PRUDENTIAL INSURANCE COMPANY | Prudential Financial | insurance violation | 2004 | VA-INS | $7,500 |
PRUDENTIAL INSURANCE COMPANY | Prudential Financial | insurance violation | 2014 | VA-INS | $5,000 |
Prudential Insurance Company Of America | Prudential Financial | benefit plan administrator violation | 2019 | private lawsuit-federal | $9,000,000 |
Prudential Insurance Company of America | Prudential Financial | insurance violation | 2012 | MULTI-AG | $17,000,000 |
Prudential Insurance Company of America | Prudential Financial | insurance violation | 2012 | MN-FIN | $200,000 |
Prudential Insurance Company of America | Prudential Financial | insurance violation | 2016 | MN-FIN | $5,000 |
Prudential Insurance Company of America | Prudential Financial | insurance violation | 2001 | NJ-DBI | $25,100,000 |
Prudential Insurance Company of America | Prudential Financial | insurance violation | 2012 | WI-INS | $7,500 |
Prudential Insurance Company of America | Prudential Financial | consumer protection violation | 2014 | private lawsuit-federal | $40,000,000 |
Prudential Insurance Company of America | Prudential Financial | consumer protection violation | 2005 | private lawsuit-federal | $22,000,000 |
Prudential Insurance Company of America | Prudential Financial | insurance violation | 2021 | NJ-DBI | $1,200,000 |
Prudential Retirement Insurance and Annuity Company | Prudential Financial | insurance violation | 2021 | CT-INS | $300,000 |
Prudential Securities | Wells Fargo | investor protection violation | 2008 | FINRA | $1,050,000 |
Prudential Securities Incorporated | Wells Fargo | investor protection violation | 2000 | SEC | $5,880,000 |
Prudential Securities Incorporated | Wells Fargo | investor protection violation | 2001 | SEC | $800,000 |
Prudential Securities Incorporated | Wells Fargo | investor protection violation | 2001 | FINRA | $20,000 |
Prudential Securities, Inc. | Wells Fargo | data submission deficiencies | 2002 | CFTC | $65,000 |
Prudential Securities, Inc. | Wells Fargo | investor protection violation | 2003 | SEC | $382,000 |
Prudential Securities, Inc. | Wells Fargo | investor protection violation | 2001 | FINRA | $10,000 |
Prudential Securities, Inc. | Wells Fargo | investor protection violation | 2000 | FINRA | $100,000 |
Putnam Investment Management LLC | Franklin Resources | investor protection violation | 2004 | SEC | $55,000,000 |
Putnam Investment Management, LLC | Franklin Resources | investor protection violation | 2018 | SEC | $1,000,000 |
Putnam Investment Management, LLC | Franklin Resources | investor protection violation | 2007 | SEC | $350,000 |
Putnam Investment Management, LLC | Franklin Resources | investor protection violation | 2005 | SEC | $40,000,001 |
Putnam Retail Management Limited Partnership | Franklin Resources | investor protection violation | 2007 | FINRA | $175,000 |
QBE Americas, Inc. | QBE Insurance | wage and hour violation | 2018 | private lawsuit-federal | $1,200,000 |
QBE Holdings Inc. | QBE Insurance | insurance violation | 2017 | MULTI-FIN | $21,164,000 |
QBE Holdings, Inc. et al. | QBE Insurance | insurance violation | 2017 | MN-FIN | $750,000 |
QBE Insurance | QBE Insurance | consumer protection violation | 2018 | MA-AG | $2,400,000 |
QBE Insurance | QBE Insurance | consumer protection violation | 2016 | MA-AG | $375,000 |
QBE Insurance Co. | QBE Insurance | insurance violation | 2013 | MN-FIN | $5,000 |
QBE Insurance Co. | QBE Insurance | insurance violation | 2014 | MN-FIN | $20,000 |
QBE Insurance Co. and Praetorian Insurance Co. | QBE Insurance | insurance violation | 2017 | MD-INS | $10,000 |
QBE Insurance Corp. | QBE Insurance | insurance violation | 2010 | AZ-DIFI | $40,000 |
