Harleysville Worcester Insurance Company | Nationwide | insurance violation | 2002 | MA-INS | $6,000 |
Banner Life Insurance Company | Legal & General Group PLC | insurance violation | 2002 | MA-INS | $10,900 |
Valley Forge Life Insurance Company | Prudential PLC | insurance violation | 2002 | MA-INS | $24,500 |
Protective Life Insurance Company | Dai-ichi Life | insurance violation | 2003 | MA-INS | $30,000 |
American Zurich Insurance Company | Zurich Insurance | insurance violation | 2003 | MA-INS | $40,000 |
American Home Assurance Company | American International Group | insurance violation | 2003 | MA-INS | $12,500 |
Allstate Life Insurance Company | Allstate | insurance violation | 2004 | MA-INS | $25,000 |
American Automobile Insurance Company | Allianz | insurance violation | 2005 | MA-INS | $9,000 |
Aon Risk Services Inc. of Pennsylvania | Aon | insurance violation | 2005 | MA-INS | $19,000 |
New England Life Insurance Company | Brighthouse Financial | insurance violation | 2005 | MA-INS | $13,000 |
Amica Mutual Insurance Co. | Amica Mutual Insurance | insurance violation | 2007 | MA-INS | $12,000 |
Progressive Direct Insurance Co. | Progressive | insurance violation | 2011 | MA-INS | $125,000 |
Aon Risk Services Northeast | Aon | insurance violation | 2014 | MA-INS | $15,000 |
State Street Global Advisors | State Street Corp. | investor protection violation | 2012 | MA-SEC | $5,000,000 |
RBC Capital Markets, LLC | Royal Bank of Canada | investor protection violation | 2012 | MA-SEC | $250,000 |
Citigroup Global Markets Inc. | Citigroup | investor protection violation | 2012 | MA-SEC | $2,000,000 |
Morgan Stanley & Co. LLC | Morgan Stanley | investor protection violation | 2012 | MA-SEC | $5,000,000 |
LPL Financial LLC | LPL Financial | investor protection violation | 2013 | MA-SEC | $500,000 |
Deutsche Bank Securities Inc. | Deutsche Bank | investor protection violation | 2013 | MA-SEC | $17,500,000 |
Ameriprise Financial Services, Inc. | Ameriprise Financial | investor protection violation | 2013 | MA-SEC | $400,000 |
Lincoln Financial Advisors Corp. | Lincoln National | investor protection violation | 2013 | MA-SEC | $100,000 |
Citigroup Global Markets Inc. | Citigroup | investor protection violation | 2013 | MA-SEC | $30,000,000 |
Merrill Lynch, Pierce, Fenner & Smith Inc. | Bank of America | investor protection violation | 2015 | MA-SEC | $2,500,000 |
LPL Financial LLC | LPL Financial | investor protection violation | 2015 | MA-SEC | $250,000 |
LPL Financial LLC | LPL Financial | investor protection violation | 2017 | MA-SEC | $975,000 |
Investment Professionals, Inc. | Ameriprise Financial | investor protection violation | 2017 | MA-SEC | $100,000 |
Morgan Stanley Smith Barney LLC | Morgan Stanley | investor protection violation | 2017 | MA-SEC | $1,000,000 |
LPL Financial LLC | LPL Financial | investor protection violation | 2017 | MA-SEC | $1,000,000 |
MetLife, Inc. | MetLife | investor protection violation | 2018 | MA-SEC | $1,000,000 |
LPL Financial LLC | LPL Financial | investor protection violation | 2019 | MA-SEC | $1,100,000 |
Wells Fargo Clearing Services, LLC | Wells Fargo | investor protection violation | 2019 | MA-SEC | $450,000 |
Morgan Stanley Smith Barney LLC | Morgan Stanley | investor protection violation | 2019 | MA-SEC | $382,500 |
Next Financial Group, Inc. | Atria Wealth Solutions | investor protection violation | 2019 | MA-SEC | $150,000 |
