HSBC | HSBC | toxic securities abuses | 2012 | NCUA | $5,250,000 |
Citigroup | Citigroup | toxic securities abuses | 2011 | NCUA | $20,500,000 |
Deutsche Bank Securities | Deutsche Bank | toxic securities abuses | 2011 | NCUA | $145,000,000 |
Nomura Asset Acceptance Corporation and Nomura Home Equity Loan, Inc. | Nomura | toxic securities abuses | 2016 | NCUA | $3,000,000 |
UBS | UBS | toxic securities abuses | 2017 | NCUA | $445,000,000 |
Deutsche Bank Securities Inc. | Deutsche Bank | investor protection violation | 2010 | NC-SEC | $7,800,000 |
Provident Life and Accident Insurance Co. | Unum | insurance violation | 2000 | NC-INS | $80,000 |
Allstate Insurance Company | Allstate | insurance violation | 2010 | NC-INS | $680,718 |
Hartford Life and Annuity Insurance Company | Hartford Financial Services | insurance violation | 2012 | NC-INS | $91,500 |
American Modern Home Insurance Company | Munich Re | insurance violation | 2012 | NC-INS | $1,860,000 |
Time Insurance Company | Haven Holdings | insurance violation | 2013 | NC-INS | $524,000 |
Gerber Life Insurance Co. | Western & Southern Financial Group | insurance violation | 2020 | NC-INS | $3,635,665 |
Brown & Brown Insurance Agency of Virginia, Inc. | Brown & Brown | insurance violation | 2014 | NC-INS | $7,500 |
Asset Acceptance, LLC | Encore Capital Group | consumer protection violation | 2013 | NC-INS | $8,000 |
IAC Group North America | Invesco | environmental violation | 2016 | NC-ENV | $6,751 |
Countrywide Home Loans Inc. | Bank of America | consumer protection violation | 2008 | NC-BKG | $1,611,500 |
Western Sky Financial LLC et al. | CashCall Inc. | consumer protection violation | 2016 | NC-BKG | $9,275,000 |
James B. Nutter & Company | James B. Nutter & Company | consumer protection violation | 2024 | NC-BKG | $10,000 |
CashCall and Western Sky | CashCall Inc. | consumer protection violation | 2016 | NC-AG | $9,000,000 |
First National Bank of Pennsylvania | F.N.B. Corporation | mortgage abuses | 2024 | NC-AG | (*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $13,500,000 |
Allstate | Allstate | insurance violation | 2010 | MULTI-FIN | $10,000,000 |
Allstate Life Insurance Company | Allstate | insurance violation | 2018 | MULTI-FIN | $150,000 |
American Bankers Insurance Group Inc. | Assurant | insurance violation | 2001 | MULTI-FIN | $3,000,000 |
American Family Life Assurance Company of Columbus | Aflac | insurance violation | 2012 | MULTI-FIN | $1,600,000 |
American Family Life Insurance Company of Columbus | Aflac | insurance violation | 2018 | MULTI-FIN | $2,500,000 |
American Family Life Insurance Company of Columbus | Aflac | insurance violation | 2017 | MULTI-FIN | $350,000 |
American General | American International Group | insurance violation | 2000 | MULTI-FIN | $7,500,000 |
American International Group | American International Group | insurance violation | 2010 | MULTI-FIN | $146,500,000 |
American International Group | American International Group | insurance violation | 2012 | MULTI-FIN | $11,000,000 |
American Modern Home Insurance Company | Munich Re | insurance violation | 2017 | MULTI-FIN | $255,000 |
American Modern Insurance Group Inc. | Munich Re | insurance violation | 2015 | MULTI-FIN | $6,000,000 |
American-Amicable Life Insurance Company | American-Amicable Group | insurance violation | 2006 | MULTI-FIN | $60,000,000 |
Ameriprise Financial Services Inc. | Ameriprise Financial | investor protection violation | 2009 | MULTI-FIN | $720,000 |
Amerisave Mortgage Corporation | AmeriSave Mortgage | investor protection violation | 2013 | MULTI-FIN | $2,300,000 |
AmSouth Investment Services Inc. | Regions Financial | investor protection violation | 2004 | MULTI-FIN | $225,000 |
Arch Insurance Company | Arch Capital | insurance violation | 2017 | MULTI-FIN | $1,017,000 |
Assurant Inc. | Assurant | insurance violation | 2016 | MULTI-FIN | $80,217,000 |
