Oppenheimer Asset Management Inc. and Oppenheimer Alternative Investment Management, LLC | Oppenheimer Holdings | investor protection violation | 2013 | SEC | $2,886,677 |
Oppenheimer & Co. Inc | Oppenheimer Holdings | investor protection violation | 2009 | SEC | $850,000 |
Josephthal & Co., Inc. | Oppenheimer Holdings | investor protection violation | 2002 | SEC | $75,000 |
Fahnestock & Co., Inc. | Oppenheimer Holdings | investor protection violation | 2000 | SEC | $20,000 |
Oppenheimer & Co. Inc. and Oppenheimer Asset Management Inc. | Oppenheimer Holdings | investor protection violation | 2019 | SEC | $3,528,377 |
Oppenheimer & Co. Inc. | Oppenheimer Holdings | investor protection violation | 2010 | MULTI-AG | $31,000,000 |
Oppenheimer Asset Management Inc. and Oppenheimer Alternative Investment Management, LLC | Oppenheimer Holdings | investor protection violation | 2013 | MA-AG | (*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $2,800,000 |
Oppenheimer & Co., Inc. | Oppenheimer Holdings | investor protection violation | 2015 | DE-SEC | $685,000 |
Oppenheimer & Co. Inc. | Oppenheimer Holdings | investor protection violation | 2016 | MI-SEC | $900,000 |
Oppenheimer & Co., Inc. | Oppenheimer Holdings | investor protection violation | 2005 | MO-SEC | $122,050 |
Oppenheimer & Co. Inc. | Oppenheimer Holdings | investor protection violation | 2012 | NH-BSR | $155,000 |
Oppenheimer & Co. | Oppenheimer Holdings | investor protection violation | 2015 | NM-SEC | $215,000 |
Oppenheimer & Co. Inc. | Oppenheimer Holdings | investor protection violation | 2016 | SC-SEC | $175,000 |
Oppenheimer & Co. Inc. | Oppenheimer Holdings | investor protection violation | 2019 | FINRA | $4,600,000 |
Oppenheimer & Co. Inc. | Oppenheimer Holdings | investor protection violation | 2016 | FINRA | $3,425,000 |
Oppenheimer & Co. Inc. | Oppenheimer Holdings | investor protection violation | 2016 | FINRA | $2,966,000 |
Oppenheimer & Co. Inc. | Oppenheimer Holdings | investor protection violation | 2015 | FINRA | $3,750,000 |
Oppenheimer & Co., Inc. | Oppenheimer Holdings | investor protection violation | 2013 | FINRA | $921,000 |
Oppenheimer and Co., Inc. | Oppenheimer Holdings | anti-money-laundering deficiencies | 2013 | FINRA | $1,425,000 |
Oppenheimer & Co. | Oppenheimer Holdings | investor protection violation | 2008 | FINRA | $4,500,000 |
Oppenheimer & Co. Inc. | Oppenheimer Holdings | investor protection violation | 2007 | FINRA | $1,000,000 |
Oppenheimer & Co. Inc. | Oppenheimer Holdings | investor protection violation | 2006 | FINRA | $800,000 |
Oppenheimer & Co. Inc. | Oppenheimer Holdings | investor protection violation | 2006 | FINRA | $250,000 |
Josephthal & Co., Inc. | Oppenheimer Holdings | investor protection violation | 2001 | FINRA | $2,300,000 |
Oppenheimer & Co. Inc. | Oppenheimer Holdings | investor protection violation | 2024 | SEC | $12,000,000 |
Oscar Health Plan of California | Oscar Health Inc. | insurance violation | 2018 | CA-MHC | $10,000 |
Oscar Health Plan of California | Oscar Health Inc. | insurance violation | 2019 | CA-MHC | $5,000 |
Oscar Health Plan of California | Oscar Health Inc. | insurance violation | 2019 | CA-MHC | $5,000 |
Oscar Garden State Insurance Corporation | Oscar Health Inc. | insurance violation | 2018 | NJ-DBI | $500,000 |
Oscar Insurance Corp. | Oscar Health Inc. | insurance violation | 2018 | NY-DFS | $576,950 |
Oscar Insurance Company | Oscar Health Inc. | insurance violation | 2018 | TX-INS | $75,000 |