MML Investors Services, LLC | Massachusetts Mutual Life Insurance | investor protection violation | 2021 | MA-SEC | $4,000,000 |
MML Investors Services, LLC | Massachusetts Mutual Life Insurance | investor protection violation | 2022 | MA-SEC | $262,092 |
STIFEL, NICOLAUS & COMPANY, INC. | Stifel Financial | investor protection violation | 2023 | MA-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 |
Robinhood Financial LLC | Robinhood Markets | investor protection violation | 2024 | MA-SEC | $7,500,000 |
Arch Insurance Company | Arch Capital | consumer protection violation | 2010 | MD-AG | $460,000 |
Deutsche Bank | Deutsche Bank | toxic securities abuses | 2017 | MD-AG | $95,000,000 |
Encore Capital Group Inc., Midland Credit Management, Inc. and Midland Funding LLC | Encore Capital Group | consumer protection violation | 2009 | MD-AG | $998,000 |
JPMorgan Chase Bank | JPMorgan Chase | mortgage abuses | 2015 | MD-AG | $400,000 |
Nationstar Mortgage LLC | Mr. Cooper Group | consumer protection violation | 2018 | MD-AG | $760,000 |
Wachovia Capital Markets, LLC | Wells Fargo | investor protection violation | 2007 | MD-AG | $402,386 |
Wells Fargo | Wells Fargo | mortgage abuses | 2012 | MD-AG | $940,056 |
Wells Fargo Bank | Wells Fargo | mortgage abuses | 2015 | MD-AG | $13,800,000 |
Wells Fargo & Co. | Wells Fargo | investor protection violation | 2020 | MD-AG | $20,000,000 |
RBS Financial Products, Inc. | NatWest Group PLC | toxic securities abuses | 2020 | MD-AG | $18,000,000 |
WHEELABRATOR BALTIMORE | Macquarie | air pollution violation | 2011 | MD-ENV | $77,500 |
SYNAGRO-PATAPSCO PELLETIZER | Goldman Sachs | air pollution violation | 2008 | MD-ENV | $27,000 |
WHEELABRATOR BALTIMORE | Macquarie | air pollution violation | 2003 | MD-ENV | $17,500 |
Ace Cash Express Inc. | ACE Cash Express | consumer protection violation | 2002 | MD-FIN | $164,000 |
Litton Loan Servicing | Ocwen Financial | consumer protection violation | 2010 | MD-FIN | $71,000 |
Saxon Mortgage Services | Ocwen Financial | consumer protection violation | 2010 | MD-FIN | $71,000 |
CashCall, Inc. and Western Sky Financial, LLC et al. | CashCall Inc. | payday lending violation | 2014 | MD-FIN | $100,018 |
ACE Cash Express, Inc. | ACE Cash Express | consumer protection violation | 2015 | MD-FIN | $353,286 |
Allstate Indemnity Co. et al. | Allstate | insurance violation | 2010 | MD-INS | $10,000 |
American Modern Home Insurance Co. | Munich Re | insurance violation | 2010 | MD-INS | $5,000 |
American General Life and Accident Insurance Co. | American International Group | insurance violation | 2011 | MD-INS | $7,000 |
Travelers Casualty and Surety Company of America | Travelers | insurance violation | 2011 | MD-INS | $5,000 |
United of Omaha Life Insurance Co. | Mutual of Omaha | insurance violation | 2011 | MD-INS | $5,500 |
Gerber Life Insurance Co. | Western & Southern Financial Group | insurance violation | 2011 | MD-INS | $5,000 |
Monumental Life Insurance Co. | Aegon | insurance violation | 2011 | MD-INS | $9,000 |
Transamerica Life Insurance Co. | Aegon | insurance violation | 2011 | MD-INS | $5,000 |
Zurich American Insurance Co. et al. | Zurich Insurance | insurance violation | 2011 | MD-INS | $30,000 |
Bankers Life and Casualty Co. | CNO Financial | insurance violation | 2011 | MD-INS | $10,000 |
Commonwealth Land Title Insurance Co. | Fidelity National Financial | insurance violation | 2011 | MD-INS | $30,000 |
Commonwealth Land Title Insurance Co. et al. | Fidelity National Financial | insurance violation | 2011 | MD-INS | $30,000 |
