| ReliaStar Life Insurance Company of New York | Voya Financial | insurance violation | 2020 | NY-DFS | $169,000 |
| Bankers Conseco Life Insurance Company | CNO Financial | insurance violation | 2020 | NY-DFS | $75,000 |
| William Penn Life Insurance Company of New York | Legal & General Group PLC | insurance violation | 2020 | NY-DFS | $110,000 |
| National Integrity Life Insurance Company | Western & Southern Financial Group | insurance violation | 2020 | NY-DFS | $20,000 |
| Ameritas Life Insurance Corp. of New York | Ameritas Mutual Holding Company | insurance violation | 2020 | NY-DFS | $84,668 |
| Travelers Casualty and Surety Company of America | Travelers | insurance violation | 2021 | NY-DFS | $75,000 |
| National Union Fire Insurance Company of Pittsburgh, PA. et al. | American International Group | insurance violation | 2021 | NY-DFS | $50,000 |
| Nationwide Life Insurance Company | Nationwide | insurance violation | 2022 | NY-DFS | $5,640,000 |
| Zurich American Insurance Company | Zurich Insurance | insurance violation | 2022 | NY-DFS | $2,200,000 |
| Progressive Direct Insurance Company | Progressive | insurance violation | 2022 | NY-DFS | $2,000,000 |
| Erie Insurance Company and Erie Insurance Company of New York | Erie Indemnity | insurance violation | 2021 | NY-DFS | $561,900 |
| John Hancock Life & Health Insurance Company | Manulife Financial | insurance violation | 2022 | NY-DFS | $26,300,000 |
| Banner Life Insurance Company | Legal & General Group PLC | insurance violation | 2022 | NY-DFS | $3,500,000 |
| National Union Fire Insurance Company of Pittsburgh, PA | American International Group | insurance violation | 2022 | NY-DFS | $477,600 |
| Erie Insurance Company of New York and Erie Insurance Company | Erie Indemnity | insurance violation | 2022 | NY-DFS | $19,000 |
| First Unum Life Insurance Company | Unum | insurance violation | 2022 | NY-DFS | $1,100,000 |
| Coinbase Inc. | Coinbase Global Inc. | anti-money-laundering deficiencies | 2023 | NY-DFS | $100,000,000 |
| Metlife Pet Insurance Services LLC fka Petfirst Healthcare LLC | MetLife | insurance violation | 2023 | NY-DFS | $129,000 |
| Progressive Casualty Insurance Company et al. | Progressive | insurance violation | 2022 | NY-DFS | $189,000 |
| Amica Mutual Insurance Company | Amica Mutual Insurance | insurance violation | 2022 | NY-DFS | $200,000 |
| American Family Connect Insurance Company | American Family Insurance | insurance violation | 2022 | NY-DFS | $50,000 |
| OneMain Financial Group LLC | OneMain Holdings | privacy violation | 2023 | NY-DFS | $4,250,000 |
| Marsh USA Inc. | Marsh & McLennan | insurance violation | 2023 | NY-DFS | $123,100 |
| Arthur J. Gallagher & Co. Insurance Brokers of California, Inc. | Arthur J. Gallagher & Co. | insurance violation | 2023 | NY-DFS | $49,850 |
| Harleysville Insurance Company | Nationwide | insurance violation | 2023 | NY-DFS | $45,000 |
| Nationwide Agribusiness Insurance Company | Nationwide | insurance violation | 2023 | NY-DFS | $50,000 |
| Aon Risk Services Central Inc. | Aon | insurance violation | 2023 | NY-DFS | $12,000 |
| Tokio Marine America Insurance Company | Tokio Marine | insurance violation | 2023 | NY-DFS | $360,000 |
| Aon Risk Services Northeast Inc. | Aon | insurance violation | 2023 | NY-DFS | $215,725 |
| First American Title Insurance Company | First American Financial | privacy violation | 2023 | NY-DFS | $1,000,000 |
| Arthur J Gallagher & Co. Insurance Brokers of California Inc. | Arthur J. Gallagher & Co. | insurance violation | 2023 | NY-DFS | $45,300 |
| Industrial and Commercial Bank of China Ltd. | Industrial and Commercial Bank of China | banking violation | 2024 | NY-DFS | $30,000,000 |
| Mid-Century Insurance Company | Zurich Insurance | insurance violation | 2024 | NY-DFS | $150,000 |
| Transamerica Financial Life Insurance Company | Aegon | insurance violation | 2023 | NY-DFS | $120,000 |
