US BANK | U.S. Bancorp | wage and hour violation | 2014 | IL-DOL | $131,922 |
FEDERAL INSURANCE CO., | Chubb Limited | insurance violation | 2015 | VA-INS | $132,761 |
Kemper Independence Insurance Co. | Kemper | insurance violation | 2019 | CT-INS | $134,000 |
Omega Advisors, Inc. | Omega Advisors | investor protection violation | 2015 | SEC | $134,026 |
Santander Consumer USA Inc, dba Chrysler Capital | Banco Santander | consumer protection violation | 2021 | DOJ_RIGHTS | $134,282 |
Old Republic Insurance Co. | Old Republic International | insurance violation | 2012 | MO-INS | $134,750 |
Regions Bank | Regions Financial | banking violation | 2009 | FED | $135,000 |
BANK OF THE WEST | Bank of Montreal | banking violation | 2011 | FDIC | $135,000 |
MetLife Securities, Inc. | MetLife | investor protection violation | 2010 | IL-SEC | $135,000 |
Allianz Life Insurance Company of New York | Allianz | insurance violation | 2013 | NY-DFS | $135,000 |
Edward D. Jones & Co. LP | Jones Financial | investor protection violation | 2016 | PA-BKG | $135,000 |
RBC Capital Markets Corporation | Royal Bank of Canada | investor protection violation | 2010 | FINRA | $135,000 |
GMAC Mortgage Group, Inc. | Ally Financial | WARN Act violation | 2006 | private lawsuit-federal | $135,000 |
Synovus Bank | Synovus Financial | banking violation | 2013 | FDIC | $135,050 |
Transamerica Life Insurance Company | Aegon | insurance violation | 2020 | NJ-DBI | $137,000 |
Bank of New York | Bank of New York Mellon | economic sanction violation | 2004 | OFAC | $137,500 |
Liberty Mutual Insurance Group | Liberty Mutual Insurance | insurance violation | 2017 | RI-FIN | $139,547 |
TIAA-CREF Life Insurance Company | TIAA | insurance violation | 2016 | NY-DFS | $139,940 |
BNP Paribas Securities | BNP Paribas | investor protection violation | 2015 | CFTC | $140,000 |
J.P. Morgan Securities LLC | JPMorgan Chase | investor protection violation | 2012 | CFTC | $140,000 |
FCStone, LLC | StoneX Group | investor protection violation | 2015 | CFTC | $140,000 |
1ST FINANCIAL BANK USA | 1st Financial Bank USA | banking violation | 2009 | FDIC | (*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $140,000 |
Washington National Insurance Co. | CNO Financial | insurance violation | 2017 | MN-FIN | $140,000 |
NEXT Financial Group, Inc | Atria Wealth Solutions | investor protection violation | 2014 | NH-BSR | $140,000 |
Goldman, Sachs & Co. | Goldman Sachs | investor protection violation | 2005 | FINRA | $140,000 |
NATIONWIDE LIFE AND ANNUITY INSURANCE COMPANY | Nationwide | insurance violation | 2023 | WA-INS | $140,273 |
Dairyland Insurance Co. and Peak Property and Casualty Insurance Corp. | Sentry Insurance | insurance violation | 2020 | VA-INS | $140,492 |
Safeco Insurance Company of America | Liberty Mutual Insurance | insurance violation | 2015 | CO-INS | $140,500 |
U.S. Bank | U.S. Bancorp | wage and hour violation | 2008 | WHD | $140,787 |
U.S. Bancorp | U.S. Bancorp | wage and hour violation | 2006 | WHD | $140,788 |
BUCKEYE PARTNERS LP | IFM Investors | pipeline safety violation | 2011 | PHMSA | $141,200 |
Trumbull Insurance Co. | Hartford Financial Services | insurance violation | 2019 | CT-INS | $141,500 |
Ace American Insurance Co. | Chubb Limited | insurance violation | 2009 | UT-INS | $141,500 |
New Hampshire Insurance Co. | American International Group | insurance violation | 2012 | CA-INS | $142,500 |
Metropolitan Life Insurance Company | MetLife | insurance violation | 2022 | NJ-DBI | $142,800 |
