Buckeye Partners LP | IFM Investors | pipeline safety violation | 2017 | PHMSA | $193,000 |
Homesite Insurance Company | American Family Insurance | insurance violation | 2021 | CT-INS | $193,000 |
Lincoln Life & Annuity Company of New York | Lincoln National | insurance violation | 2020 | NY-DFS | $193,166 |
Bank of America Corp. | Bank of America | privacy violation | 2010 | MO-AG | $195,000 |
SAFECO Insurance Company of America, Inc. et al. | Liberty Mutual Insurance | insurance violation | 2013 | MD-INS | $195,000 |
Great American Assurance Co. et al. | American Financial Group | insurance violation | 2011 | TX-INS | $195,000 |
SAFECO Insurance Company of America | Liberty Mutual Insurance | insurance violation | 2021 | MD-INS | $196,044 |
Allstate Life Insurance Company of New York | Allstate | insurance violation | 2021 | NY-DFS | $196,250 |
ALLSTATE INSURANCE COMPANY | Allstate | insurance violation | 2015 | VA-INS | $197,201 |
Bok Financial Securities, Inc. | BOK Financial | investor protection violation | 2019 | SEC | $197,801 |
American Bankers Insurance Company of Florida | Assurant | insurance violation | 2020 | CT-INS | $198,000 |
Ally Financial Services | Ally Financial | wage and hour violation | 2019 | WHD | $198,311 |
PNC Capital Markets LLC | PNC Financial Services | investor protection violation | 2022 | SEC | $198,323 |
Morgan Stanley Capital Group | Morgan Stanley | investor protection violation | 2014 | CFTC | $200,000 |
Morgan Stanley Smith Barney | Morgan Stanley | investor protection violation | 2012 | CFTC | $200,000 |
UBS Securities | UBS | data submission deficiencies | 2010 | CFTC | $200,000 |
Hampton Roads Bankshares | Atlantic Union Bankshares | accounting fraud or deficiencies | 2014 | SEC | $200,000 |
INTL FCStone Markets, LLC | StoneX Group | investor protection violation | 2015 | CFTC | $200,000 |
Global Futures & Forex, Ltd. | StoneX Group | investor protection violation | 2014 | CFTC | $200,000 |
Key Bank National Association | KeyCorp | economic sanction violation | 2008 | OFAC | $200,000 |
BB&T Securities, LLC | Truist Financial | investor protection violation | 2016 | SEC | $200,000 |
BB&T Securities, LLC | Truist Financial | investor protection violation | 2015 | SEC | $200,000 |
Ameritas Investment Corp. | Ameritas Mutual Holding Company | investor protection violation | 2015 | SEC | $200,000 |
World Group Securities, Inc. | Aegon | investor protection violation | 2010 | SEC | $200,000 |
Citigroup Global Markets, Inc. | Citigroup | investor protection violation | 2007 | SEC | $200,000 |
Credit Suisse First Boston, LLC | UBS | investor protection violation | 2005 | SEC | $200,000 |
ABN AMRO Incorporated | ABN AMRO | investor protection violation | 2001 | SEC | $200,000 |
Ameriprise Financial Services, Inc. | Ameriprise Financial | consumer protection violation | 2009 | MA-AG | $200,000 |
GMAC Bank | Ally Financial | consumer protection violation | 2008 | NY-AG | $200,000 |
Nelnet, Inc. | Nelnet | consumer protection violation | 2008 | NY-AG | $200,000 |
PayPal | PayPal Holdings | consumer protection violation | 2002 | NY-AG | $200,000 |
Harleysville Mutual Insurance Co. | Nationwide | insurance violation | 2002 | CA-INS | $200,000 |
LPL Financial LLC | LPL Financial | investor protection violation | 2015 | DE-SEC | $200,000 |
Principal Life Insurance Co. | Principal Financial | insurance violation | 2018 | DE-INS | $200,000 |
National Union Fire Insurance Company of Pittsburgh, PA | American International Group | insurance violation | 2010 | IN-INS | $200,000 |
