Goldman Sachs & Co. LLC | Goldman Sachs | investor protection violation | 2023 | CFTC | $30,000,000 |
JPMorgan Chase Bank, N.A. | JPMorgan Chase | investor protection violation | 2023 | CFTC | $15,000,000 |
Bank of America, N.A. | Bank of America | investor protection violation | 2023 | CFTC | $8,000,000 |
Goldman Sachs & Co. LLC | Goldman Sachs | investor protection violation | 2023 | CFTC | $3,000,000 |
Interactive Brokers Corp. and Interactive Brokers LLC | Interactive Brokers Group | investor protection violation | 2023 | CFTC | $20,000,000 |
StoneX Markets LLC | StoneX Group | investor protection violation | 2023 | CFTC | $650,000 |
Wilmington Trust Investment Management, LLC | M&T Bank | investor protection violation | 2023 | SEC | $1,327,147 |
Interactive Brokers Corp. | Interactive Brokers Group | investor protection violation | 2023 | SEC | $35,000,000 |
Nuveen Securities LLC | TIAA | investor protection violation | 2023 | SEC | $8,500,000 |
Fifth Third Securities Inc. | Fifth Third Bancorp | investor protection violation | 2023 | SEC | $8,000,000 |
Citigroup Global Markets, Inc. | Citigroup | investor protection violation | 2023 | SEC | $1,975,000 |
DWS Investment Management Americas Inc. | Deutsche Bank | investor protection violation | 2023 | SEC | $25,000,000 |
Goldman Sachs & Co. LLC | Goldman Sachs | investor protection violation | 2023 | SEC | $6,000,000 |
Binance Holdings Limited et al. | Binance Holdings | investor protection violation | 2023 | CFTC | (*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $2,700,000,000 |
BlackRock Advisors, LLC | BlackRock | investor protection violation | 2023 | SEC | $2,500,000 |
Fidelity Brokerage Services LLC | Fidelity Investments | investor protection violation | 2023 | MA-SEC | $750,000 |
LPL Financial, LLC | LPL Financial | investor protection violation | 2023 | MA-SEC | $250,000 |
Northwestern Mutual Investment Services, LLC | Northwestern Mutual | investor protection violation | 2023 | NH-BSR | $200,000 |
Wells Fargo Clearing Services LLC | Wells Fargo | investor protection violation | 2023 | ME-SEC | $5,000 |
Morgan Stanley Smith Barney LLC | Morgan Stanley | investor protection violation | 2023 | ME-SEC | $5,000 |
MML Investors Services, LLC | Massachusetts Mutual Life Insurance | investor protection violation | 2023 | MI-SEC | $10,000 |
BofA Securities, Inc. | Bank of America | investor protection violation | 2023 | FINRA | $24,000,000 |
Morgan Stanley & Co. LLC | Morgan Stanley | investor protection violation | 2024 | USAO | $153,431,223 |
J.P. Morgan Securities LLC | JPMorgan Chase | investor protection violation | 2024 | SEC | $18,000,000 |
Morgan Stanley & Co. LLC | Morgan Stanley | investor protection violation | 2024 | SEC | $83,000,000 |
Credit Suisse Securities (USA) LLC | UBS | investor protection violation | 2023 | SEC | $10,000,000 |
Morgan Stanley Smith Barney LLC | Morgan Stanley | investor protection violation | 2024 | FINRA | $1,600,000 |
TIAA-CREF Individual & Institutional Services LLC | TIAA | investor protection violation | 2024 | SEC | $2,200,000 |
Northwestern Mutual Investment Services LLC | Northwestern Mutual | investor protection violation | 2024 | SEC | $16,500,000 |
Oppenheimer & Co. Inc. | Oppenheimer Holdings | investor protection violation | 2024 | SEC | $12,000,000 |
Lincoln Financial Advisors Corporation | Lincoln National | investor protection violation | 2024 | SEC | $8,500,000 |
U.S. Bancorp Investments Inc. | U.S. Bancorp | investor protection violation | 2024 | SEC | $8,000,000 |
