| Illinois Union Ins Co | Chubb Limited | insurance violation | 2019 | WA-INS | $102,000 |
| Homesite Insurance Company Of The Midwest | American Family Insurance | insurance violation | 2019 | WA-INS | $15,000 |
| Lincoln National Life Insurance Company | Lincoln National | insurance violation | 2019 | WA-INS | $100,000 |
| American Family Connect Property And Casualty Insurance Company | American Family Insurance | insurance violation | 2019 | WA-INS | $7,500 |
| Principal Life Insurance Company | Principal Financial | insurance violation | 2019 | WA-INS | $16,150 |
| Bankers Life & Casualty Company | CNO Financial | insurance violation | 2019 | WA-INS | $30,000 |
| Ameritas Life Insurance Corp | Ameritas Mutual Holding Company | insurance violation | 2019 | WA-INS | $50,000 |
| Banner Life Insurance Company | Legal & General Group PLC | insurance violation | 2019 | WA-INS | $10,000 |
| Mutual Of Omaha Insurance Company | Mutual of Omaha | insurance violation | 2019 | WA-INS | $12,000 |
| National Casualty Company | Nationwide | insurance violation | 2019 | WA-INS | $20,000 |
| State Farm Fire & Casualty Company | State Farm Insurance | insurance violation | 2019 | WA-INS | $20,000 |
| LM Insurance Corporation | Liberty Mutual Insurance | insurance violation | 2019 | WA-INS | $25,000 |
| Liberty Mutual Fire Insurance Company | Liberty Mutual Insurance | insurance violation | 2019 | WA-INS | $30,000 |
| Transamerica Life Insurance Company | Aegon | insurance violation | 2019 | WA-INS | $15,000 |
| Ticor Title Company | Fidelity National Financial | insurance violation | 2019 | WA-INS | $5,000 |
| Producers Agriculture Insurance Company | Tokio Marine | insurance violation | 2019 | WA-INS | $50,000 |
| Stewart Title Guaranty Company | Stewart Information Services | insurance violation | 2019 | WA-INS | $10,050 |
| Bankers Standard Insurance Company et al. | Chubb Limited | insurance violation | 2019 | WA-INS | $25,000 |
| Globe Life and Accident Insurance Company of Omaha, Nebraska | Globe Life Inc. | insurance violation | 2019 | MULTI-FIN | $3,300,000 |
| 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 |
| Wells Fargo & Co. | Wells Fargo | discriminatory practices (non-employment) | 2019 | private lawsuit-federal | $10,000,000 |
| U.S. Bank | U.S. Bancorp | privacy violation | 2019 | private lawsuit-federal | $2,670,336 |
| Buckeye Terminals | IFM Investors | environmental violation | 2019 | CA-ARB | $6,000 |
| BUCKEYE PIPE LINE CO LP | IFM Investors | environmental violation | 2019 | IN-ENV | $22,500 |
| Louisiana Generating, LLC | Macquarie | environmental violation | 2019 | LA-ENV | $16,500 |
| Nyrstar Clarksville | Trafigura | environmental violation | 2019 | TN-ENV | $181,482 |
| Nyrstar Clarksville | Trafigura | environmental violation | 2019 | TN-ENV | $622,389 |
| JPMorgan Chase | JPMorgan Chase | benefit plan administrator violation | 2019 | private lawsuit-federal | $75,000,000 |
| Oppenheimer & Co. Inc. | Oppenheimer Holdings | investor protection violation | 2019 | FINRA | $4,600,000 |
| Citigroup Global Markets Inc. | Citigroup | investor protection violation | 2019 | FINRA | $280,000 |
| J.P. Morgan Securities LLC | JPMorgan Chase | investor protection violation | 2019 | FINRA | $280,000 |
| LPL Financial LLC | LPL Financial | investor protection violation | 2019 | FINRA | $280,000 |
| Morgan Stanley Smith Barney LLC | Morgan Stanley | investor protection violation | 2019 | FINRA | $280,000 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Bank of America | investor protection violation | 2019 | FINRA | $280,000 |
| Credit Suisse Securities (USA) LLC | UBS | investor protection violation | 2019 | FINRA | $6,500,000 |