Bank of America | Bank of America | investor protection violation | 2008 | MULTI-FIN | (*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $50,000,000 |
Bankers Life and Casualty Company and BLC Financial Services, Inc. | CNO Financial | investor protection violation | 2012 | MULTI-FIN | $10,641,000 |
Bankers Life and Casualty Company | CNO Financial | insurance violation | 2012 | MULTI-FIN | $4,000,000 |
BCS Insurance Company | BCS Financial Corporation | insurance violation | 2017 | MULTI-FIN | $1,000,000 |
Bear, Stearns & Co. Inc. | JPMorgan Chase | investor protection violation | 2003 | MULTI-FIN | (*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $25,000,000 |
Cincinnati Life Insurance Company | Cincinnati Financial | insurance violation | 2004 | MULTI-FIN | $216,750 |
Citifinancial | Citigroup | housing program violation | 2010 | MULTI-FIN | $1,250,000 |
Citigroup Global Markets Inc. | Citigroup | investor protection violation | 2010 | MULTI-FIN | (*)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 |
Citigroup Global Markets Inc. | Citigroup | investor protection violation | 2003 | MULTI-FIN | (*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $150,000,000 |
Citigroup Global Markets Inc. | Citigroup | investor protection violation | 2015 | MULTI-FIN | $1,965,000 |
Conseco Life Insurance Company | CNO Financial | insurance violation | 2010 | MULTI-FIN | $11,000,000 |
Conseco Senior Health Insurance Company and Bankers Life and Casualty Company | CNO Financial | insurance violation | 2008 | MULTI-FIN | $2,342,728 |
Credit Suisse First Boston LLC | UBS | investor protection violation | 2003 | MULTI-FIN | (*)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 |
Credit Suisse Securities (USA) LLC | UBS | investor protection violation | 2008 | MULTI-FIN | $15,000,000 |
CUNA Mutual Insurance Society | CUNA Mutual | insurance violation | 2007 | MULTI-FIN | $584,622 |
Deutsche Bank Securities Inc. | Deutsche Bank | investor protection violation | 2008 | MULTI-FIN | (*)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 |
Deutsche Bank Securities Inc. | Deutsche Bank | investor protection violation | 2005 | MULTI-FIN | (*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $28,750,000 |
E*TRADE Securities LLC | Morgan Stanley | investor protection violation | 2011 | MULTI-FIN | $5,000,000 |
Generali U.S. Branch | Assicurazioni Generali | insurance violation | 2017 | MULTI-FIN | $492,000 |
Globe Life and Accident Insurance Company of Omaha, Nebraska | Globe Life Inc. | insurance violation | 2019 | MULTI-FIN | $3,300,000 |
Goldman Sachs | Goldman Sachs | investor protection violation | 2008 | MULTI-FIN | (*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $22,500,000 |
Goldman Sachs & Co. | Goldman Sachs | investor protection violation | 2003 | MULTI-FIN | (*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $25,000,000 |
HCC Life Insurance Company et al. | Tokio Marine | insurance violation | 2018 | MULTI-FIN | $5,000,000 |
Homesite Insurance Group | American Family Insurance | insurance violation | 2016 | MULTI-FIN | $500,000 |
J.P. Morgan Securities | JPMorgan Chase | investor protection violation | 2014 | MULTI-FIN | $2,800,000 |
J.P. Morgan Securities Inc. | JPMorgan Chase | investor protection violation | 2003 | MULTI-FIN | (*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $25,000,000 |
James B. Nutter & Company | James B. Nutter & Company | mortgage abuses | 2012 | MULTI-FIN | $492,050 |
Jefferson Insurance Company | Allianz | insurance violation | 2017 | MULTI-FIN | $1,800,000 |
John Hancock Life Insurance Company | Manulife Financial | insurance violation | 2012 | MULTI-FIN | $13,300,000 |
JPMorgan Chase & Co. | JPMorgan Chase | investor protection violation | 2008 | MULTI-FIN | (*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $25,000,000 |
Life Insurance Company of Georgia and Southland Life Insurance Company | Prudential PLC | insurance violation | 2002 | MULTI-FIN | $4,000,000 |