Claritas Investments Ltd. | Principal Financial | investor protection violation | 2013 | SEC | $144,819 |
Arch Insurance Co. | Arch Capital | insurance violation | 2016 | MO-INS | $145,000 |
Hartford Life and Accident Insurance Co. | Hartford Financial Services | insurance violation | 2020 | MA-AG | $145,000 |
Principal Life Insurance Company | Principal Financial | insurance violation | 2020 | MULTI-FIN | $145,000 |
Conseco Finance Servicing Corp. | CNO Financial | wage and hour violation | 2002 | WHD | $145,512 |
Bannockburn Global Forex, LLC | First Financial Bancorp. | consumer protection violation | 2016 | MI-FIN | $146,000 |
Companion Life Insurance Company | BlueCross BlueShield of South Carolina | insurance violation | 2016 | NY-DFS | $146,485 |
Ace American Insurance Company | Chubb Limited | insurance violation | 2010 | TX-INS | $147,000 |
Companion Life Insurance Co. | BlueCross BlueShield of South Carolina | insurance violation | 2019 | CO-INS | $147,775 |
American International Group | American International Group | economic sanction violation | 2017 | OFAC | $148,698 |
American Fire and Casualty Company and Ohio Security Insurance Company | Liberty Mutual Insurance | insurance violation | 2019 | VA-INS | $148,910 |
Synagro Technologies, Inc | Goldman Sachs | wage and hour violation | 2005 | WHD | $149,141 |
Titan Insurance Company | Nationwide | insurance violation | 2019 | NY-DFS | $149,300 |
Torchmark Corporation | Globe Life Inc. | Medicare Parts C and D Enforcement Action | 2013 | CMS | $150,000 |
INTL FCStone | StoneX Group | accounting fraud or deficiencies | 2016 | SEC | $150,000 |
Australia and New Zealand Banking Group Ltd. | Australia and New Zealand Banking Group | investor protection violation | 2015 | CFTC | $150,000 |
Macquarie Futures USA LLC | Macquarie | investor protection violation | 2013 | CFTC | $150,000 |
R.R. Donnelley & Sons | Chatham Asset Management | employment discrimination | 2002 | EEOC | $150,000 |
Banc of America Investment Services, Inc. | Bank of America | investor protection violation | 2009 | SEC | $150,000 |
Five Star Bank | Financial Institutions Inc. | discriminatory practices (non-employment) | 2015 | NY-AG | $150,000 |
Metropolitan Life Insurance Co. | MetLife | consumer protection violation | 2004 | MA-AG | $150,000 |
PayPal | PayPal Holdings | consumer protection violation | 2004 | NY-AG | $150,000 |
American Bankers Insurance Company of Florida et al. | Assurant | insurance violation | 2004 | CA-INS | $150,000 |
Coast National Insurance Co. | Zurich Insurance | insurance violation | 2009 | CA-INS | $150,000 |
OneMain Financial Group, LLC | OneMain Holdings | consumer protection violation | 2019 | CA-DFPI | $150,000 |
State Farm Fire & Casualty Co. | State Farm Insurance | insurance violation | 2012 | DE-INS | $150,000 |
PHH Mortgage Corp. | Ocwen Financial | mortgage abuses | 2012 | IL-BKG | $150,000 |
Next Financial Group, Inc. | Atria Wealth Solutions | investor protection violation | 2019 | MA-SEC | $150,000 |
Lincoln National Life Insurance Co. and Lincoln Financial Group | Lincoln National | insurance violation | 2013 | MN-FIN | $150,000 |
The Northwestern Mutual Life Insurance Co. | Northwestern Mutual | insurance violation | 2013 | MN-FIN | $150,000 |
Washington National Insurance Co. | CNO Financial | insurance violation | 2012 | MO-INS | $150,000 |
Ameriprise Financial Services, Inc. | Ameriprise Financial | investor protection violation | 2008 | MS-SEC | $150,000 |
