LPL Financial, LLC | LPL Financial | investor protection violation | 2015 | NH-BSR | $750,000 |
Wells Fargo Advisors Financial Network, LLC | Wells Fargo | investor protection violation | 2016 | NH-BSR | $35,000 |
Ameriprise Financial Services, Inc. | Ameriprise Financial | investor protection violation | 2016 | NH-BSR | $30,800 |
Waddell & Reed, Inc. | Macquarie | investor protection violation | 2016 | NH-BSR | $900,000 |
NYLIFE Securities LLC | New York Life Insurance | investor protection violation | 2017 | NH-BSR | $7,500 |
State Street Bank and Trust Company | State Street Corp. | investor protection violation | 2018 | NH-BSR | $325,000 |
Morgan Stanley Smith Barney, LLC | Morgan Stanley | investor protection violation | 2018 | NH-BSR | $983,284 |
Santander Securities, LLC | Banco Santander | investor protection violation | 2018 | NH-BSR | $31,562 |
Berthel Fisher & Company Financial Services, Inc | Berthel Fisher | investor protection violation | 2019 | NH-BSR | $415,407 |
Santander Securities, LLC | Banco Santander | investor protection violation | 2019 | NH-BSR | $50,000 |
NEXT Financial Group, Inc | Atria Wealth Solutions | investor protection violation | 2019 | NH-BSR | $325,000 |
Solium Financial Services LLC | Morgan Stanley | investor protection violation | 2020 | NH-BSR | $90,000 |
LPL Financial LLC | LPL Financial | investor protection violation | 2020 | NH-BSR | $976,000 |
E*Trade Securities LLC | Morgan Stanley | investor protection violation | 2021 | NH-BSR | $5,000 |
Merrill Lynch, Pierce, Fenner & Smith Inc. | Bank of America | investor protection violation | 2020 | NH-BSR | $26,250,000 |
LPL Financial LLC | LPL Financial | investor protection violation | 2022 | NH-BSR | $10,307 |
Merrill Lynch, Pierce, Fenner and Smith Inc. | Bank of America | privacy violation | 2023 | NH-BSR | $700,000 |
Northwestern Mutual Investment Services, LLC | Northwestern Mutual | investor protection violation | 2023 | NH-BSR | $200,000 |
Prospect Mortgage, LLC | Homebridge Financial Services | consumer protection violation | 2012 | NH-BKG | $101,185 |
Seterus, Inc. | Mr. Cooper Group | consumer protection violation | 2014 | NH-BKG | $10,000 |
Santander Consumer USA Inc. | Banco Santander | consumer protection violation | 2015 | NH-BKG | $75,000 |
Prosper Funding LLC and Prosper Marketplace, Inc. | Prosper Marketplace | consumer protection violation | 2016 | NH-BKG | $39,000 |
CashCall, Inc. | CashCall Inc. | consumer protection violation | 2019 | NH-BKG | $188,880 |
CashCall Inc. and WS Funding LLC | CashCall Inc. | consumer protection violation | 2019 | NH-BKG | $188,800 |
Navient Corp. and Navient Solutions, LLC | Navient | consumer protection violation | 2022 | NH-AG | $3,590,988 |
American Family Mutual Insurance Company | American Family Insurance | insurance violation | 2016 | NE-DOI | $15,000 |
American Family Insurance Company | American Family Insurance | insurance violation | 2018 | NE-DOI | $15,000 |
United States Fire Insurance Company | Fairfax Financial Holdings | insurance violation | 2018 | NE-DOI | $7,500 |
Transamerica Life Insurance Company | Aegon | insurance violation | 2022 | NE-DOI | $25,000 |
U.S. Bancorp Piper Jaffray Inc. | Piper Sandler | investor protection violation | 2002 | NE-DBF | $5,000 |
A.G. Edwards & Sons Inc. | Wells Fargo | investor protection violation | 2003 | NE-DBF | $20,000 |
Pruco Securities, LLC | Prudential Financial | investor protection violation | 2006 | NE-DBF | $12,500 |
Eaton Vance Income Fund of Boston | Morgan Stanley | investor protection violation | 2006 | NE-DBF | $17,000 |
CitiFinancial, Inc. | Citigroup | consumer protection violation | 2007 | NE-DBF | $81,500 |
