Israel Discount Bank of New York | Israel Discount Bank | anti-money-laundering deficiencies | 2005 | NY-MANDA | $8,500,000 |
Watson Wyatt & Company | Willis Towers Watson | False Claims Act and related | 2005 | USAO | $689,828 |
Prudential Equity Group, Inc. | Prudential Financial | investor protection violation | 2005 | AL-SEC | $45,000 |
Morgan Keegan & Co. | Raymond James Financial | investor protection violation | 2005 | AL-SEC | $100,000 |
Ameriprise Financial Services, Inc. | Ameriprise Financial | investor protection violation | 2005 | AZ-CC | $1,000,000 |
Allianz Life Insurance Company of North America | Allianz | insurance violation | 2005 | CA-INS | $425,000 |
Coast National Insurance Co. | Zurich Insurance | insurance violation | 2005 | CA-INS | $120,000 |
Philadelphia Indemnity Insurance Co. | Tokio Marine | insurance violation | 2005 | CA-INS | $175,000 |
American Bankers Insurance Company of Florida et al. | Assurant | insurance violation | 2005 | CA-INS | $250,000 |
Stewart Title of California, Inc. | Stewart Information Services | insurance violation | 2005 | CA-INS | $750,000 |
Kemper Investors Life Insurance Co. et al. | Kemper | insurance violation | 2005 | CA-INS | $21,000 |
Allstate Insurance Co. | Allstate | insurance violation | 2005 | CA-INS | $34,000,000 |
Wells Fargo Financial California, Inc. | Wells Fargo | consumer protection violation | 2005 | CA-DFPI | $1,621,010 |
Infinity Insurance Co. et al. | Kemper | insurance violation | 2005 | CA-INS | $600,000 |
American Title Co. dba Ticor Title Company of America | Fidelity National Financial | insurance violation | 2005 | CA-INS | $1,200,000 |
Amco Insurance Co. and Allied Property and Casualty Insurance Co. | Nationwide | insurance violation | 2005 | CA-INS | $20,000 |
Unum Life Insurance Company of America et al. | Unum | insurance violation | 2005 | CA-INS | $8,598,503 |
Fidelity National Title Insurance Co. et al. | Fidelity National Financial | insurance violation | 2005 | CA-INS | $13,300,000 |
Harleysville Mutual Insurance Co. | Nationwide | insurance violation | 2005 | CA-INS | $100,000 |
Janney Montgomery Scott LLC | Penn Mutual | investor protection violation | 2005 | CO-SEC | $259,227 |
Federal Insurance Co. | Chubb Limited | insurance violation | 2005 | CO-INS | $16,000 |
Commerce and Industry Insurance Co. | American International Group | insurance violation | 2005 | CO-INS | $6,000 |
Allstate Insurance Co. | Allstate | insurance violation | 2005 | CO-INS | $10,500 |
Wilmington Trust Co. | M&T Bank | investor protection violation | 2005 | DE-SEC | $50,000 |
Amex Assurance Co. | American Express | insurance violation | 2005 | FL-OFR | $12,500 |
Axa Re Property and Casualty Insurance Co. | AXA | insurance violation | 2005 | FL-OFR | $15,000 |
Scottsdale Insurance Co. | Nationwide | insurance violation | 2005 | FL-OFR | $5,000 |
Sentry Insurance A Mutual Company | Sentry Insurance | insurance violation | 2005 | FL-OFR | $7,500 |
State Farm Florida Insurance Co. | State Farm Insurance | insurance violation | 2005 | FL-OFR | $5,000 |
United Casualty Insurance Company of America | Kemper | insurance violation | 2005 | FL-OFR | $17,500 |
Chicago Title Insurance Co. | Fidelity National Financial | insurance violation | 2005 | FL-OFR | $50,000 |
Fidelity National Title Insurance Co. | Fidelity National Financial | insurance violation | 2005 | FL-OFR | $50,000 |
Safeco Insurance Company of America et al. | Liberty Mutual Insurance | insurance violation | 2005 | FL-OFR | $35,350 |
Ticor Title Insurance Co. | Fidelity National Financial | insurance violation | 2005 | FL-OFR | $50,000 |
