| Investment Professionals, Inc. | Ameriprise Financial | investor protection violation | 2017 | MA-SEC | $100,000 |
| Morgan Stanley Smith Barney LLC | Morgan Stanley | investor protection violation | 2017 | MA-SEC | $1,000,000 |
| LPL Financial LLC | LPL Financial | investor protection violation | 2017 | MA-SEC | $1,000,000 |
| MetLife, Inc. | MetLife | investor protection violation | 2018 | MA-SEC | $1,000,000 |
| LPL Financial LLC | LPL Financial | investor protection violation | 2019 | MA-SEC | $1,100,000 |
| Wells Fargo Clearing Services, LLC | Wells Fargo | investor protection violation | 2019 | MA-SEC | $450,000 |
| Morgan Stanley Smith Barney LLC | Morgan Stanley | investor protection violation | 2019 | MA-SEC | $382,500 |
| Next Financial Group, Inc. | Atria Wealth Solutions | investor protection violation | 2019 | MA-SEC | $150,000 |
| MML Investors Services, LLC | Massachusetts Mutual Life Insurance | investor protection violation | 2021 | MA-SEC | $4,000,000 |
| MML Investors Services, LLC | Massachusetts Mutual Life Insurance | investor protection violation | 2022 | MA-SEC | $262,092 |
| STIFEL, NICOLAUS & COMPANY, INC. | Stifel Financial | investor protection violation | 2023 | MA-SEC | $2,500,000 |
| Fidelity Brokerage Services LLC | Fidelity Investments | investor protection violation | 2023 | MA-SEC | $750,000 |
| LPL Financial, LLC | LPL Financial | investor protection violation | 2023 | MA-SEC | $250,000 |
| Robinhood Financial LLC | Robinhood Markets | investor protection violation | 2024 | MA-SEC | $7,500,000 |
| Scottsdale Insurance Company | Nationwide | insurance violation | 2000 | MA-INS | $26,208 |
| National Casualty Company | Nationwide | insurance violation | 2000 | MA-INS | $6,500 |
| Philadelphia Indemnity Insurance Company | Tokio Marine | insurance violation | 2000 | MA-INS | $7,040 |
| New Hampshire Insurance Company | American International Group | insurance violation | 2002 | MA-INS | $639,576 |
| Insurance Company of the State of PA | American International Group | insurance violation | 2002 | MA-INS | $124,532 |
| Hanover Insurance Company | Hanover Insurance | insurance violation | 2001 | MA-INS | $7,040 |
| Fidelity & Guaranty Insurance Company | Fidelity National Financial | insurance violation | 2001 | MA-INS | $21,037 |
| Valley Forge Life Insurance Company | Prudential PLC | insurance violation | 2001 | MA-INS | $11,600 |
| American Bankers Insurance Company of Florida | Assurant | insurance violation | 2001 | MA-INS | $65,000 |
| Sentry Insurance A Mutual Company | Sentry Insurance | insurance violation | 2001 | MA-INS | $14,500 |
| AIU Insurance Company | American International Group | insurance violation | 2002 | MA-INS | $365,615 |
| American Home Assurance Company | American International Group | insurance violation | 2002 | MA-INS | $64,546 |
| Fireman's Fund Insurance Company | Allianz | insurance violation | 2002 | MA-INS | $20,000 |
| Travelers Insurance Company | Travelers | insurance violation | 2002 | MA-INS | $8,600 |
| Zurich Direct | Zurich Insurance | insurance violation | 2002 | MA-INS | $6,000 |
| Zurich Life Insurance Company of America | Zurich Insurance | insurance violation | 2002 | MA-INS | $12,000 |
| Harleysville Worcester Insurance Company | Nationwide | insurance violation | 2002 | MA-INS | $6,000 |
| Banner Life Insurance Company | Legal & General Group PLC | insurance violation | 2002 | MA-INS | $10,900 |
| Valley Forge Life Insurance Company | Prudential PLC | insurance violation | 2002 | MA-INS | $24,500 |