| Robinhood Financial, LLC | Robinhood Markets | investor protection violation | 2019 | FINRA | $1,250,000 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Bank of America | investor protection violation | 2019 | FINRA | $4,000,000 |
| Raymond James & Associates, Inc. and Raymond James Financial Services, Inc. | Raymond James Financial | investor protection violation | 2019 | FINRA | $8,000,000 |
| BNP Paribas Securities Corp. and BNP Paribas Prime Brokerage, Inc. | BNP Paribas | anti-money-laundering deficiencies | 2019 | FINRA | $15,000,000 |
| UBS Financial Services Inc. | UBS | investor protection violation | 2019 | FINRA | $2,000,000 |
| J.P. Morgan Securities LLC | JPMorgan Chase | investor protection violation | 2019 | FINRA | $1,100,000 |
| Citigroup Global Markets Inc. | Citigroup | investor protection violation | 2019 | FINRA | $1,250,000 |
| AXA Advisors, LLC | Equitable Holdings | investor protection violation | 2019 | FINRA | $772,000 |
| Cantor Fitzgerald & Co. | Cantor Fitzgerald | investor protection violation | 2019 | FINRA | $2,000,000 |
| Buckeye Terminals LLC-Macungie | IFM Investors | railroad safety violation | 2019 | FRA | $5,000 |
| JP Morgan Chase Bank, NA | JPMorgan Chase | employment discrimination | 2019 | CA-CRD | $60,000 |
| Franklin Resources, Inc. | Franklin Resources | benefit plan administrator violation | 2019 | private lawsuit-federal | $13,850,000 |
| Citibank N.A. | Citigroup | price-fixing or anti-competitive practices | 2019 | private lawsuit-federal | $91,250,000 |
| JPMorgan Chase & Co. | JPMorgan Chase | price-fixing or anti-competitive practices | 2019 | private lawsuit-federal | $91,250,000 |
| Mastercard International Inc. | MasterCard | price-fixing or anti-competitive practices | 2019 | private lawsuit-federal | $2,100,000,000 |
| Mizuho Bank Ltd | Mizuho Financial | price-fixing or anti-competitive practices | 2019 | private lawsuit-federal | $13,083,333 |
| Norinchukin Bank | Norinchukin Bank | price-fixing or anti-competitive practices | 2019 | private lawsuit-federal | $13,083,333 |
| Shoko Chukin Bank Ltd | Shoko Chukin Bank | price-fixing or anti-competitive practices | 2019 | private lawsuit-federal | $6,350,000 |
| Visa U.S.A. Inc. | Visa | price-fixing or anti-competitive practices | 2019 | private lawsuit-federal | $4,100,000,000 |
| Transamerica Life Insurance Company | Aegon | consumer protection violation | 2019 | private lawsuit-federal | $195,000,000 |
| National General Insurance Company | Allstate | consumer protection violation | 2019 | private lawsuit-federal | $7,500,000 |
| Bank of America, N.A. | Bank of America | consumer protection violation | 2019 | private lawsuit-federal | $22,000,000 |
| Bank of New York Mellon | Bank of New York Mellon | consumer protection violation | 2019 | private lawsuit-federal | $72,500,000 |
| BNY Mellon | Bank of New York Mellon | consumer protection violation | 2019 | private lawsuit-federal | $10,000,000 |
| Capital One Financial Corp. | Capital One Financial | consumer protection violation | 2019 | private lawsuit-federal | $900,000 |
| Deutsche Bank AG | Deutsche Bank | consumer protection violation | 2019 | private lawsuit-federal | $55,000,000 |
| Midland Funding LLC | Encore Capital Group | consumer protection violation | 2019 | private lawsuit-federal | $9,805,000 |
| JPMorgan Chase & Co. | JPMorgan Chase | consumer protection violation | 2019 | private lawsuit-federal | $9,500,000 |
| John Hancock Life Insurance Company | Manulife Financial | consumer protection violation | 2019 | private lawsuit-federal | $91,250,000 |
| Royal Bank of Scotland PLC | NatWest Group PLC | consumer protection violation | 2019 | private lawsuit-federal | $55,000,000 |
