Kemper Independence Insurance Co. | Kemper | insurance violation | 2019 | CT-INS | $134,000 |
Mid-Century Insurance Co. | Zurich Insurance | insurance violation | 2019 | CT-INS | $64,000 |
Voya Financial Advisors, Inc. fka ING Financial Partners, Inc. | Voya Financial | investor protection violation | 2019 | CT-SEC | $1,015,000 |
Massachusetts Mutual Life Insurance Company, Inc. | Massachusetts Mutual Life Insurance | insurance violation | 2019 | CT-INS | $61,000 |
Continental Western Insurance Co. | W.R. Berkley | insurance violation | 2019 | CT-INS | $23,000 |
National General Insurance Co. | Allstate | insurance violation | 2019 | CT-INS | $167,500 |
Berkshire Life Insurance Company of America | Guardian Life Insurance | insurance violation | 2019 | CT-INS | $7,500 |
Ameritas Life Insurance Corp. | Ameritas Mutual Holding Company | insurance violation | 2019 | CT-INS | $5,000 |
AIG Property Casualty Co. | American International Group | insurance violation | 2019 | CT-INS | $120,000 |
Continental American Insurance Co. | Aflac | insurance violation | 2019 | CT-INS | $10,000 |
Nationwide Life and Annuity Insurance Co. | Nationwide | insurance violation | 2019 | CT-INS | $16,500 |
Hartford Casualty Insurance Co. | Hartford Financial Services | insurance violation | 2019 | CT-INS | $57,500 |
Hartford Accident and Indemnity Co. | Hartford Financial Services | insurance violation | 2019 | CT-INS | $43,000 |
Property Casualty Insurance Company of Hartford | Hartford Financial Services | insurance violation | 2019 | CT-INS | $14,000 |
Trumbull Insurance Co. | Hartford Financial Services | insurance violation | 2019 | CT-INS | $141,500 |
Sentinel Insurance Co. | Hartford Financial Services | insurance violation | 2019 | CT-INS | $84,000 |
Heartland Payment Systems, LLC dba HPS Heartland Payroll Solutions, Inc. | Global Payments Inc. | consumer protection violation | 2019 | CT-BKG | $12,450 |
Mutual of Omaha Insurance Co. | Mutual of Omaha | insurance violation | 2019 | CT-INS | $60,500 |
Horace Mann Property & Casualty Insurance Co. | Horace Mann Educators Corp. | insurance violation | 2019 | CT-INS | $18,000 |
American Alternative Insurance Corp. | Munich Re | insurance violation | 2019 | CT-INS | $49,500 |
Lincoln Life & Annuity Company of New York | Lincoln National | insurance violation | 2019 | CT-INS | $7,500 |
The Lincoln National Life Insurance Co. | Lincoln National | insurance violation | 2019 | CT-INS | $65,000 |
Allstate Insurance Co. et al. | Allstate | insurance violation | 2019 | DE-INS | $12,500 |
United Service Automobile Association et al. | USAA | insurance violation | 2019 | DE-INS | $32,500 |
Allianz Life Insurance Company of North America | Allianz | insurance violation | 2019 | DE-INS | $13,500 |
Chicago Title Insurance Co. | Fidelity National Financial | insurance violation | 2019 | DE-INS | $8,000 |
American General Life Insurance Co. | American International Group | insurance violation | 2019 | DE-INS | $85,000 |
State Farm Life Insurance Co. | State Farm Insurance | insurance violation | 2019 | DE-INS | $18,000 |
Hartford Underwriters Insurance Co. et al. | Hartford Financial Services | insurance violation | 2019 | DE-INS | $23,000 |
Bankers Life and Casualty Co. | CNO Financial | insurance violation | 2019 | DE-INS | $41,200 |
Fidelity National Title Insurance Co. | Fidelity National Financial | insurance violation | 2019 | DE-INS | $20,000 |
Bankers Standard Insurance Co. et al. | Chubb Limited | insurance violation | 2019 | DE-INS | $16,000 |