| Protective Life Insurance Company | Dai-ichi Life | insurance violation | 2003 | MA-INS | $30,000 |
| American Zurich Insurance Company | Zurich Insurance | insurance violation | 2003 | MA-INS | $40,000 |
| American Home Assurance Company | American International Group | insurance violation | 2003 | MA-INS | $12,500 |
| Allstate Life Insurance Company | Allstate | insurance violation | 2004 | MA-INS | $25,000 |
| American Automobile Insurance Company | Allianz | insurance violation | 2005 | MA-INS | $9,000 |
| Aon Risk Services Inc. of Pennsylvania | Aon | insurance violation | 2005 | MA-INS | $19,000 |
| New England Life Insurance Company | Brighthouse Financial | insurance violation | 2005 | MA-INS | $13,000 |
| Amica Mutual Insurance Co. | Amica Mutual Insurance | insurance violation | 2007 | MA-INS | $12,000 |
| Progressive Direct Insurance Co. | Progressive | insurance violation | 2011 | MA-INS | $125,000 |
| Aon Risk Services Northeast | Aon | insurance violation | 2014 | MA-INS | $15,000 |
| LIBERTY MUTUAL INSURANCE CO IH LAB | Liberty Mutual Insurance | environmental violation | 2011 | MA-ENV | $8,000 |
| MANULIFE FINANCIAL | Manulife Financial | environmental violation | 2008 | MA-ENV | $18,030 |
| SUN LIFE ASSURANCE CO OF CANADA | Sun Life Financial | environmental violation | 2005 | MA-ENV | $31,635 |
| HANOVER INSURANCE GROUP | Hanover Insurance | environmental violation | 2002 | MA-ENV | $10,000 |
| AmeriSave Mortgage Corp. | AmeriSave Mortgage | consumer protection violation | 2010 | MA-BKG | $25,000 |
| Nationstar Mortgage LLC | Mr. Cooper Group | consumer protection violation | 2011 | MA-BKG | $25,000 |
| Home Loan Center, Inc. dba Lending Tree Loans | LendingTree | consumer protection violation | 2012 | MA-BKG | $38,000 |
| Prospect Mortgage, LLC | Homebridge Financial Services | consumer protection violation | 2013 | MA-BKG | $25,000 |
| Guaranteed Rate, Inc. | Guaranteed Rate Inc. | consumer protection violation | 2014 | MA-BKG | $25,000 |
| Freedom Mortgage Corp. | Freedom Mortgage | mortgage abuses | 2016 | MA-BKG | $2,000,000 |
| LendingClub Corp. and Springstone Financial, LLC | LendingClub Corp. | consumer protection violation | 2018 | MA-BKG | $2,000,000 |
| Quicken Loans, Inc. and One Reverse Mortgage, LLC | Rocket Companies Inc. | consumer protection violation | 2018 | MA-BKG | $250,000 |
| Freedom Mortgage Corp. | Freedom Mortgage | consumer protection violation | 2020 | MA-BKG | $25,000 |
| Mutual of Omaha Mortgage, Inc. | Mutual of Omaha | consumer protection violation | 2022 | MA-BKG | $25,000 |
| LendingTree, LLC | LendingTree | consumer protection violation | 2021 | MA-BKG | $34,000 |
| Allstate Company, Inc. | Allstate | wage and hour violation | 2007 | MA-AG | $125,000 |
| American Automobile Insurance Co. | Allianz | consumer protection violation | 2011 | MA-AG | $571,394 |
| American Bankers Insurance Co. | Assurant | consumer protection violation | 2006 | MA-AG | $20,000 |
| American International Group | American International Group | wage and hour violation | 2009 | MA-AG | $900,000 |
| American International Group | American International Group | False Claims Act and related | 2008 | MA-AG | $218,920 |
| American International Group | American International Group | False Claims Act and related | 2007 | MA-AG | $58,500,000 |
| American Security Insurance Co. | Assurant | consumer protection violation | 2017 | MA-AG | $6,300,000 |
| American Security Insurance Co. | Assurant | consumer protection violation | 2015 | MA-AG | $565,000 |
