Hartford Underwriters Insurance Company | Hartford Financial Services | insurance violation | 2016 | TX-INS | $45,000 |
Sentinel Insurance Company, Ltd | Hartford Financial Services | insurance violation | 2016 | TX-INS | $32,000 |
Liberty Insurance Corporation | Liberty Mutual Insurance | insurance violation | 2016 | TX-INS | $7,000 |
Travelers Casualty and Surety Company of America | Travelers | insurance violation | 2016 | TX-INS | $100,000 |
LM Insurance Corporation | Liberty Mutual Insurance | insurance violation | 2016 | TX-INS | $6,300 |
First American Title Insurance Company | First American Financial | insurance violation | 2016 | UT-INS | $6,500 |
Liberty Mutual General Insurance Company | Liberty Mutual Insurance | insurance violation | 2016 | UT-INS | $5,000 |
United States Fire Insurance Company | Fairfax Financial Holdings | insurance violation | 2016 | UT-INS | $172,250 |
Liberty Mutual General Insurance Company | Liberty Mutual Insurance | insurance violation | 2016 | UT-INS | $10,000 |
COMPANION LIFE INSURANCE CO. | BlueCross BlueShield of South Carolina | insurance violation | 2016 | VA-INS | $44,220 |
AMERIPRISE FINANCIAL SERVICES, INC. | Ameriprise Financial | investor protection violation | 2016 | VA-SEC | $14,000 |
FREEDOM MORTGAGE CORPORATION | Freedom Mortgage | consumer protection violation | 2016 | VA-FIN | $17,000 |
ALLIED PROPERTY & CASUALTY INSURANCE CO. | Nationwide | insurance violation | 2016 | VA-INS | $68,669 |
HOMESITE INSURANCE COMPANY | American Family Insurance | insurance violation | 2016 | VA-INS | $94,986 |
Hartford Accident and Indemnity Company | Hartford Financial Services | insurance violation | 2016 | VA-INS | $8,131 |
Merrill Lynch, Pierce, Fenner & Smith, Inc. | Bank of America | investor protection violation | 2016 | VA-SEC | $11,500 |
CINCINNATI INSURANCE COMPANY | Cincinnati Financial | insurance violation | 2016 | VA-INS | $54,475 |
Victoria Fire & Casualty Insurance Company | Nationwide | insurance violation | 2016 | VA-INS | $2,236,476 |
ALLIED INSURANCE COMPANY OF AMERICA | Nationwide | insurance violation | 2016 | VA-INS | $8,000 |
PROGRESSIVE NORTHERN INSURANCE | Progressive | insurance violation | 2016 | VA-INS | $52,619 |
AMERICAN STRATEGIC INSURANCE | Progressive | insurance violation | 2016 | VA-INS | $15,147 |
ACE CASH EXPRESS, INC. | ACE Cash Express | consumer protection violation | 2016 | VA-FIN | $45,000 |
Liberty Insurance Corp. | Liberty Mutual Insurance | insurance violation | 2016 | VT-FIN | $28,000 |
Travelers Indemnity Co. et al. | Travelers | insurance violation | 2016 | VT-FIN | $96,000 |
Prosper Marketplace Inc. | Prosper Marketplace | consumer protection violation | 2016 | VT-FIN | $60,000 |
Raymond James and Associates Inc. | Raymond James Financial | investor protection violation | 2016 | VT-FIN | $4,200,000 |
Wells Fargo Advisors LLC | Wells Fargo | investor protection violation | 2016 | VT-FIN | $300,000 |
American Family Mutual Insurance Company S.I. | American Family Insurance | insurance violation | 2016 | WA-INS | $15,000 |
Qbe Insurance Corporation | QBE Insurance | insurance violation | 2016 | WA-INS | $10,000 |
National Casualty Company | Nationwide | insurance violation | 2016 | WA-INS | $9,000 |
Jackson National Life Insurance Company | Jackson Financial | insurance violation | 2016 | WA-INS | $8,000 |
Jackson National Life Insurance Company | Jackson Financial | insurance violation | 2016 | WA-INS | $20,000 |
American Family Connect Property And Casualty Insurance Company | American Family Insurance | insurance violation | 2016 | WA-INS | $10,000 |
Unitrin Auto And Home Insurance Company | Kemper | insurance violation | 2016 | WA-INS | $20,000 |