American Family Life Assurance Company of Columbus | Aflac | insurance violation | 2012 | MD-INS | $200,000 |
Universal Underwriter Insurance Co. | Zurich Insurance | insurance violation | 2004 | MN-FIN | $200,000 |
ING Life Insurance and Annuity Co. et al. | Voya Financial | insurance violation | 2012 | MN-FIN | $200,000 |
John Hancock Life Insurance Co. (USA) et al. | Manulife Financial | insurance violation | 2012 | MN-FIN | $200,000 |
MetLife Investors USA Insurance Co. et al. | MetLife | insurance violation | 2012 | MN-FIN | $200,000 |
Prudential Insurance Company of America | Prudential Financial | insurance violation | 2012 | MN-FIN | $200,000 |
Horizon Healthcare of New Jersey Inc. | Horizon Healthcare Services | insurance violation | 2003 | NJ-DBI | $200,000 |
Ameritrade Inc. | Charles Schwab Corp. | investor protection violation | 2007 | TX-SEC | $200,000 |
Virginia Surety Company Inc. | Assurant | insurance violation | 2011 | TX-INS | $200,000 |
National Union Fire Insurance Company Of Pittsburgh, Pa | American International Group | insurance violation | 2015 | WA-INS | $200,000 |
Bankers Life & Casualty | CNO Financial | insurance violation | 2013 | WI-INS | $200,000 |
Virginia Surety Company Inc. | Assurant | insurance violation | 2013 | MULTI-FIN | $200,000 |
Mid-Century Insurance Company | Zurich Insurance | insurance violation | 2020 | NY-DFS | $200,000 |
Washington Federal Bank, N.A. | Washington Federal Inc. | consumer protection violation | 2020 | CFPB | $200,000 |
Esurance Insurance Company | Allstate | insurance violation | 2020 | TX-INS | $200,000 |
Scottrade, Inc. | Charles Schwab Corp. | investor protection violation | 2010 | FINRA | $200,000 |
H&R Block Financial Advisors, Inc. | H&R Block | investor protection violation | 2010 | FINRA | $200,000 |
Northwestern Mutual Investment Services, LLC | Northwestern Mutual | investor protection violation | 2009 | FINRA | $200,000 |
M&T Securities, Inc. | M&T Bank | investor protection violation | 2009 | FINRA | $200,000 |
Janney Montgomery Scott LLC | Penn Mutual | investor protection violation | 2009 | FINRA | $200,000 |
CIBC World Markets Corp. | Canadian Imperial Bank of Commerce | investor protection violation | 2008 | FINRA | $200,000 |
Merrill Lynch, Pierce, Fenner & Smith, Inc. | Bank of America | investor protection violation | 2008 | FINRA | $200,000 |
Thomas Weisel Partners, LLC | Stifel Financial | investor protection violation | 2008 | FINRA | $200,000 |
UBS Securities, LLC | UBS | investor protection violation | 2008 | FINRA | $200,000 |
Morgan Stanley & Co. Incorporated | Morgan Stanley | investor protection violation | 2006 | FINRA | $200,000 |
Banc of America Investment Services Inc. | Bank of America | investor protection violation | 2004 | FINRA | $200,000 |
ING Financial Partners, Inc. | Voya Financial | investor protection violation | 2004 | FINRA | $200,000 |
New England Securities | MetLife | investor protection violation | 2004 | FINRA | $200,000 |
Morgan Stanley & Co. Inc. | Morgan Stanley | investor protection violation | 2000 | FINRA | $200,000 |
J. P. Morgan Securities Inc. | JPMorgan Chase | investor protection violation | 2000 | FINRA | $200,000 |
Waddell & Reed, LLC | Macquarie | investor protection violation | 2022 | SEC | $200,000 |
Amica Mutual Insurance Company | Amica Mutual Insurance | insurance violation | 2022 | NY-DFS | $200,000 |
Northwestern Mutual Investment Services, LLC | Northwestern Mutual | investor protection violation | 2023 | NH-BSR | $200,000 |