| Raymond James Financial | Raymond James Financial | consumer protection violation | 2019 | private lawsuit-federal | $15,000,000 |
| State Farm Mutual Automobile Insurance Company | State Farm Insurance | consumer protection violation | 2019 | private lawsuit-federal | $18,500,000 |
| Wells Fargo & Co. | Wells Fargo | consumer protection violation | 2019 | private lawsuit-federal | $13,460,000 |
| Wells Fargo & Co. | Wells Fargo | consumer protection violation | 2019 | private lawsuit-federal | $55,000,000 |
| Wells Fargo Bank, N.A. | Wells Fargo | consumer protection violation | 2019 | private lawsuit-federal | $386,000,000 |
| Wells Fargo Bank, N.A. | Wells Fargo | consumer protection violation | 2019 | private lawsuit-federal | $30,000,000 |
| Quicken Loans | Rocket Companies Inc. | wage and hour violation | 2019 | MI-LEO | $10,500 |
| Buckeye Terminals LLC-Macungie | IFM Investors | railroad safety violation | 2019 | FRA | $5,000 |
| SYNAGRO-WWT, INC. | Goldman Sachs | workplace safety or health violation | 2019 | OSHA | $8,525 |
| BROADRIDGE FINANCIAL SOLUTIONS, INC. | Broadridge Financial Solutions | workplace safety or health violation | 2019 | OSHA | $8,335 |
| BOYD CORPORATION | Goldman Sachs | workplace safety or health violation | 2019 | OSHA | $6,300 |
| BUCKEYE PARTNERS, L.P. | IFM Investors | workplace safety or health violation | 2019 | OSHA | $13,500 |
| WHEELABRATOR CONCORD INC. | Macquarie | workplace safety or health violation | 2019 | OSHA | $7,100 |
| WHEELABRATOR NORTH ANDOVER | Macquarie | workplace safety or health violation | 2019 | OSHA | $7,500 |
| LOUIS DREYFUS COMPANY AGRICULTURAL INDUSTRIES | Louis Dreyfus | environmental violation | 2019 | EPA | $155,806 |
| Nyrstar Tennessee Mines, Strawberry Plains LLC | Trafigura | workplace safety or health violation | 2019 | MSHA | $5,776 |
| Nyrstar Tennessee Mines - Gordonsville, LLC | Trafigura | workplace safety or health violation | 2019 | MSHA | $36,151 |
| Nyrstar Gordonsville, LLC | Trafigura | workplace safety or health violation | 2019 | MSHA | $72,600 |
| Nyrstar Gordonsville, LLC | Trafigura | workplace safety or health violation | 2019 | MSHA | $11,041 |
| Nyrstar Gordonsville, LLC | Trafigura | workplace safety or health violation | 2019 | MSHA | $7,401 |
| Nyrstar Gordonsville, LLC | Trafigura | workplace safety or health violation | 2019 | MSHA | $8,016 |
| HSBC Holdings plc | HSBC | fraud | 2018 | DOJ_CRIMINAL | $100,000,000 |
| Goldman Sachs Bank USA | Goldman Sachs | banking violation | 2018 | FED | $90,000 |
| Goldman Sachs | Goldman Sachs | mortgage abuses | 2018 | FED | $14,000,000 |
| Morgan Stanley | Morgan Stanley | mortgage abuses | 2018 | FED | $8,000,000 |
| CIT Group Inc. | First Citizens BancShares | mortgage abuses | 2018 | FED | $5,200,000 |
| U.S. Bancorp | U.S. Bancorp | mortgage abuses | 2018 | FED | $4,400,000 |
| PNC Financial Services Group | PNC Financial Services | mortgage abuses | 2018 | FED | $3,500,000 |
| Citibank N.A. | Citigroup | anti-money-laundering deficiencies | 2018 | OCC | $70,000,000 |
| Wedbush Securities Inc. | Wedbush Securities | investor protection violation | 2018 | SEC | $1,304,197 |
| Industrial and Commercial Bank of China Financial Services LLC | Industrial and Commercial Bank of China | investor protection violation | 2018 | SEC | $1,250,000 |
| Deutsche Bank Securities Inc. | Deutsche Bank | price-fixing or anti-competitive practices | 2018 | CFTC | $70,000,000 |
| HSBC Securities (USA) Inc. | HSBC | investor protection violation | 2018 | CFTC | $1,600,000 |
| UBS AG | UBS | investor protection violation | 2018 | CFTC | $15,000,000 |
| Deutsche Bank AG and Deutsche Bank Securities Inc. | Deutsche Bank | investor protection violation | 2018 | CFTC | $30,000,000 |