Old Republic National Title Insurance Co. | Old Republic International | insurance violation | 2011 | MD-INS | $7,500 |
AMEX Assurance Co. | American Express | insurance violation | 2011 | MD-INS | $10,000 |
Federal Insurance Co. et al. | Chubb Limited | insurance violation | 2011 | MD-INS | $25,000 |
United States Life Insurance Company In the City of New York | American International Group | insurance violation | 2011 | MD-INS | $5,000 |
National General Assurance Co. | Allstate | insurance violation | 2011 | MD-INS | $50,000 |
Zurich American Insurance Co. | Zurich Insurance | insurance violation | 2011 | MD-INS | $125,000 |
The Prudential Insurance Company of America | Prudential Financial | insurance violation | 2011 | MD-INS | $75,000 |
Hartford Accident and Indemnity Co. et al. | Hartford Financial Services | insurance violation | 2011 | MD-INS | $125,000 |
Commonwealth Land Title Insurance Co. | Fidelity National Financial | insurance violation | 2011 | MD-INS | $30,000 |
First American Title Insurance Co. | First American Financial | insurance violation | 2011 | MD-INS | $15,000 |
Federal Insurance Co. et al. | Chubb Limited | insurance violation | 2011 | MD-INS | $15,000 |
State Farm Mutual Automobile Insurance Co. et al. | State Farm Insurance | insurance violation | 2011 | MD-INS | $10,000 |
Praetorian Insurance Co. and Redland Insurance Co. | QBE Insurance | insurance violation | 2011 | MD-INS | $10,000 |
Titan Indemnity Co. and Victoria Fire and Casualty Co. | Nationwide | insurance violation | 2011 | MD-INS | $20,000 |
Liberty Mutual Fire Insurance Co. et al. | Liberty Mutual Insurance | insurance violation | 2011 | MD-INS | $15,000 |
Liberty Mutual Fire Insurance Co. et al. | Liberty Mutual Insurance | insurance violation | 2011 | MD-INS | $15,000 |
Hartford Life and Accident Insurance Co. | Hartford Financial Services | insurance violation | 2011 | MD-INS | $95,000 |
Hartford Life and Accident Insurance Co. | Hartford Financial Services | insurance violation | 2011 | MD-INS | $12,500 |
Allstate Insurance Co. and Allstate Indemnity Co. | Allstate | insurance violation | 2011 | MD-INS | $40,000 |
Allstate Insurance Co. and Allstate Indemnity Co. | Allstate | insurance violation | 2011 | MD-INS | $40,000 |
Metropolitan Life Insurance Co. | MetLife | insurance violation | 2011 | MD-INS | $125,000 |
Banner Life Insurance Co. | Legal & General Group PLC | insurance violation | 2011 | MD-INS | $8,300 |
American Family Life Assurance Company of Columbus | Aflac | insurance violation | 2012 | MD-INS | $200,000 |
Metropolitan Life Insurance Co. | MetLife | insurance violation | 2012 | MD-INS | $11,400 |
Unum Life Insurance Company of America | Unum | insurance violation | 2012 | MD-INS | $19,000 |
Metropolitan Life Insurance Co. | MetLife | insurance violation | 2012 | MD-INS | $175,000 |
Thrivent Financial For Lutherans | Thrivent Financial | insurance violation | 2012 | MD-INS | $8,000 |
The United States Life Insurance Company In the City of New York | American International Group | insurance violation | 2012 | MD-INS | $75,000 |
Erie Insurance Exchange | Erie Indemnity | insurance violation | 2012 | MD-INS | $50,000 |
Metropolitan Life Insurance Co. | MetLife | insurance violation | 2012 | MD-INS | $5,000 |
Bankers Life and Casualty Co. | CNO Financial | insurance violation | 2012 | MD-INS | $15,000 |
Allstate Insurance Co. | Allstate | insurance violation | 2013 | MD-INS | $17,954 |