QBE Insurance Corp. | QBE Insurance | insurance violation | 2007 | CA-INS | $120,000 |
QBE Insurance Corp. | QBE Insurance | insurance violation | 2008 | FL-OFR | $157,000 |
QBE Insurance Corp. | QBE Insurance | insurance violation | 2013 | NY-DFS | $10,000,000 |
QBE Insurance Corp. | QBE Insurance | insurance violation | 2018 | NY-DFS | $750,000 |
QBE Insurance Corp. | QBE Insurance | insurance violation | 2021 | TX-INS | $10,000 |
QBE Insurance Corporation | QBE Insurance | insurance violation | 2008 | OR-FIN | $17,700 |
QBE Insurance Corporation | QBE Insurance | insurance violation | 2015 | PA-INS | $10,000 |
QBE Insurance Corporation | QBE Insurance | insurance violation | 2014 | TX-INS | $47,000 |
QBE Insurance Corporation | QBE Insurance | insurance violation | 2016 | TX-INS | $21,565 |
Qbe Insurance Corporation | QBE Insurance | insurance violation | 2016 | WA-INS | $10,000 |
QBE Insurance Corporation | QBE Insurance | insurance violation | 2023 | TX-INS | $11,500 |
QBE Insurance Corporation | QBE Insurance | insurance violation | 2023 | TX-INS | $5,000 |
QBE North America | QBE Insurance | insurance violation | 2014 | MN-FIN | $5,000 |
Quicken Loans | Rocket Companies Inc. | wage and hour violation | 2019 | MI-LEO | $10,500 |
Quicken Loans | Rocket Companies Inc. | wage and hour violation | 2015 | MI-LEO | $8,000 |
Quicken Loans Inc. | Rocket Companies Inc. | consumer protection violation | 2018 | AK-DBS | $11,000 |
Quicken Loans Inc. | Rocket Companies Inc. | consumer protection violation | 2011 | OH-BKG | $35,000 |
Quicken Loans Inc. | Rocket Companies Inc. | consumer protection violation | 2016 | WA-FIN | $250,000 |
Quicken Loans, Inc. | Rocket Companies Inc. | consumer protection violation | 2011 | IL-BKG | $75,000 |
Quicken Loans, Inc. and One Reverse Mortgage, LLC | Rocket Companies Inc. | consumer protection violation | 2018 | MA-BKG | $250,000 |
R R DONNELLEY | Chatham Asset Management | workplace safety or health violation | 2009 | OSHA | $7,500 |
R. R. Donnelley & Sons Co | Chatham Asset Management | environmental violation | 2017 | CA-SCAQMD | $27,500 |
R. R. Donnelley & Sons Co. | Chatham Asset Management | environmental violation | 2013 | CA-SCAQMD | $7,500 |
R. R. Donnelley & Sons Company | Chatham Asset Management | environmental violation | 2016 | TX-ENV | $10,051 |
R. R. DONNELLEY & SONS COMPANY | Chatham Asset Management | workplace safety or health violation | 2023 | OSHA | $5,125 |
R. R. DONNELLEY AND SONS COMPANY | Chatham Asset Management | workplace safety or health violation | 2013 | OSHA | $7,000 |
R. R. DONNELLEY AND SONS COMPANY | Chatham Asset Management | environmental violation | 2001 | EPA | $11,344 |
R.R. DONNELLEY | Chatham Asset Management | workplace safety or health violation | 2004 | OSHA | $5,000 |
R.R. DONNELLEY | Chatham Asset Management | workplace safety or health violation | 2010 | OSHA | $11,600 |
R.R. DONNELLEY | Chatham Asset Management | workplace safety or health violation | 2013 | OSHA | $15,400 |
R.R. Donnelley & Sons | Chatham Asset Management | employment discrimination | 2002 | EEOC | $150,000 |
R.R. Donnelley & Sons | Chatham Asset Management | employment discrimination | 2003 | private lawsuit-federal | $15,000,000 |
R.R. Donnelley & Sons | Chatham Asset Management | employment discrimination | 2004 | private lawsuit-federal | $15,000,000 |
R.R. Donnelley & Sons Company | Chatham Asset Management | environmental violation | 2002 | CT-ENV | $25,500 |
R.R. DONNELLEY & SONS COMPANY | Chatham Asset Management | workplace safety or health violation | 2002 | OSHA | $55,000 |
R.R. DONNELLEY & SONS COMPANY | Chatham Asset Management | workplace safety or health violation | 2007 | OSHA | $5,100 |
R.R. DONNELLEY & SONS COMPANY | Chatham Asset Management | workplace safety or health violation | 2010 | OSHA | $12,600 |