Great Plains Specialty Finance, Inc., d/b/a Check 'n Go | CNG Financial | consumer protection violation | 2007 | NE-DBF | $10,200 |
Berthel, Fisher & Company Financial Services, Inc. | Berthel Fisher | investor protection violation | 2007 | NE-DBF | $5,000 |
American General Financial Services, Inc. | OneMain Holdings | consumer protection violation | 2008 | NE-DBF | $30,000 |
Ameritas Investment Corp. | Ameritas Mutual Holding Company | investor protection violation | 2008 | NE-DBF | $11,000 |
Cadaret, Grant & Co., Inc. | Atria Wealth Solutions | investor protection violation | 2008 | NE-DBF | $10,000 |
Household Finance Corpoation | HSBC | consumer protection violation | 2008 | NE-DBF | $55,000 |
Great Plains Specialty Finance, Inc., d/b/a Check 'n Go | CNG Financial | consumer protection violation | 2009 | NE-DBF | $42,850 |
Great Plains Specialty Finance, Inc., d/b/a Check 'n Go | CNG Financial | consumer protection violation | 2009 | NE-DBF | $5,500 |
Great Plains Specialty Finance, Inc., d/b/a Check 'n Go | CNG Financial | consumer protection violation | 2009 | NE-DBF | $5,250 |
CIT Group | First Citizens BancShares | consumer protection violation | 2009 | NE-DBF | $52,000 |
Great Plains Specialty Finance, Inc., d/b/a Check 'n Go | CNG Financial | consumer protection violation | 2009 | NE-DBF | $29,800 |
Great Plains Specialty Finance, Inc., d/b/a Check 'n Go | CNG Financial | consumer protection violation | 2009 | NE-DBF | $24,400 |
Great Plains Specialty Finance, Inc., d/b/a Check 'n Go | CNG Financial | consumer protection violation | 2009 | NE-DBF | $11,050 |
Ace Cash Express, Inc. | ACE Cash Express | consumer protection violation | 2009 | NE-DBF | $15,550 |
Ace Cash Express, Inc., | ACE Cash Express | consumer protection violation | 2010 | NE-DBF | $7,000 |
Ace Cash Express, Inc. | ACE Cash Express | consumer protection violation | 2010 | NE-DBF | $11,950 |
Ace Cash Express, Inc. | ACE Cash Express | consumer protection violation | 2010 | NE-DBF | $8,550 |
Ace Cash Express, Inc. | ACE Cash Express | consumer protection violation | 2010 | NE-DBF | $6,550 |
Great Plains Specialty Finance, Inc., d/b/a Check 'n Go | CNG Financial | consumer protection violation | 2010 | NE-DBF | $18,350 |
Ace Cash Express, Inc. | ACE Cash Express | consumer protection violation | 2012 | NE-DBF | $5,400 |
American Express Travel Related Services Company, Inc. | American Express | consumer protection violation | 2011 | NE-DBF | $35,000 |
Ace Cash Express, Inc. | ACE Cash Express | consumer protection violation | 2012 | NE-DBF | $7,000 |
Home Loan Center Inc., d/b/a LendingTree Loans | LendingTree | consumer protection violation | 2012 | NE-DBF | $6,000 |
Ace Cash Express, Inc. | ACE Cash Express | consumer protection violation | 2012 | NE-DBF | $5,800 |
Securian Financial Services, Inc. | Securian Financial | consumer protection violation | 2013 | NE-DBF | $5,500 |
Ameriprise Financial Services Inc. | Ameriprise Financial | consumer protection violation | 2013 | NE-DBF | $10,000 |
Edward D. Jones & Co., L.P. | Jones Financial | consumer protection violation | 2013 | NE-DBF | $12,500 |
Stifel, Nicolaus & Company Inc. | Stifel Financial | investor protection violation | 2014 | NE-DBF | $61,000 |
Ace Cash Express, Inc. | ACE Cash Express | consumer protection violation | 2014 | NE-DBF | $18,900 |
Great Plains Specialty Finance, Inc., d/b/a Check 'n Go | CNG Financial | consumer protection violation | 2015 | NE-DBF | $5,600 |
Great Plains Specialty Finance, Inc., d/b/a Check 'n Go | CNG Financial | consumer protection violation | 2015 | NE-DBF | $6,100 |
Ace Cash Express, Inc. | ACE Cash Express | consumer protection violation | 2015 | NE-DBF | $5,450 |