Zurich American Insurance Company | Zurich Insurance | insurance violation | 2016 | WA-INS | $20,000 |
Permanent General Assurance Corporation | American Family Insurance | insurance violation | 2016 | WA-INS | $5,000 |
Jefferson Insurance Company | Allianz | insurance violation | 2016 | WA-INS | $5,000 |
Transamerica Life Insurance Company | Aegon | insurance violation | 2016 | WA-INS | $5,000 |
American Modern Home Insurance Company | Munich Re | insurance violation | 2016 | WA-INS | $5,000 |
United States Fire Insurance Company | Fairfax Financial Holdings | insurance violation | 2016 | WA-INS | $25,000 |
AGCS Marine Insurance Company | Allianz | insurance violation | 2016 | WA-INS | $15,000 |
Metropolitan Life Insurance Company | MetLife | insurance violation | 2016 | WA-INS | $100,000 |
Nationstar Mortgage LLC | Mr. Cooper Group | consumer protection violation | 2016 | WA-FIN | $59,678 |
Ocwen Loan Servicing, LLC | Ocwen Financial | consumer protection violation | 2016 | WA-FIN | $900,000 |
ACE Cash Express, Inc. | ACE Cash Express | consumer protection violation | 2016 | WA-FIN | $76,421 |
Quicken Loans Inc. | Rocket Companies Inc. | consumer protection violation | 2016 | WA-FIN | $250,000 |
MLD Mortgage, Inc. d/b/a The Money Store and Mortgage Loan Direct | MLD Mortgage Inc. dba The Money Store | consumer protection violation | 2016 | WA-FIN | $407,103 |
Ameriprise Financial Services, Inc. | Ameriprise Financial | investor protection violation | 2016 | WA-FIN | $55,000 |
Assurant Inc. | Assurant | insurance violation | 2016 | MULTI-FIN | $80,217,000 |
Homesite Insurance Group | American Family Insurance | insurance violation | 2016 | MULTI-FIN | $500,000 |
Minnesota Life Insurance Company et al. | Securian Financial | insurance violation | 2016 | MULTI-FIN | $625,000 |
RiverSource Life Insurance Company | Ameriprise Financial | insurance violation | 2016 | MULTI-FIN | $1,500,000 |
HARLEYSVILLE MUTUAL INS CO | Nationwide | environmental violation | 2016 | PA-ENV | $6,150 |
LOUIS DREYFUS AGRICULTURAL INDUSTRIES LLC | Louis Dreyfus | environmental violation | 2016 | IN-ENV | $8,750 |
BUCKEYE TERMINALS LLC | IFM Investors | environmental violation | 2016 | IN-ENV | $49,750 |
THE HENNEGAN CO | Chatham Asset Management | environmental violation | 2016 | KY-ENV | $5,000 |
WHEELABRATOR GLOUCESTER COMPANY L P | Macquarie | environmental violation | 2016 | NJ-ENV | $12,900 |
Buckeye Albany Terminal LLC | IFM Investors | environmental violation | 2016 | NY-ENV | $30,000 |
Courier Printing Company | Chatham Asset Management | environmental violation | 2016 | TN-ENV | $8,555 |
R. R. Donnelley & Sons Company | Chatham Asset Management | environmental violation | 2016 | TX-ENV | $10,051 |
Wheelabrator Portsmouth Inc. | Macquarie | environmental violation | 2016 | VA-ENV | $7,669 |
Wells Fargo Securities, LLC and Wells Fargo Prime Services, LLC | Wells Fargo | investor protection violation | 2016 | FINRA | $4,000,000 |
RBC Capital Markets LLC and RBC Capital Markets Arbitrage S.A. | Royal Bank of Canada | investor protection violation | 2016 | FINRA | $3,500,000 |
RBS Securities, Inc. | NatWest Group PLC | investor protection violation | 2016 | FINRA | $2,000,000 |
Wells Fargo Advisors, LLC, Wells Fargo Advisors Financial Network, LLC and First Clearing, LLC | Wells Fargo | investor protection violation | 2016 | FINRA | $1,500,000 |
SunTrust Robinson Humphrey, Inc. | Truist Financial | investor protection violation | 2016 | FINRA | $1,500,000 |
LPL Financial LLC | LPL Financial | investor protection violation | 2016 | FINRA | $750,000 |
PNC Capital Markets LLC | PNC Financial Services | investor protection violation | 2016 | FINRA | $50,000 |
Deutsche Bank Securities Inc. | Deutsche Bank | investor protection violation | 2016 | FINRA | $3,250,000 |
