AMERICAN ECONOMY INSURANCE COMPANY | Liberty Mutual Insurance | insurance violation | 2020 | WA-INS | $6,000 |
CONTINENTAL WESTERN INSURANCE COMPANY | W.R. Berkley | insurance violation | 2020 | WA-INS | $10,000 |
AMERICAN ECONOMY INSURANCE COMPANY ET AL. | Liberty Mutual Insurance | insurance violation | 2020 | WA-INS | $10,000 |
HORACE MANN INSURANCE COMPANY | Horace Mann Educators Corp. | insurance violation | 2020 | WA-INS | $5,000 |
AmeriSave Mortgage Corporation | AmeriSave Mortgage | privacy violation | 2020 | private lawsuit-federal | $6,250,000 |
Wells Fargo Bank | Wells Fargo | wage and hour violation | 2020 | private lawsuit-federal | $10,928,870 |
Wells Fargo & Company | Wells Fargo | benefit plan administrator violation | 2020 | private lawsuit-federal | $79,000,000 |
Wells Fargo Bank, N.A. | Wells Fargo | wage and hour violation | 2020 | private lawsuit-federal | $25,696,122 |
RR Donnelley | Chatham Asset Management | wage and hour violation | 2020 | IL-DOL | $30,000 |
WHEELABRATOR FALLS INC | Macquarie | environmental violation | 2020 | PA-ENV | $12,000 |
Oscar Health Plan of California | Oscar Health Inc. | insurance violation | 2020 | CA-MHC | $5,000 |
Discover Bank et al. | Discover Financial Services | consumer protection violation | 2020 | CFPB | $35,000,000 |
Santander Consumer USA Inc. | Banco Santander | consumer protection violation | 2020 | CFPB | $4,750,000 |
RBS Financial Products, Inc. | NatWest Group PLC | toxic securities abuses | 2020 | MD-AG | $18,000,000 |
Everest Reinsurance Company | Everest Re Group | insurance violation | 2020 | MN-FIN | $8,000 |
American Family Mutual Insurance Co. and American Family Insurance Co. | American Family Insurance | insurance violation | 2020 | MN-FIN | $35,000 |
PayPal, Inc. dba Venmo | PayPal Holdings | consumer protection violation | 2020 | MN-FIN | $20,000 |
Merrill Lynch, Pierce, Fenner & Smith Inc. | Bank of America | investor protection violation | 2020 | NH-BSR | $26,250,000 |
USAA Federal Savings Bank | USAA | banking violation | 2020 | OCC | $382,500 |
State Farm Bank, FSB | State Farm Insurance | banking violation | 2020 | OCC | $547,200 |
Pruco Securities, LLC | Prudential Financial | investor protection violation | 2020 | SEC | $18,252,341 |
Voya Financial Advisors, Inc. | Voya Financial | investor protection violation | 2020 | SEC | $22,919,155 |
Robinhood Financial LLC | Robinhood Markets | investor protection violation | 2020 | SEC | $65,000,000 |
Ameritas Life Insurance Corp. | Ameritas Mutual Holding Company | insurance violation | 2020 | TN-INS | $30,000 |
Buckeye Texas Processing LLC | IFM Investors | environmental violation | 2020 | TX-ENV | $607,617 |
Indemnity Insurance Company of North America | Chubb Limited | insurance violation | 2020 | TX-INS | $15,000 |
Indemnity Insurance Company of North America | Chubb Limited | insurance violation | 2020 | TX-INS | $9,500 |
Unitrin County Mutual Insurance Company | Kemper | insurance violation | 2020 | TX-INS | $80,000 |
Liberty Mutual Insurance Company | Liberty Mutual Insurance | insurance violation | 2020 | TX-INS | $8,500 |
Indemnity Insurance Company of North America | Chubb Limited | insurance violation | 2020 | TX-INS | $8,500 |
Hartford Casualty Insurance Company | Hartford Financial Services | insurance violation | 2020 | TX-INS | $7,500 |
Erie Insurance Company and Erie Insurance Exchange | Erie Indemnity | insurance violation | 2020 | VA-INS | $19,371 |
Lincoln National Life Insurance Company | Lincoln National | insurance violation | 2020 | VA-INS | $7,800 |
TIAA Bank, FSB | TIAA | wage and hour violation | 2020 | private lawsuit-federal | $3,500,000 |
Transamerica Financial Advisors, Inc. | Aegon | investor protection violation | 2020 | FINRA | $8,800,000 |
Wells Fargo Clearing Services, LLC and Wells Fargo Advisors Financial Network, LLC | Wells Fargo | investor protection violation | 2020 | FINRA | $2,075,000 |