Ace Cash Express, Inc. | ACE Cash Express | consumer protection violation | 2015 | NE-DBF | $20,500 |
Great Plains Specialty Finance, Inc., d/b/a Check 'n Go | CNG Financial | consumer protection violation | 2015 | NE-DBF | $9,050 |
Great Plains Specialty Finance, Inc., d/b/a Check 'n go | CNG Financial | consumer protection violation | 2016 | NE-DBF | $5,100 |
Great Plains Specialty Finance, Inc., d/b/a Check 'n go | CNG Financial | consumer protection violation | 2017 | NE-DBF | $49,600 |
Great Plains Specialty Finance, Inc., d/b/a Check 'n Go | CNG Financial | consumer protection violation | 2018 | NE-DBF | $9,000 |
Great Plains Specialty Finance, Inc. d/b/a Check 'n Go | CNG Financial | consumer protection violation | 2019 | NE-DBF | $12,850 |
Great Plains Specialty Finance, Inc. d/b/a Check 'n Go | CNG Financial | consumer protection violation | 2019 | NE-DBF | $13,500 |
Solium Financial Services LLC | Morgan Stanley | consumer protection violation | 2019 | NE-DBF | $14,000 |
Great Plains Specialty Finance, Inc. dba Check 'n Go | CNG Financial | consumer protection violation | 2020 | NE-DBF | $9,700 |
US Bancorp Piper Jaffray Inc. | Piper Sandler | investor protection violation | 2001 | ND-SEC | $23,250 |
Edward D. Jones & Co. LP | Jones Financial | investor protection violation | 2003 | ND-SEC | $7,000 |
Berthel Fisher and Company Financial Services Inc. | Berthel Fisher | investor protection violation | 2003 | ND-SEC | $12,303 |
Principal Life Insurance Company | Principal Financial | investor protection violation | 2004 | ND-SEC | $30,000 |
Berthel Fisher and Company Financial Services Inc. | Berthel Fisher | investor protection violation | 2004 | ND-SEC | $20,000 |
Piper Jaffray & Co. | Piper Sandler | investor protection violation | 2004 | ND-SEC | $20,000 |
Piper Jaffray & Co. | Piper Sandler | investor protection violation | 2004 | ND-SEC | $17,000 |
Piper Jaffray & Co. | Piper Sandler | investor protection violation | 2005 | ND-SEC | $30,000 |
Piper Jaffray & Co. | Piper Sandler | investor protection violation | 2006 | ND-SEC | $17,204 |
Investment Centers of America Inc. | LPL Financial | investor protection violation | 2006 | ND-SEC | $6,000 |
Berthel Fisher and Company Financial Services Inc. | Berthel Fisher | investor protection violation | 2006 | ND-SEC | $8,000 |
Piper Jaffray & Co. | Piper Sandler | investor protection violation | 2006 | ND-SEC | $229,000 |
Wachovia Securities LLC | Wells Fargo | investor protection violation | 2007 | ND-SEC | $75,000 |
Conseco Senior Health Insurance Company | CNO Financial | insurance violation | 2001 | ND-INS | $5,000 |
Farmers Insurance Exchange | Farmers Insurance Exchange | insurance violation | 2007 | ND-INS | $750,000 |
American Family Mutual Insurance Company | American Family Insurance | insurance violation | 2009 | ND-INS | $5,000 |
Austin Mutual Insurance Company | American Family Insurance | insurance violation | 2014 | ND-INS | $10,000 |
Producers Agriculture Insurance Company | Tokio Marine | insurance violation | 2022 | ND-INS | $5,000 |
UBS | UBS | toxic securities abuses | 2016 | NCUA | $69,800,000 |
Credit Suisse | UBS | toxic securities abuses | 2016 | NCUA | $50,300,000 |
Morgan Stanley | Morgan Stanley | toxic securities abuses | 2015 | NCUA | $225,000,000 |
Wachovia | Wells Fargo | toxic securities abuses | 2015 | NCUA | $53,000,000 |
Barclays Capital Inc. | Barclays | toxic securities abuses | 2015 | NCUA | $325,000,000 |
Royal Bank of Scotland plc | NatWest Group PLC | toxic securities abuses | 2015 | NCUA | $129,600,000 |
Bank of America | Bank of America | toxic securities abuses | 2013 | NCUA | $165,000,000 |
HSBC | HSBC | toxic securities abuses | 2012 | NCUA | $5,250,000 |