R.R. DONNELLEY & SONS COMPANY | Chatham Asset Management | workplace safety or health violation | 2012 | OSHA | $5,950 |
R.R. DONNELLEY & SONS COMPANY | Chatham Asset Management | workplace safety or health violation | 2015 | OSHA | $7,000 |
R.R. DONNELLEY & SONS COMPANY | Chatham Asset Management | workplace safety or health violation | 2016 | OSHA | $10,000 |
Rabobank | Rabobank | price-fixing or anti-competitive practices | 2013 | DOJ_CRIMINAL | $325,000,000 |
Rabobank | Rabobank | price-fixing or anti-competitive practices | 2013 | CFTC | $475,000,000 |
Rabobank N.A. | Rabobank | anti-money-laundering deficiencies | 2018 | USAO | $500,000 |
Rabobank National Association | Rabobank | banking violation | 2017 | OCC | $58,000 |
Rabobank National Association | Rabobank | anti-money-laundering deficiencies | 2018 | DOJ_CRIMINAL | $368,701,259 |
Rabobank, National Association | Rabobank | anti-money-laundering deficiencies | 2018 | OCC | $50,000,000 |
Ragen Mackenzie Investment Services LLC | Wells Fargo | investor protection violation | 2004 | OR-FIN | $8,500 |
Raymond James & Associates | Raymond James Financial | investor protection violation | 2016 | SEC | $600,000 |
Raymond James & Associates | Raymond James Financial | wage and hour violation | 2020 | MI-LEO | $29,361 |
Raymond James & Associates Inc. | Raymond James Financial | investor protection violation | 2000 | FINRA | $3,410,000 |
Raymond James & Associates, Inc. | Raymond James Financial | investor protection violation | 2015 | SEC | $500,000 |
Raymond James & Associates, Inc. | Raymond James Financial | investor protection violation | 2015 | IN-SEC | $475,000 |
Raymond James & Associates, Inc. | Raymond James Financial | investor protection violation | 2020 | MI-SEC | $50,000 |
Raymond James & Associates, Inc. | Raymond James Financial | investor protection violation | 2011 | MULTI-FIN | $1,750,000 |
Raymond James & Associates, Inc. | Raymond James Financial | investor protection violation | 2009 | FINRA | $1,000,000 |
Raymond James & Associates, Inc. | Raymond James Financial | investor protection violation | 2005 | FINRA | $90,000 |
Raymond James & Associates, Inc. | Raymond James Financial | investor protection violation | 2022 | SEC | $500,000 |
Raymond James & Associates, Inc. | Raymond James Financial | investor protection violation | 2022 | SC-SEC | $50,000 |
Raymond James & Associates, Inc. | Raymond James Financial | investor protection violation | 2023 | MO-SEC | $150,000 |
Raymond James & Associates, Inc. and Raymond James Financial Services, Inc. | Raymond James Financial | investor protection violation | 2019 | FINRA | $8,000,000 |
Raymond James & Associates, Inc. and Raymond James Financial Services, Inc. | Raymond James Financial | anti-money-laundering deficiencies | 2016 | FINRA | $17,000,000 |
Raymond James & Associates, Inc. and Raymond James Financial Services, Inc. | Raymond James Financial | investor protection violation | 2015 | FINRA | $8,700,000 |
Raymond James & Associates, Inc. and Raymond James Financial Services, Inc. | Raymond James Financial | investor protection violation | 2011 | FINRA | $2,115,000 |
Raymond James & Associates, Inc. and Raymond James Financial Services, Inc. | Raymond James Financial | investor protection violation | 2005 | FINRA | $888,000 |
Raymond James & Associates, Inc. et al. | Raymond James Financial | investor protection violation | 2019 | SEC | $15,000,000 |
Raymond James & Associates, Inc. et al. | Raymond James Financial | investor protection violation | 2023 | MULTI-FIN | $12,450,000 |
Raymond James and Associates Inc. | Raymond James Financial | investor protection violation | 2016 | VT-FIN | $4,200,000 |