Credit Suisse Securities (USA) LLC | UBS | anti-money-laundering deficiencies | 2016 | FINRA | $16,500,000 |
Merrill Lynch, Pierce, Fenner & Smith Inc. | Bank of America | investor protection violation | 2016 | FINRA | $7,030,000 |
VALIC Financial Advisors, Inc. | American International Group | investor protection violation | 2016 | FINRA | $1,750,000 |
Oppenheimer & Co. Inc. | Oppenheimer Holdings | investor protection violation | 2016 | FINRA | $3,425,000 |
VOYA Financial Advisors Inc. | Voya Financial | investor protection violation | 2016 | FINRA | $4,550,000 |
Merrill Lynch, Pierce, Fenner and Smith Inc. | Bank of America | investor protection violation | 2016 | FINRA | $2,800,000 |
Ameriprise Financial Services, Inc. | Ameriprise Financial | investor protection violation | 2016 | FINRA | $850,000 |
Deutsche Bank Securities Inc. | Deutsche Bank | investor protection violation | 2016 | FINRA | $12,500,000 |
Barclays Capital Inc. | Barclays | investor protection violation | 2016 | FINRA | $1,300,000 |
Prudential Annuities Distributors, Inc. | Prudential Financial | investor protection violation | 2016 | FINRA | $950,000 |
Deutsche Bank Securities Inc. | Deutsche Bank | investor protection violation | 2016 | FINRA | $6,000,000 |
Merrill Lynch, Pierce, Fenner & Smith, Inc. | Bank of America | investor protection violation | 2016 | FINRA | $5,000,000 |
Oppenheimer & Co. Inc. | Oppenheimer Holdings | investor protection violation | 2016 | FINRA | $2,966,000 |
E-Trade Securities LLC | Morgan Stanley | investor protection violation | 2016 | FINRA | $900,000 |
Raymond James & Associates, Inc. and Raymond James Financial Services, Inc. | Raymond James Financial | anti-money-laundering deficiencies | 2016 | FINRA | $17,000,000 |
MetLife Securities, Inc. | MetLife | investor protection violation | 2016 | FINRA | $25,000,000 |
Wedbush Securities Inc. | Wedbush Securities | investor protection violation | 2016 | FINRA | $675,000 |
JP Morgan Chase Bank | JPMorgan Chase | workplace whistleblower retaliation | 2016 | OSHA | $203,323 |
El Paso Electric Company | JPMorgan Chase | utility service violation | 2016 | TX-PUC | $7,000 |
IAC Group North America | Invesco | environmental violation | 2016 | NC-ENV | $6,751 |
Bank of AmericaCorp. | Bank of America | price-fixing or anti-competitive practices | 2016 | private lawsuit-federal | $155,333,333 |
BarclaysPLC | Barclays | price-fixing or anti-competitive practices | 2016 | private lawsuit-federal | $155,333,333 |
BNP ParibasSA | BNP Paribas | price-fixing or anti-competitive practices | 2016 | private lawsuit-federal | $155,333,333 |
Citigroup Inc. | Citigroup | price-fixing or anti-competitive practices | 2016 | private lawsuit-federal | $23,000,000 |
CitigroupInc. | Citigroup | price-fixing or anti-competitive practices | 2016 | private lawsuit-federal | $155,333,333 |
Credit Suisse GroupAG | UBS | price-fixing or anti-competitive practices | 2016 | private lawsuit-federal | $155,333,333 |
Deutsche BankAG | Deutsche Bank | price-fixing or anti-competitive practices | 2016 | private lawsuit-federal | $155,333,333 |
Goldman Sachs GroupInc. | Goldman Sachs | price-fixing or anti-competitive practices | 2016 | private lawsuit-federal | $155,333,333 |
HSBC Holdings PLC | HSBC | price-fixing or anti-competitive practices | 2016 | private lawsuit-federal | $35,000,000 |
HSBC HoldingsPLC | HSBC | price-fixing or anti-competitive practices | 2016 | private lawsuit-federal | $155,333,333 |
J.P. Morgan Chase& Co. | JPMorgan Chase | price-fixing or anti-competitive practices | 2016 | private lawsuit-federal | $155,333,333 |
Morgan Stanley | Morgan Stanley | price-fixing or anti-competitive practices | 2016 | private lawsuit-federal | $155,333,333 |