Northwestern Mutual Life Insurance Company | Northwestern Mutual | insurance violation | 2023 | NH-INS | $200,000 |
UBS Financial Services Inc. | UBS | investor protection violation | 2004 | FINRA | $200,666 |
JP Morgan Chase Bank | JPMorgan Chase | workplace whistleblower retaliation | 2016 | OSHA | $203,323 |
State Farm Life Insurance Co. | State Farm Insurance | insurance violation | 2020 | VT-FIN | $204,000 |
American Express | American Express | economic sanction violation | 2017 | OFAC | $204,277 |
WELLS FARGO ADVISORS | Wells Fargo | investor protection violation | 2015 | VA-SEC | $205,000 |
American States Preferred Insurance Co. et al. | Liberty Mutual Insurance | insurance violation | 2010 | VA-INS | $205,463 |
PNC Bank, National Association | PNC Financial Services | banking violation | 2018 | OCC | $207,245 |
Buckeye Partners, LP | IFM Investors | pipeline safety violation | 2020 | PHMSA | $209,002 |
Farmer's Group, Inc. | Zurich Insurance | wage and hour violation | 2010 | WHD | $209,170 |
American General Life Insurance Co. | American International Group | insurance violation | 2018 | FL-OFR | $210,000 |
Morgan Stanley & Co. Inc. | Morgan Stanley | investor protection violation | 2012 | IN-SEC | $210,000 |
Nationwide Mutual Insurance Co | Nationwide | wage and hour violation | 2018 | WHD | $210,373 |
Janney Montgomery Scott, Inc. | Penn Mutual | investor protection violation | 2001 | DE-SEC | $210,909 |
Prospect Mortgage | Homebridge Financial Services | wage and hour violation | 2015 | WHD | $211,237 |
Stifel, Nicolaus & Company, Inc. | Stifel Financial | investor protection violation | 2010 | MO-SEC | $211,617 |
HealthNow NewYork, Inc. | Highmark Inc. | consumer protection violation | 2009 | NY-AG | $212,500 |
Liberty Mutual Insurance Group | Liberty Mutual Insurance | insurance violation | 2003 | CA-INS | $215,000 |
Oppenheimer & Co. | Oppenheimer Holdings | investor protection violation | 2015 | NM-SEC | $215,000 |
Aon Risk Services Northeast Inc. | Aon | insurance violation | 2023 | NY-DFS | $215,725 |
Cincinnati Life Insurance Company | Cincinnati Financial | insurance violation | 2004 | MULTI-FIN | $216,750 |
Citigroup Inc. | Citigroup | economic sanction violation | 2014 | OFAC | $217,841 |
Farmers Insurance Exchange | Farmers Insurance Exchange | insurance violation | 2012 | CO-INS | $218,000 |
American International Group | American International Group | False Claims Act and related | 2008 | MA-AG | $218,920 |
Hutchinson, Shockey, Erley & Co. | Huntington Bancshares | investor protection violation | 2015 | SEC | $220,000 |
ABN AMRO Incorporated | ABN AMRO | investor protection violation | 2005 | FINRA | $220,000 |
H&R Block | H&R Block | wage and hour violation | 2013 | private lawsuit-federal | $221,400 |
PROGRESSIVE NORTHERN INSURANCE | Progressive | insurance violation | 2013 | VA-INS | $221,905 |
Fidelity National Title Insurance Company & Chicago Title Insurance Company | Fidelity National Financial | insurance violation | 2014 | UT-INS | $222,500 |
JPMorgan Chase | JPMorgan Chase | data submission deficiencies | 2016 | CFTC | $225,000 |
Interactive Brokers LLC | Interactive Brokers Group | investor protection violation | 2013 | CFTC | $225,000 |
Farmers Insurance Exchange | Farmers Insurance Exchange | employment discrimination | 2016 | EEOC | $225,000 |
Goldman Sachs Execution & Clearing, L.P. | Goldman Sachs | investor protection violation | 2010 | SEC | $225,000 |