Oscar Health Plan of California | Oscar Health Inc. | insurance violation | 2020 | CA-MHC | $15,000 |
Oscar Health Plan of California | Oscar Health Inc. | insurance violation | 2020 | CA-MHC | $15,000 |
Oscar Health Plan of California | Oscar Health Inc. | insurance violation | 2021 | CA-MHC | $75,000 |
Oscar Health Plan of California | Oscar Health Inc. | insurance violation | 2020 | CA-MHC | $5,000 |
Oscar Health Plan of California | Oscar Health Inc. | insurance violation | 2021 | CA-MHC | $10,000 |
Oscar Health Plan of California | Oscar Health Inc. | insurance violation | 2021 | CA-MHC | $30,000 |
Oscar Health Plan of California | Oscar Health Inc. | insurance violation | 2021 | CA-MHC | $15,000 |
Oscar Health Plan of California | Oscar Health Inc. | insurance violation | 2021 | CA-MHC | $7,500 |
Oscar Health Plan of California | Oscar Health Inc. | insurance violation | 2022 | CA-MHC | $10,000 |
Oscar Health Plan of California | Oscar Health Inc. | insurance violation | 2021 | CA-MHC | $12,500 |
Oscar Insurance Corporation | Oscar Health Inc. | insurance violation | 2021 | NY-DFS | $1,465,800 |
Oscar Health Plan of California | Oscar Health Inc. | insurance violation | 2022 | CA-MHC | $40,000 |
Oscar Health Plan of California | Oscar Health Inc. | insurance violation | 2022 | CA-MHC | $10,000 |
Oscar Health Plan of California | Oscar Health Inc. | insurance violation | 2022 | CA-MHC | $10,000 |
Oscar Health Plan of California | Oscar Health Inc. | insurance violation | 2022 | CA-MHC | $10,000 |
Oscar Health Plan of California | Oscar Health Inc. | insurance violation | 2023 | CA-MHC | $5,000 |
Oscar Health Plan of California | Oscar Health Inc. | insurance violation | 2023 | CA-MHC | $6,500 |
Oscar Health Plan of California | Oscar Health Inc. | insurance violation | 2023 | CA-MHC | $12,000 |
Oscar Health Plan of California | Oscar Health Inc. | insurance violation | 2023 | CA-MHC | $5,000 |
OverseaChinese Banking Corporation Limited | Oversea-Chinese Banking | price-fixing or anti-competitive practices | 2022 | private lawsuit-federal | $7,000,000 |
Pacific Life | Pacific Life | insurance violation | 2015 | MULTI-AG | $2,450,000 |
Pacific Life & Annuity Co. | Pacific Life | insurance violation | 2006 | FL-OFR | $38,000 |
Pacific Life Insurance Co. | Pacific Life | insurance violation | 2012 | FL-OFR | $10,500 |
Pacific Life Insurance Co. | Pacific Life | insurance violation | 2017 | MD-INS | $9,000 |
Pacific Life & Annuity Company | Pacific Life | insurance violation | 2020 | NY-DFS | $425,533 |
PACIFIC LIFE & ANNUITY COMPANY | Pacific Life | insurance violation | 2001 | VA-INS | $9,000 |
Pacific Life Insurance Company | Pacific Life | insurance violation | 2021 | NY-DFS | $3,000,000 |
Pacific Life Insurance Company | Pacific Life | insurance violation | 2023 | MN-FIN | $250,000 |
California United Bank | PacWest Bancorp | economic sanction violation | 2004 | OFAC | $7,250 |
The Park National Bank | Park National Corp. | banking violation | 2011 | OCC | $30,415 |
THE RICHLAND TRUST COMPANY | Park National Corp. | banking violation | 2006 | FDIC | $11,100 |
Park National Corporation | Park National Corp. | accounting fraud or deficiencies | 2016 | SEC | $500,000 |
Park National Bank | Park National Corp. | discriminatory practices (non-employment) | 2023 | DOJ_RIGHTS | $9,000,000 |
PayPal Inc. | PayPal Holdings | consumer protection violation | 2015 | CFPB | $25,000,000 |
PayPal Inc. | PayPal Holdings | economic sanction violation | 2015 | OFAC | $7,658,300 |