Nationwide General Insurance Co. et al. | Nationwide | insurance violation | 2019 | DE-INS | $56,600 |
First American Title Insurance Co. | First American Financial | insurance violation | 2019 | DE-INS | $36,000 |
Praetorian Insurance Co. and QBE Insurance Corp. and QBE Speciality Insurance Co. | QBE Insurance | insurance violation | 2019 | DE-INS | $70,100 |
Foremost Property and Casualty Insurance Co. et al. | Zurich Insurance | insurance violation | 2019 | DE-INS | $11,000 |
Western Union International Services LLC | Western Union | consumer protection violation | 2019 | FL-OFR | $10,000 |
Arch Insurance Co. | Arch Capital | insurance violation | 2019 | ID-INS | $5,000 |
Liberty Mutual Insurance | Liberty Mutual Insurance | insurance violation | 2019 | IN-INS | $5,000 |
ServiceLink LLC | Fidelity National Financial | insurance violation | 2019 | IN-INS | $7,500 |
Allianz Life Insurance Company of North America | Allianz | insurance violation | 2019 | KS-INS | $60,000 |
Auto-Owners (Mutual) Insurance Co. and Owners Insurance Co. | Auto-Owners Insurance | insurance violation | 2019 | KS-INS | $10,000 |
AmeriSave Mortgage Corp. | AmeriSave Mortgage | consumer protection violation | 2019 | KY-FIN | $5,000 |
American Health and Life Insurance Co. | OneMain Holdings | insurance violation | 2019 | LA-INS | $11,000 |
Progressive Paloverde Insurance Co. | Progressive | insurance violation | 2019 | LA-INS | $5,000 |
Axa Insurance Co. | AXA | insurance violation | 2019 | LA-INS | $6,000 |
The Lincoln National Life Insurance Co. | Lincoln National | insurance violation | 2019 | LA-INS | $10,000 |
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 |
LPL Financial LLC | LPL Financial | investor protection violation | 2019 | MD-SEC | $499,000 |
United Casualty Insurance Company of America | Kemper | insurance violation | 2019 | MD-INS | $54,900 |
State Farm Mutual Automobile Insurance Company | State Farm Insurance | insurance violation | 2019 | MD-INS | $23,863 |
Privilege Underwriters Reciprocal Exchange | Tokio Marine | insurance violation | 2019 | MD-INS | $15,300 |
Praetorian Insurance Company | QBE Insurance | insurance violation | 2019 | MD-INS | $5,920 |
Transamerica Life Insurance Company | Aegon | insurance violation | 2019 | MD-INS | $184,000 |
NYLIFE Securities LLC | New York Life Insurance | investor protection violation | 2019 | ME-SEC | $50,000 |
Auto-Owners Insurance Co. and Owners Insurance Co. | Auto-Owners Insurance | insurance violation | 2019 | MN-FIN | $35,000 |
Esurance Property and Casualty Co. and Esurance Insurance Co. | Allstate | insurance violation | 2019 | MN-FIN | $35,000 |
Transamerica Life Insurance Co. and Transamerica Premier Life Insurance Co. | Aegon | insurance violation | 2019 | MN-FIN | $100,000 |
Allstate Insurance Co. and Encompass Indemnity Co. et al. | Allstate | insurance violation | 2019 | MN-FIN | $75,000 |
Lincoln National Life Insurance Co. | Lincoln National | insurance violation | 2019 | MN-FIN | $10,000 |
Austin Mutual Insurance Co. | American Family Insurance | insurance violation | 2019 | MN-FIN | $10,000 |
Homesite Insurance Co. | American Family Insurance | insurance violation | 2019 | MN-FIN | $5,000 |
Time Insurance Co. | Haven Holdings | insurance violation | 2019 | MN-FIN | $5,000 |
Bankers Life and Casualty Co. and Colonial Penn Life Insurance Co. | CNO Financial | insurance violation | 2019 | MN-FIN | $175,000 |