Aon Investments USA Inc. | Aon | investor protection violation | 2024 | SEC | $1,542,187 |
Robinhood Financial LLC | Robinhood Markets | investor protection violation | 2024 | MA-SEC | $7,500,000 |
Edward D. Jones & Co., LP | Jones Financial | investor protection violation | 2024 | PA-BKG | $300,000 |
Northwestern Mutual Investment Services LLC | Northwestern Mutual | investor protection violation | 2024 | ME-SEC | $5,000 |
Australia and New Zealand Banking Group Ltd. | Australia and New Zealand Banking Group | investor protection violation | 2024 | CFTC | $500,000 |
U.S. Bank, N.A. | U.S. Bancorp | investor protection violation | 2024 | CFTC | $6,000,000 |
Oppenheimer & Co., Inc. | Oppenheimer Holdings | investor protection violation | 2024 | CFTC | $1,000,000 |
Aflac Inc. | Aflac | insurance violation | 2017 | MULTI-AG | $350,000 |
Allianz Life Insurance Company of North America | Allianz | insurance violation | 2015 | MULTI-AG | $4,700,000 |
Allianz Life Insurance Company of North America | Allianz | insurance violation | 2012 | MULTI-AG | $10,000,000 |
Ameriprise Group | Ameriprise Financial | insurance violation | 2017 | MULTI-AG | $1,500,000 |
AXA Equitable Life Insurance Company | Equitable Holdings | insurance violation | 2012 | NY-AG | $850,000 |
Axa S.A. | AXA | insurance violation | 2015 | MULTI-AG | $3,280,000 |
Genworth Life Insurance Co. | Genworth Financial | insurance violation | 2014 | MULTI-AG | $1,900,000 |
Great American Insurance Co. | American Financial Group | insurance violation | 2009 | MA-AG | $176,000 |
Great American Life | Massachusetts Mutual Life Insurance | insurance violation | 2016 | MULTI-AG | $400,000 |
Great American Life Insurance Company | Massachusetts Mutual Life Insurance | insurance violation | 2009 | MN-AG | $50,000,000 |
Guardian Life | Guardian Life Insurance | insurance violation | 2015 | MULTI-AG | $2,000,000 |
Hartford Fire and Casualty Group | Hartford Financial Services | insurance violation | 2016 | MULTI-AG | $2,100,000 |
ING Life Insurance and Annuity Company | Voya Financial | insurance violation | 2013 | MULTI-AG | $10,700,000 |
Jackson National Life Insurance Co. | Jackson Financial | insurance violation | 2015 | MULTI-AG | $2,500,000 |
John Hancock Life Insurance Co. | Manulife Financial | insurance violation | 2011 | MULTI-AG | $3,000,000 |
Lincoln National Life Insurance Company | Lincoln National | insurance violation | 2013 | MULTI-AG | $12,600,000 |
MetLife | MetLife | insurance violation | 2012 | MULTI-AG | $40,000,000 |
Nationwide Mutual Insurance Company | Nationwide | insurance violation | 2012 | MULTI-AG | $7,200,000 |
New York Life Insurance Company | New York Life Insurance | insurance violation | 2013 | MULTI-AG | $15,000,000 |
Pacific Life | Pacific Life | insurance violation | 2015 | MULTI-AG | $2,450,000 |
Prudential Insurance Company of America | Prudential Financial | insurance violation | 2012 | MULTI-AG | $17,000,000 |
Standard Insurance Company | Meiji Yasuda Life Insurance | insurance violation | 2016 | MULTI-AG | $277,000 |
State Farm Life Insurance Co. | State Farm Insurance | insurance violation | 2017 | MULTI-AG | $250,000 |
Sun Life Insurance Company | Sun Life Financial | insurance violation | 2014 | MULTI-AG | $3,200,000 |
The Guardian Life Insurance Company of America | Guardian Life Insurance | insurance violation | 2007 | MA-AG | $20,000 |
Transamerica Life Insurance Co. | Aegon | insurance violation | 2013 | MA-AG | $1,330,000 |
Transamerica Premier Life Insurance Co. | Aegon | insurance violation | 2018 | MA-AG | $19,647 |