Interactive Brokers LLC | Interactive Brokers Group | anti-money-laundering deficiencies | 2020 | FINRA | $15,000,000 |
SG Americas Securities, LLC | Societe Generale | investor protection violation | 2020 | FINRA | $1,550,000 |
Merrill Lynch, Pierce, Fenner & Smith Inc. | Bank of America | investor protection violation | 2020 | FINRA | $7,200,000 |
Stifel, Nicolaus & Company, Incorporated | Stifel Financial | investor protection violation | 2020 | FINRA | $3,650,000 |
State Farm Fire & Casualty Company | State Farm Insurance | insurance violation | 2020 | CT-INS | $60,000 |
Transamerica Life Insurance Company | Aegon | insurance violation | 2020 | CT-INS | $10,000 |
American General Life Insurance Company | American International Group | insurance violation | 2020 | CT-INS | $10,000 |
Minnesota Life Insurance Company | Securian Financial | insurance violation | 2020 | CT-INS | $7,000 |
Standard Insurance Company | Meiji Yasuda Life Insurance | insurance violation | 2020 | CT-INS | $10,000 |
Principal Life Insurance Company | Principal Financial | insurance violation | 2020 | CT-INS | $10,000 |
Harleysville Worcester Insurance Company | Nationwide | insurance violation | 2020 | CT-INS | $6,500 |
Progressive Direct Insurance Company | Progressive | insurance violation | 2020 | CT-INS | $56,500 |
Crestbrook Insurance Company | Nationwide | insurance violation | 2020 | CT-INS | $15,500 |
American Guarantee and Liability Insurance Company | Zurich Insurance | insurance violation | 2020 | CT-INS | $10,000 |
Janney Montgomery Scott, LLC | Penn Mutual | investor protection violation | 2020 | CT-SEC | $250,000 |
Schupp & Grochmal, LLC | Schupp & Grochmal | investor protection violation | 2020 | CT-SEC | $7,500 |
Transamerica Financial Life Insurance Company | Aegon | insurance violation | 2020 | NY-DFS | $750,000 |
Mercury Casualty Company | Mercury General Corporation | insurance violation | 2020 | NY-DFS | $11,000 |
Arthur J. Gallagher Risk Management Services, Inc. | Arthur J. Gallagher & Co. | insurance violation | 2020 | NY-DFS | $300,800 |
Arthur J. Gallagher Risk Management Services, Inc. | Arthur J. Gallagher & Co. | insurance violation | 2020 | NY-DFS | $39,750 |
HSBC | HSBC | employment discrimination | 2020 | NY-NYCCHR | $30,000 |
Zurich American Life Insurance Company of New York | Zurich Insurance | insurance violation | 2020 | NY-DFS | $25,000 |
ReliaStar Life Insurance Company of New York | Voya Financial | insurance violation | 2020 | NY-DFS | $169,000 |
Bankers Conseco Life Insurance Company | CNO Financial | insurance violation | 2020 | NY-DFS | $75,000 |
William Penn Life Insurance Company of New York | Legal & General Group PLC | insurance violation | 2020 | NY-DFS | $110,000 |
National Integrity Life Insurance Company | Western & Southern Financial Group | insurance violation | 2020 | NY-DFS | $20,000 |
Ameritas Life Insurance Corp. of New York | Ameritas Mutual Holding Company | insurance violation | 2020 | NY-DFS | $84,668 |
Bank Of The West | Bank of Montreal | wage and hour violation | 2020 | CA-LCO | $5,783 |
Bank of America N.A. | Bank of America | price-fixing or anti-competitive practices | 2020 | private lawsuit-federal | $5,000,000 |
Bank of America N.A. | Bank of America | price-fixing or anti-competitive practices | 2020 | private lawsuit-federal | $6,250,000 |
Bank of America N.A. | Bank of America | price-fixing or anti-competitive practices | 2020 | private lawsuit-federal | $1,500,000 |
Barclays Bank PLC | Barclays | price-fixing or anti-competitive practices | 2020 | private lawsuit-federal | $7,100,000 |
Barclays Bank PLC | Barclays | price-fixing or anti-competitive practices | 2020 | private lawsuit-federal | $19,975,000 |
Barclays Capital Inc. | Barclays | price-fixing or anti-competitive practices | 2020 | private lawsuit-federal | $87,000,000 |
BNP Paribas Securities Corp. | BNP Paribas | price-fixing or anti-competitive practices | 2020 | private lawsuit-federal | $20,833,333 |