Companion Life Insurance Company | BlueCross BlueShield of South Carolina | insurance violation | 2013 | NY-DFS | $150,000 |
American Modern Home Insurance Company | Munich Re | insurance violation | 2015 | NY-DFS | $150,000 |
Granite State Insurance Company | American International Group | insurance violation | 2015 | NY-DFS | $150,000 |
Bankers Life and Casualty Company | CNO Financial | insurance violation | 2008 | OR-FIN | $150,000 |
Great American Insurance Company | American Financial Group | insurance violation | 2005 | PA-INS | $150,000 |
LendingClub Corporation | LendingClub Corp. | investor protection violation | 2015 | SC-SEC | $150,000 |
MARSH USA, INC. | Marsh & McLennan | insurance violation | 2006 | VA-INS | $150,000 |
ACE CASH EXPRESS, INC. | ACE Cash Express | consumer protection violation | 2010 | VA-FIN | $150,000 |
Allianz Life Insurance Company Of North America | Allianz | insurance violation | 2013 | WA-INS | $150,000 |
Transamerica Premier Life Insurance Company | Aegon | insurance violation | 2013 | WA-INS | $150,000 |
Allstate Life Insurance Company | Allstate | insurance violation | 2018 | MULTI-FIN | $150,000 |
Janney Montgomery Scott, LLC | Penn Mutual | investor protection violation | 2020 | CT-BKG | $150,000 |
Vitol | Vitol | air pollution violation | 2007 | CA-ARB | $150,000 |
Buckeye Pipline Co. | IFM Investors | oil spill | 2006 | PA-ENV | $150,000 |
Fifth Third Securities, Inc. | Fifth Third Bancorp | investor protection violation | 2009 | FINRA | $150,000 |
Merrill Lynch, Pierce, Fenner & Smith, Inc. | Bank of America | investor protection violation | 2009 | FINRA | $150,000 |
Bear, Stearns & Co., Inc. | JPMorgan Chase | investor protection violation | 2008 | FINRA | $150,000 |
BMO Capital Markets Corp. | Bank of Montreal | investor protection violation | 2008 | FINRA | $150,000 |
Cowen and Company, LLC | Toronto-Dominion Bank | investor protection violation | 2008 | FINRA | $150,000 |
Deutsche Bank Securities, Inc., | Deutsche Bank | investor protection violation | 2008 | FINRA | $150,000 |
RBC Capital Markets Corp. | Royal Bank of Canada | investor protection violation | 2008 | FINRA | $150,000 |
J.P. Morgan Securities, Inc. | JPMorgan Chase | investor protection violation | 2005 | FINRA | $150,000 |
Allstate Financial Services LLC | Allstate | investor protection violation | 2004 | FINRA | $150,000 |
RBC Dain Rauscher, Inc. | Royal Bank of Canada | investor protection violation | 2004 | FINRA | $150,000 |
Wells Fargo Investments, LLC | Wells Fargo | investor protection violation | 2004 | FINRA | $150,000 |
World Group Securities, Inc. | Aegon | investor protection violation | 2004 | FINRA | $150,000 |
TD Waterhouse Investor Services, Inc. | Toronto-Dominion Bank | investor protection violation | 2004 | FINRA | $150,000 |
Janus Henderson Investors US LLC | Janus Henderson | investor protection violation | 2022 | SEC | $150,000 |
Raymond James & Associates, Inc. | Raymond James Financial | investor protection violation | 2023 | MO-SEC | $150,000 |
Mid-Century Insurance Company | Zurich Insurance | insurance violation | 2024 | NY-DFS | $150,000 |
First American Title Insurance Co. | First American Financial | insurance violation | 2007 | MO-INS | $150,344 |
Citigroup Global Markets, Inc. | Citigroup | investor protection violation | 2010 | AK-DBS | $150,507 |
Deutsche Bank | Deutsche Bank | investor protection violation | 2009 | FINRA | $152,000 |
GRANITE STATE INSURANCE CO. | American International Group | insurance violation | 2018 | VA-INS | $152,318 |