insurance | insurance violation | 2016 | UT-INS | $5,000 |
| Liberty Mutual Insurance | Liberty Mutual Insurance | insurance violation | 2017 | UT-INS | $5,000 |
| Allstate Indemnity Company | Allstate | insurance violation | 2018 | UT-INS | $5,000 |
| MONUMENTAL LIFE INSURANCE CO | Aegon | insurance violation | 2001 | VA-INS | $5,000 |
| AMERICAN ZURICH INSURANCE CO | Zurich Insurance | insurance violation | 2004 | VA-INS | $5,000 |
| ALLSTATE LIFE INSURANCE CO. | Allstate | insurance violation | 2005 | VA-INS | $5,000 |
| UNITED AMERICAN INSURANCE CO. | Globe Life Inc. | insurance violation | 2005 | VA-INS | $5,000 |
| United Services Automobile Association | USAA | insurance violation | 2006 | VA-INS | $5,000 |
| Brown & Brown Insurance Agency of Virginia, Inc. | Brown & Brown | insurance violation | 2006 | VA-INS | $5,000 |
| Life Insurance Company of the Southwest | National Life Group | insurance violation | 2006 | VA-INS | $5,000 |
| Property & Casualty Insurance Company of Hartford | Hartford Financial Services | insurance violation | 2006 | VA-INS | $5,000 |
| BANNER LIFE INSURANCE COMPANY | Legal & General Group PLC | insurance violation | 2007 | VA-INS | $5,000 |
| AMERICAN HOME ASSURANCE ET AL. | American International Group | insurance violation | 2007 | VA-INS | $5,000 |
| Metropolitan Property and Casualty | Zurich Insurance | insurance violation | 2007 | VA-INS | $5,000 |
| SENTINEL INSURANCE COMPANY | Hartford Financial Services | insurance violation | 2007 | VA-INS | $5,000 |
| CHUBB INDEMNITY INSURANCE, ET AL. | Chubb Limited | insurance violation | 2007 | VA-INS | $5,000 |