PayPal | PayPal Holdings | consumer protection violation | 2002 | NY-AG | $200,000 |
PayPal Inc. | PayPal Holdings | privacy violation | 2016 | TX-AG | $175,000 |
PayPal | PayPal Holdings | consumer protection violation | 2004 | NY-AG | $150,000 |
PayPal, Inc. | PayPal Holdings | consumer protection violation | 2006 | MULTI-AG | $1,700,000 |
PayPal, Inc. | PayPal Holdings | consumer protection violation | 2015 | FL-OFR | $14,500 |
PayPal, Inc. dba Venmo | PayPal Holdings | consumer protection violation | 2020 | MN-FIN | $20,000 |
PayPal, Inc. | PayPal Holdings | consumer protection violation | 2017 | private lawsuit-federal | $4,000,000 |
Janney Montgomery Scott LLC | Penn Mutual | investor protection violation | 2011 | SEC | $850,000 |
Janney Montgomery Scott LLC | Penn Mutual | investor protection violation | 2004 | SEC | $875,000 |
Janney Montgomery Scott LLC | Penn Mutual | investor protection violation | 2016 | SEC | $500,000 |
Janney Montgomery Scott | Penn Mutual | wage and hour violation | 2009 | private lawsuit-federal | $2,880,000 |
Janney Montgomery Scott LLC | Penn Mutual | investor protection violation | 2000 | SEC | $100,000 |
Janney Montgomery Scott LLC | Penn Mutual | investor protection violation | 2019 | SEC | $241,227 |
Janney Montgomery Scott LLC | Penn Mutual | investor protection violation | 2005 | CO-SEC | $259,227 |
Janney Montgomery Scott, Inc. | Penn Mutual | investor protection violation | 2001 | DE-SEC | $210,909 |
Janney Montgomery Scott LLC | Penn Mutual | investor protection violation | 2015 | DE-SEC | $105,000 |
Penn Mutual Life Insurance Co. | Penn Mutual | insurance violation | 2018 | DE-INS | $17,000 |
Janney Montgomery Scott LLC | Penn Mutual | investor protection violation | 2004 | IL-SEC | $5,000 |
Janney Montgomery Scott LLC | Penn Mutual | investor protection violation | 2005 | IL-SEC | $7,500 |
Penn Mutual Life Insurance Co. | Penn Mutual | insurance violation | 2015 | MD-INS | $10,400 |
Penn Mutual Life Insurance Co. | Penn Mutual | insurance violation | 2017 | MD-INS | $25,600 |
The Penn Mutual Life Insurance Co. | Penn Mutual | insurance violation | 2019 | NY-DFS | $455,584 |
Janney Montgomery Scott LLC | Penn Mutual | investor protection violation | 2016 | PA-BKG | $10,000 |
Janney Montgomery Scott LLC | Penn Mutual | investor protection violation | 2006 | RI-FIN | $10,250 |
Janney Montgomery Scott, LLC | Penn Mutual | investor protection violation | 2020 | CT-BKG | $150,000 |
Janney Montgomery Scott, LLC | Penn Mutual | investor protection violation | 2015 | FINRA | $1,200,000 |
Janney Montgomery Scott LLC | Penn Mutual | investor protection violation | 2009 | FINRA | $200,000 |
Janney Montgomery Scott LLC | Penn Mutual | investor protection violation | 2005 | FINRA | $2,200,000 |
Janney Montgomery Scott, LLC | Penn Mutual | investor protection violation | 2020 | CT-SEC | $250,000 |
Janney Montgomery Scott LLC | Penn Mutual | investor protection violation | 2022 | DE-SEC | $72,255 |
PennyMac Loan Services, LLC | PennyMac Financial Services | consumer protection violation | 2015 | KY-FIN | $20,000 |
BMO Capital Markets GKST Inc. | Piper Sandler | investor protection violation | 2015 | SEC | $250,000 |
Piper Jaffray & Co. | Piper Sandler | investor protection violation | 2015 | SEC | $500,000 |
Piper Jaffray & Co. | Piper Sandler | investor protection violation | 2006 | SEC | $125,000 |
U.S. Bancorp Piper Jaffray Inc. | Piper Sandler | investor protection violation | 2003 | SEC | $32,500,000 |