| ACE American Insurance Company ET AL. | Chubb Limited | False Claims Act and related | 2010 | NY-AG | $70,000,000 |
| Affinion Group, Inc. | JPMorgan Chase | consumer protection violation | 2010 | NY-AG | $8,000,000 |
| Alliance Capital Management | Equitable Holdings | investor protection violation | 2003 | NY-AG | (*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $600,000,000 |
| American Express Co. | American Express | consumer protection violation | 2003 | NY-AG | $3,285,000 |
| American International Group | American International Group | price-fixing or anti-competitive practices | 2006 | NY-AG | (*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $1,619,000,000 |
| AXA Equitable Life Insurance Company | Equitable Holdings | insurance violation | 2012 | NY-AG | $850,000 |
| Banc of America Capital Management LLC et al. | Bank of America | investor protection violation | 2004 | NY-AG | (*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $375,000,000 |
| Banc One Investment Advisors Corporation | JPMorgan Chase | investor protection violation | 2004 | NY-AG | (*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $90,000,000 |
| Bank of America Merrill Lynch | Bank of America | investor protection violation | 2018 | NY-AG | $42,000,000 |
| Bank of New York Mellon | Bank of New York Mellon | banking violation | 2015 | NY-AG | $167,500,000 |
| Barclays Capital Inc. | Barclays | investor protection violation | 2016 | NY-AG | $35,000,000 |
| BB&T Leasing Company | Truist Financial | consumer protection violation | 2005 | NY-AG | $159,097 |
| Canadian Imperial Bank of Commerce | Canadian Imperial Bank of Commerce | investor protection violation | 2005 | NY-AG | (*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $125,000,000 |
| Chase Bank USA, N.A. | JPMorgan Chase | consumer protection violation | 2009 | NY-AG | $4,400,000 |
| CIT Technology Financing Services, Inc. | First Citizens BancShares | consumer protection violation | 2004 | NY-AG | $4,200,000 |
| Citibank | Citigroup | consumer protection violation | 2007 | NY-AG | $2,000,000 |
| Citibank | Citigroup | gambling violation | 2002 | NY-AG | $100,000 |
| Citigroup Global Markets, Inc. | Citigroup | consumer protection violation | 2014 | NY-AG | $16,000,000 |
| Citigroup Global Markets, Inc. | Citigroup | consumer protection violation | 2015 | NY-AG | $4,500,000 |
| Citigroup Global Markets, Inc. | Citigroup | investor protection violation | 2017 | NY-AG | $23,500,000 |
| Conseco, Inc. | CNO Financial | investor protection violation | 2004 | NY-AG | (*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $15,000,000 |
| Countrywide Home Loans, Inc., | Bank of America | consumer protection violation | 2006 | NY-AG | $3,200,000 |
| Credit Suisse Securities | UBS | investor protection violation | 2016 | NY-AG | $30,000,000 |
| Credit Suisse Securities (USA) LLC | UBS | investor protection violation | 2018 | NY-AG | (*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $10,000,000 |
| DeLage Landen Financial Services | Rabobank | consumer protection violation | 2004 | NY-AG | $405,000 |
| Deutsche Bank AG | Deutsche Bank | investor protection violation | 2006 | NY-AG | (*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $208,000,000 |
| Deutsche Bank Securities, Inc. | Deutsche Bank | investor protection violation | 2016 | NY-AG | (*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $37,000,000 |
| Dreyfus Corporation | Bank of New York Mellon | investor protection violation | 2000 | NY-AG | $2,000,000 |
| Encore Capital Group, Inc. | Encore Capital Group | consumer protection violation | 2015 | NY-AG | $675,000 |
| Fannie Mae | Fannie Mae | consumer protection violation | 2008 | NY-AG | $12,000,000 |
| Federated Investors, Inc. | Federated Hermes | investor protection violation | 2005 | NY-AG | (*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $100,000,000 |