Cantor Fitzgerald & Co. | Cantor Fitzgerald | price-fixing or anti-competitive practices | 2020 | private lawsuit-federal | $20,833,333 |
Citibank N.A. | Citigroup | price-fixing or anti-competitive practices | 2020 | private lawsuit-federal | $7,025,000 |
Citibank N.A. | Citigroup | price-fixing or anti-competitive practices | 2020 | private lawsuit-federal | $33,400,000 |
Citigroup Global Markets Inc. | Citigroup | price-fixing or anti-competitive practices | 2020 | private lawsuit-federal | $20,833,333 |
Citigroup Inc. | Citigroup | price-fixing or anti-competitive practices | 2020 | private lawsuit-federal | $9,950,000 |
Credit Suisse Securities (USA) LLC | UBS | price-fixing or anti-competitive practices | 2020 | private lawsuit-federal | $20,833,333 |
Deutsche Bank | Deutsche Bank | price-fixing or anti-competitive practices | 2020 | private lawsuit-federal | $80,000,000 |
Deutsche Bank | Deutsche Bank | price-fixing or anti-competitive practices | 2020 | private lawsuit-federal | $15,000,000 |
First Tennessee Bank NA | First Horizon National | price-fixing or anti-competitive practices | 2020 | private lawsuit-federal | $14,500,000 |
Goldman Sachs | Goldman Sachs | price-fixing or anti-competitive practices | 2020 | private lawsuit-federal | $20,000,000 |
Highmark Inc. | Highmark Inc. | price-fixing or anti-competitive practices | 2020 | private lawsuit-federal | $7,500,000 |
HSBC Bank PLC | HSBC | price-fixing or anti-competitive practices | 2020 | private lawsuit-federal | $4,750,000 |
HSBC Bank PLC | HSBC | price-fixing or anti-competitive practices | 2020 | private lawsuit-federal | $11,100,000 |
HSBC Bank PLC | HSBC | price-fixing or anti-competitive practices | 2020 | private lawsuit-federal | $18,500,000 |
HSBC Securities (USA) Inc. | HSBC | price-fixing or anti-competitive practices | 2020 | private lawsuit-federal | $20,833,333 |
J.P. Morgan Securities LLC | JPMorgan Chase | price-fixing or anti-competitive practices | 2020 | private lawsuit-federal | $20,833,333 |
JPMorgan Chase & Co. | JPMorgan Chase | price-fixing or anti-competitive practices | 2020 | private lawsuit-federal | $5,000,000 |
JPMorgan Chase & Co. | JPMorgan Chase | price-fixing or anti-competitive practices | 2020 | private lawsuit-federal | $6,250,000 |
JPMorgan Chase & Co. | JPMorgan Chase | price-fixing or anti-competitive practices | 2020 | private lawsuit-federal | $1,500,000 |
Merrill Lynch Pierce Fenner & Smith Inc. | Bank of America | price-fixing or anti-competitive practices | 2020 | private lawsuit-federal | $20,833,333 |
Morgan Stanley & Co. LLC | Morgan Stanley | price-fixing or anti-competitive practices | 2020 | private lawsuit-federal | $20,833,333 |
MUFG Bank Ltd. | U.S. Bancorp | price-fixing or anti-competitive practices | 2020 | private lawsuit-federal | $985,000 |
Nomura Securities International Inc. | Nomura | price-fixing or anti-competitive practices | 2020 | private lawsuit-federal | $20,833,333 |
Royal Bank of Scotland Group | NatWest Group PLC | price-fixing or anti-competitive practices | 2020 | private lawsuit-federal | $13,000,000 |
SG Americas Securities LLC | Societe Generale | price-fixing or anti-competitive practices | 2020 | private lawsuit-federal | $20,833,333 |
Societe Generale | Societe Generale | price-fixing or anti-competitive practices | 2020 | private lawsuit-federal | $5,125,000 |
Societe Generale | Societe Generale | price-fixing or anti-competitive practices | 2020 | private lawsuit-federal | $975,000 |
Standard Chartered Bank | Standard Chartered | price-fixing or anti-competitive practices | 2020 | private lawsuit-federal | $1,720,000 |
TD Securities (USA) LLC | Toronto-Dominion Bank | price-fixing or anti-competitive practices | 2020 | private lawsuit-federal | $20,833,333 |
UBS AG | UBS | price-fixing or anti-competitive practices | 2020 | private lawsuit-federal | $17,900,000 |