Transamerica Insurance Co. | Aegon | insurance violation | 2013 | MULTI-AG | $11,200,000 |
Allstate Insurance Co. | Allstate | insurance violation | 2016 | CA-MULTI | $600,000 |
Metropolitan Life Insurance Company, Inc. | MetLife | insurance violation | 2014 | NY-MANDA | $10,000,000 |
American General Life Insurance Company | American International Group | insurance violation | 2020 | MA-AG | $363,000 |
Principal Life Insurance Co. | Principal Financial | insurance violation | 2002 | AK-INS | $16,095 |
Aon Risk Services Inc. of Washington | Aon | insurance violation | 2002 | AK-INS | $5,000 |
Seabury & Smith, Inc. | Marsh & McLennan | insurance violation | 2006 | AK-INS | $6,530 |
Liberty Mutual Group | Liberty Mutual Insurance | insurance violation | 2007 | AK-INS | $32,500 |
Principal Life Insurance Co. | Principal Financial | insurance violation | 2008 | AK-INS | $25,000 |
Seabury & Smith, Inc. | Marsh & McLennan | insurance violation | 2009 | AK-INS | $39,378 |
Brown & Brown of Washington, Inc. | Brown & Brown | insurance violation | 2012 | AK-INS | $30,000 |
Marsh USA Inc. | Marsh & McLennan | insurance violation | 2015 | AK-INS | $25,000 |
Marsh & McLennan Agency LLC | Marsh & McLennan | insurance violation | 2016 | AK-INS | $10,000 |
Marsh & McLennan Agency LLC | Marsh & McLennan | insurance violation | 2019 | AK-INS | $20,000 |
Marsh USA Inc. | Marsh & McLennan | insurance violation | 2019 | AK-INS | $30,000 |
Encompass Indemnity Co. and Encompass Insurance Company of America | Allstate | insurance violation | 2019 | AR-INS | $40,000 |
Chicago Title Insurance Co. | Fidelity National Financial | insurance violation | 2017 | AR-INS | $50,000 |
Stewart Title Guaranty Co. | Stewart Information Services | insurance violation | 2013 | AR-INS | $10,000 |
Farmers Insurance Exchange et al. | Farmers Insurance Exchange | insurance violation | 2013 | AR-INS | $5,000 |
Titan Insurance Co. | Nationwide | insurance violation | 2006 | AZ-DIFI | $40,000 |
Coast National Insurance Co. | Zurich Insurance | insurance violation | 2009 | AZ-DIFI | $38,000 |
Chicago Title Insurance Co. | Fidelity National Financial | insurance violation | 2010 | AZ-DIFI | $10,000 |
Scottsdale Insurance Co. | Nationwide | insurance violation | 2010 | AZ-DIFI | $37,500 |
Titan Indemnity Co. | Nationwide | insurance violation | 2010 | AZ-DIFI | $20,000 |
Unigard Insurance Co. | QBE Insurance | insurance violation | 2010 | AZ-DIFI | $16,000 |
QBE Insurance Corp. | QBE Insurance | insurance violation | 2010 | AZ-DIFI | $40,000 |
Permanent General Assurance Corp. | American Family Insurance | insurance violation | 2011 | AZ-DIFI | $70,000 |
Safeco Insurance Company of Illinois | Liberty Mutual Insurance | insurance violation | 2011 | AZ-DIFI | $15,000 |
Farmers Insurance Exchange | Farmers Insurance Exchange | insurance violation | 2011 | AZ-DIFI | $10,000 |
Homesite Indemnity Co. | American Family Insurance | insurance violation | 2011 | AZ-DIFI | $19,000 |
Austin Mututal Insurance Co. | American Family Insurance | insurance violation | 2011 | AZ-DIFI | $30,000 |
American Bankers Insurance Company of Florida | Assurant | insurance violation | 2011 | AZ-DIFI | $36,000 |
Accident Fund Insurance Company of America | AF Group | insurance violation | 2012 | AZ-DIFI | $5,000 |
Infinity Insurance Co. | Kemper | insurance violation | 2012 | AZ-DIFI | $38,000 |
Safeco Insurance Company of America | Liberty Mutual Insurance | insurance violation | 2012 | AZ-DIFI | $30,000 |