| First Niagara Bank | KeyCorp | consumer protection violation | 2003 | NY-AG | $33,500 |
| Five Star Bank | Financial Institutions Inc. | discriminatory practices (non-employment) | 2015 | NY-AG | $150,000 |
| FleetBoston Financial Corp. | Bank of America | investor protection violation | 2004 | NY-AG | (*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $300,000,000 |
| FleetBoston Financial Corporation | Bank of America | privacy violation | 2001 | NY-AG | $100,000 |
| Fred Alger Management, Inc. | Alger Associates | investor protection violation | 2007 | NY-AG | (*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $45,000,000 |
| Freddie Mac | Freddie Mac (Federal Home Loan Mortgage Corporation) | consumer protection violation | 2008 | NY-AG | $12,000,000 |
| GMAC Bank | Ally Financial | consumer protection violation | 2008 | NY-AG | $200,000 |
| Guardian Life Insurance Company of America | Guardian Life Insurance | discriminatory practices (non-employment) | 2009 | NY-AG | $500,000 |
| H&R Block | H&R Block | consumer protection violation | 2010 | NY-AG | $12,150,000 |
| H&R Block | H&R Block | consumer protection violation | 2008 | NY-AG | $245,000 |
| Healthnow New York | Highmark Inc. | consumer protection violation | 2016 | NY-AG | $60,000 |
| HealthNow New York | Highmark Inc. | consumer protection violation | 2005 | NY-AG | $5,000 |
| HealthNow NewYork, Inc. | Highmark Inc. | consumer protection violation | 2009 | NY-AG | $212,500 |
| HSBC Bank USA, N.A. | HSBC | environmental violation | 2007 | NY-AG | $918,000 |
| Massachusetts Financial Services Co. | Sun Life Financial | investor protection violation | 2004 | NY-AG | $350,000,000 |
| MBIA, Inc. | MBIA | investor protection violation | 2007 | NY-AG | $25,000,000 |
| Merrill Lynch | Bank of America | investor protection violation | 2002 | NY-AG | $100,000,000 |
| Metropolitan Life Insurance Company | MetLife | consumer protection violation | 2006 | NY-AG | $19,000,000 |
| Morgan Stanley | Morgan Stanley | toxic securities abuses | 2016 | NY-AG | $550,000,000 |
| Mutual of Omaha | Mutual of Omaha | consumer protection violation | 2002 | NY-AG | $10,000 |
| National City Commercial Capital Corporation | PNC Financial Services | consumer protection violation | 2006 | NY-AG | $817,700 |
| Nelnet Inc. | Nelnet | consumer protection violation | 2007 | NY-AG | $2,000,000 |
| Nelnet, Inc. | Nelnet | consumer protection violation | 2008 | NY-AG | $200,000 |
| PayPal | PayPal Holdings | consumer protection violation | 2002 | NY-AG | $200,000 |
| PayPal | PayPal Holdings | consumer protection violation | 2004 | NY-AG | $150,000 |
| Prudential Equity Group | Prudential Financial | investor protection violation | 2006 | NY-AG | (*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $270,000,000 |
| Royal Bank of Scotland | NatWest Group PLC | toxic securities abuses | 2018 | NY-AG | $500,000,000 |
| Sallie Mae | SLM Corp. | consumer protection violation | 2007 | NY-AG | $2,000,000 |
| Santander Bank, N.A. | Banco Santander | consumer protection violation | 2015 | NY-AG | $500,000 |
| Student Loan Xpress, Inc. | First Citizens BancShares | consumer protection violation | 2007 | NY-AG | $3,000,000 |
| UBS Financial Services, Inc. | UBS | investor protection violation | 2007 | NY-AG | $23,300,000 |
| UBS Securities LLC | UBS | toxic securities abuses | 2018 | NY-AG | $230,000,000 |
| UnumProvident Corporation | Unum | consumer protection violation | 2006 | NY-AG | $17,400,000 |
| US Bank NA | U.S. Bancorp | consumer protection violation | 2003 | NY-AG | $33,500 |
| USAA Federal Savings Bank | USAA | consumer protection violation | 2003 | NY-AG | $33,500 |
| Waddell & Reed, Inc. | Macquarie | investor protection violation | 2006 | NY-AG | (*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $75,000,000 |