The Travelers Indemnity Co. | Travelers | insurance violation | 2019 | MN-FIN | $10,000 |
ServiceLink, LLC | Fidelity National Financial | insurance violation | 2019 | MO-INS | $24,450 |
Regent Insurance Co. | QBE Insurance | insurance violation | 2019 | MO-INS | $47,500 |
American Alternative Insurance Corp. | Munich Re | insurance violation | 2019 | MO-INS | $85,000 |
Transamerica Life Insurance Co. | Aegon | insurance violation | 2019 | MO-INS | $6,000 |
Transamerica Life Insurance Co. | Aegon | insurance violation | 2019 | MO-INS | $5,000 |
Transamerica Premier Life Insurance Co. | Aegon | insurance violation | 2019 | MO-INS | $5,000 |
Old Republic National Title Insurance Co. | Old Republic International | insurance violation | 2019 | MO-INS | $60,050 |
Transamerica Life Insurance Co. | Aegon | insurance violation | 2019 | MO-INS | $26,000 |
Transamerica Premier Life Insurance Co. | Aegon | insurance violation | 2019 | MO-INS | $36,000 |
American Income Life Insurance Co. | Globe Life Inc. | insurance violation | 2019 | MT-FIN | $15,000 |
Horace Mann Insurance Co. | Horace Mann Educators Corp. | insurance violation | 2019 | MT-FIN | $25,000 |
Great Plains Specialty Finance, Inc. d/b/a Check 'n Go | CNG Financial | consumer protection violation | 2019 | NE-DBF | $12,850 |
Great Plains Specialty Finance, Inc. d/b/a Check 'n Go | CNG Financial | consumer protection violation | 2019 | NE-DBF | $13,500 |
Solium Financial Services LLC | Morgan Stanley | consumer protection violation | 2019 | NE-DBF | $14,000 |
CashCall, Inc. | CashCall Inc. | consumer protection violation | 2019 | NH-BKG | $188,880 |
CashCall Inc. and WS Funding LLC | CashCall Inc. | consumer protection violation | 2019 | NH-BKG | $188,800 |
Berthel Fisher & Company Financial Services, Inc | Berthel Fisher | investor protection violation | 2019 | NH-BSR | $415,407 |
Santander Securities, LLC | Banco Santander | investor protection violation | 2019 | NH-BSR | $50,000 |
NEXT Financial Group, Inc | Atria Wealth Solutions | investor protection violation | 2019 | NH-BSR | $325,000 |
Transamerica Life Insurance Company | Aegon | insurance violation | 2019 | NJ-DBI | $5,942,519 |
Horizon Healthcare of New Jersey, Inc. | Horizon Healthcare Services | insurance violation | 2019 | NJ-DBI | $1,940,000 |
Horizon Healthcare Services, Inc. | Horizon Healthcare Services | insurance violation | 2019 | NJ-DBI | $250,000 |
Genworth Life Insurance Company | Genworth Financial | insurance violation | 2019 | NJ-DBI | $10,000 |
Arch Insurance Company | Arch Capital | insurance violation | 2019 | NY-DFS | $5,000,000 |
National Union Fire Insurance Company | American International Group | insurance violation | 2019 | NY-DFS | $5,200,000 |
Globe Life Insurance Company of New York | Globe Life Inc. | insurance violation | 2019 | NY-DFS | $7,769,000 |
MetLife Insurance Company | MetLife | insurance violation | 2019 | NY-DFS | $208,750,000 |
Standard Chartered Bank | Standard Chartered | price-fixing or anti-competitive practices | 2019 | NY-DFS | $40,000,000 |
Mercury Casualty Company | Mercury General Corporation | insurance violation | 2019 | NY-DFS | $31,000 |
Standard Chartered Bank | Standard Chartered | economic sanction violation | 2019 | NY-DFS | $180,000,000 |
UniCredit Group | UniCredit | economic sanction violation | 2019 | NY-DFS | $405,000,000 |
Mid-Century Insurance Company | Zurich Insurance | insurance violation | 2019 | NY-DFS | $50,000 |
Titan Insurance Company | Nationwide | insurance violation | 2019 | NY-DFS | $149,300 |