Lincoln National Life Insurance Company | Lincoln National | insurance violation | 2005 | MULTI-FIN | $264,079 |
LPL Financial LLC | LPL Financial | investor protection violation | 2015 | MULTI-FIN | $1,425,000 |
LPL Financial LLC | LPL Financial | investor protection violation | 2018 | MULTI-FIN | $26,000,000 |
Merrill Lynch | Bank of America | investor protection violation | 2010 | MULTI-FIN | $26,563,094 |
Merrill Lynch | Bank of America | investor protection violation | 2008 | MULTI-FIN | (*)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 |
Minnesota Life Insurance Company et al. | Securian Financial | insurance violation | 2016 | MULTI-FIN | $625,000 |
MLD Mortgage Inc. dba The Money Store | MLD Mortgage Inc. dba The Money Store | consumer protection violation | 2018 | MULTI-FIN | $720,000 |
Monumental Life Insurance Company | Aegon | insurance violation | 2003 | MULTI-FIN | $37,000,000 |
Morgan Keegan & Company | Raymond James Financial | toxic securities abuses | 2013 | MULTI-FIN | (*)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 |
Morgan Stanley | Morgan Stanley | investor protection violation | 2008 | MULTI-FIN | (*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $35,000,000 |
Morgan Stanley & Co. | Morgan Stanley | investor protection violation | 2009 | MULTI-FIN | $8,500,000 |
Morgan Stanley & Co. | Morgan Stanley | investor protection violation | 2003 | MULTI-FIN | (*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $25,000,000 |
Mortgage Access Corp. dba Weichert Financial Services | Weichert Financial Services | consumer protection violation | 2011 | MULTI-FIN | $3,000,000 |
National Union Fire Insurance Company of Pittsburgh, PA | American International Group | insurance violation | 2012 | MULTI-FIN | $39,000,000 |
Nationwide Life Insurance Company | Nationwide | insurance violation | 2010 | MULTI-FIN | $2,100,000 |
Nationwide Mutual Insurance Company | Nationwide | insurance violation | 2018 | MULTI-FIN | $725,000 |
New Day Financial, LLC d/b/a NewDay USA | New Day Financial LLC | investor protection violation | 2015 | MULTI-FIN | $5,160,000 |
Old Republic Insurance Company | Old Republic International | insurance violation | 2017 | MULTI-FIN | $298,958 |
ProEquities, Inc | Dai-ichi Life | investor protection violation | 2012 | MULTI-FIN | $435,000 |
Prospect Mortgage LLC | Homebridge Financial Services | mortgage abuses | 2015 | MULTI-FIN | $7,035,300 |
Prosper Marketplace, Inc. | Prosper Marketplace | investor protection violation | 2008 | MULTI-FIN | $1,000,000 |
Protective Life Insurance Company et al. | Dai-ichi Life | insurance violation | 2019 | MULTI-FIN | $350,000 |
QBE Holdings Inc. | QBE Insurance | insurance violation | 2017 | MULTI-FIN | $21,164,000 |
Raymond James & Associates, Inc. | Raymond James Financial | investor protection violation | 2011 | MULTI-FIN | $1,750,000 |
RBC Capital Markets Corporation | Royal Bank of Canada | investor protection violation | 2008 | MULTI-FIN | (*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $9,800,000 |
RBC Capital Markets, LLC | Royal Bank of Canada | investor protection violation | 2014 | MULTI-FIN | $2,800,000 |
RiverSource Life Insurance Company | Ameriprise Financial | insurance violation | 2016 | MULTI-FIN | $1,500,000 |
Seterus Inc. | Mr. Cooper Group | mortgage abuses | 2019 | MULTI-FIN | $350,000 |
State Farm Life Insurance Company et al. | State Farm Insurance | insurance violation | 2017 | MULTI-FIN | $250,000 |
Stifel, Nicolaus & Company, Incorporated | Stifel Financial | investor protection violation | 2009 | MULTI-FIN | $525,000 |
Thomas Weisel Partners LLC | Stifel Financial | investor protection violation | 2005 | MULTI-FIN | (*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $5,000,000 |
TIAA-CREF Life Insurance Company | TIAA | insurance violation | 2013 | MULTI-FIN | $6,200,000 |
Transamerica Casualty Insurance Company | Aegon | insurance violation | 2017 | MULTI-FIN | $3,000,000 |