| Ameriprise Financial Services, Inc. | Ameriprise Financial | consumer protection violation | 2009 | MA-AG | $200,000 |
| Amica Mutual Insurance Co. | Amica Mutual Insurance | consumer protection violation | 2012 | MA-AG | $837,384 |
| Bank of America | Bank of America | mortgage abuses | 2015 | MA-AG | $675,000 |
| Bank of America | Bank of America | discriminatory practices (non-employment) | 2006 | MA-AG | $50,000 |
| Barclays Bank PLC | Barclays | toxic securities abuses | 2013 | MA-AG | $36,100,000 |
| BNY Mellon Shareowner Services | Bank of New York Mellon | investor protection violation | 2010 | MA-AG | $30,000 |
| Citigroup | Citigroup | mortgage abuses | 2015 | MA-AG | $675,000 |
| Citigroup | Citigroup | toxic securities abuses | 2008 | MA-AG | $20,000,000 |
| Continental American Insurance Co. | Aflac | consumer protection violation | 2010 | MA-AG | $25,000 |
| Countrywide Securities Corp. | Bank of America | mortgage abuses | 2013 | MA-AG | $17,300,000 |
| Ditech Financial, LLC | Ditech Holding Corporation | consumer protection violation | 2016 | MA-AG | $1,400,000 |
| Encompass Insurance Co. | Allstate | consumer protection violation | 2015 | MA-AG | $25,000 |
| Encompass Insurance Company of Massachusetts | Allstate | consumer protection violation | 2012 | MA-AG | $1,972,635 |
| Goldman Sachs & Co. | Goldman Sachs | mortgage abuses | 2009 | MA-AG | $60,000,000 |
| Great American Insurance Co. | American Financial Group | insurance violation | 2009 | MA-AG | $176,000 |
| H&R Block, Inc. | H&R Block | discriminatory practices (non-employment) | 2011 | MA-AG | $125,000,000 |
| Hanover Insurance Co. | Hanover Insurance | consumer protection violation | 2009 | MA-AG | $415,000 |
| Hanover Insurance Group | Hanover Insurance | consumer protection violation | 2010 | MA-AG | $2,500,000 |
| HSBC | HSBC | consumer protection violation | 2016 | MA-AG | $4,000,000 |
| HSBC Securities | HSBC | mortgage abuses | 2018 | MA-AG | $26,800,000 |
| Jackson Hewitt Tax Service Inc. | Jackson Hewitt | consumer protection violation | 2019 | MA-AG | $187,000 |
| John Hancock Life Insurance Co. | Manulife Financial | investor protection violation | 2014 | MA-AG | $550,000 |
| John Hancock Life Insurance Co. | Manulife Financial | consumer protection violation | 2013 | MA-AG | $40,000 |
| JP Morgan Chase | JPMorgan Chase | mortgage abuses | 2015 | MA-AG | $675,000 |
| Liberty Mutual | Liberty Mutual Insurance | consumer protection violation | 2007 | MA-AG | $50,000 |
| Liberty Mutual Insurance Co. | Liberty Mutual Insurance | consumer protection violation | 2010 | MA-AG | $20,000 |
| Liberty Mutual Insurance Co. | Liberty Mutual Insurance | consumer protection violation | 2010 | MA-AG | $3,100,000 |
| Liberty Mutual Insurance Group Inc. | Liberty Mutual Insurance | consumer protection violation | 2018 | MA-AG | $50,000 |
| Merrill Lynch | Bank of America | toxic securities abuses | 2009 | MA-AG | $300,000 |
| Merrill Lynch | Bank of America | toxic securities abuses | 2008 | MA-AG | $13,700,000 |
| Metropolitan Life Insurance Co. | MetLife | consumer protection violation | 2004 | MA-AG | $150,000 |
| Metropolitan Life Insurance Co. | MetLife | consumer protection violation | 2000 | MA-AG | $1,200,000 |
| Metropolitan Property & Casualty | Zurich Insurance | consumer protection violation | 2010 | MA-AG | $20,000 |
| Metropolitan Property & Casualty Insurance Co. | Zurich Insurance | consumer protection violation | 2010 | MA-AG | $3,500,000 |
| Metropolitan Property and Casualty Insurance Co. | Zurich Insurance | consumer protection violation | 2013 | MA-AG | $50,000 |