Janney Montgomery Scott LLC | Penn Mutual | investor protection violation | 2005 | IL-SEC | $7,500 |
Bear, Stearns & Co., Inc. | JPMorgan Chase | investor protection violation | 2005 | IL-SEC | $10,000 |
Safeco Insurance Co. of America | Liberty Mutual Insurance | insurance violation | 2005 | IN-INS | $5,000 |
American Automobile Insurance Company | Allianz | insurance violation | 2005 | MA-INS | $9,000 |
Aon Risk Services Inc. of Pennsylvania | Aon | insurance violation | 2005 | MA-INS | $19,000 |
New England Life Insurance Company | Brighthouse Financial | insurance violation | 2005 | MA-INS | $13,000 |
Bankers Life & Casualty Co. | CNO Financial | insurance violation | 2005 | ME-INS | $500,000 |
Metropolitan Property and Casualty Insurance Co. | Zurich Insurance | insurance violation | 2005 | MN-FIN | $5,000 |
Fortis Insurance Co. | Assurant | insurance violation | 2005 | MN-FIN | $7,500 |
Fortis Insurance Co. | Assurant | insurance violation | 2005 | MN-FIN | $10,000 |
American Express Financial Advisors, Inc. | Ameriprise Financial | investor protection violation | 2005 | MN-FIN | $2,000,000 |
Oppenheimer & Co., Inc. | Oppenheimer Holdings | investor protection violation | 2005 | MO-SEC | $122,050 |
Edward D. Jones & Co. L.P. | Jones Financial | investor protection violation | 2005 | MO-SEC | $1,500,000 |
Waddell & Reed, Inc. | Macquarie | investor protection violation | 2005 | MT-FIN | $25,000 |
Piper Jaffray & Co. | Piper Sandler | investor protection violation | 2005 | ND-SEC | $30,000 |
Morgan Stanley DW Inc. | Morgan Stanley | investor protection violation | 2005 | NH-BSR | $435,000 |
American Express Financial Advisors Inc. | Ameriprise Financial | investor protection violation | 2005 | NH-BSR | $7,375,000 |
American International Specialty Lines Insurance Co. | American International Group | insurance violation | 2005 | NJ-DBI | $13,000 |
American Security Insurance Co. et al. | Assurant | insurance violation | 2005 | NJ-DBI | $1,775,000 |
Seneca Insurance Co. | Fairfax Financial Holdings | insurance violation | 2005 | NJ-DBI | $72,256 |
ABN AMRO | ABN AMRO | economic sanction violation | 2005 | NY-DFS | $20,000,000 |
United of Omaha Life Insurance Company | Mutual of Omaha | insurance violation | 2005 | OR-FIN | $25,000 |
Farmers Insurance Company of Oregon | Zurich Insurance | insurance violation | 2005 | OR-FIN | $11,000 |
Great American Insurance Company of New York | American Financial Group | insurance violation | 2005 | OR-FIN | $5,000 |
MetLife Securities | MetLife | investor protection violation | 2005 | OR-FIN | $12,000 |
Progressive Classic Insurance Company | Progressive | insurance violation | 2005 | OR-FIN | $8,000 |
Marsh USA, Inc. | Marsh & McLennan | insurance violation | 2005 | OR-FIN | $75,000 |
Combined Insurance Company of America | Chubb Limited | insurance violation | 2005 | PA-INS | $50,000 |
Great American Insurance Company | American Financial Group | insurance violation | 2005 | PA-INS | $150,000 |
Foremost Insurance Company of Grand Rapids, Michigan | Zurich Insurance | insurance violation | 2005 | PA-INS | $5,000 |
Safeco Insurance Company of America | Liberty Mutual Insurance | insurance violation | 2005 | PA-INS | $5,000 |
Selective Insurance Company of South Carolina | Selective Insurance Group | insurance violation | 2005 | PA-INS | $5,000 |
Selective Way Insurance Company | Selective Insurance Group | insurance violation | 2005 | PA-INS | $5,000 |
ALLSTATE LIFE INSURANCE CO. | Allstate | insurance violation | 2005 | VA-INS | $5,000 |
LIBERTY MUTUAL INSURANCE CO. ET AL. | Liberty Mutual Insurance | insurance violation | 2005 | VA-INS | $30,000 |
CUNA MUTUAL INSURANCE SOCIETY | CUNA Mutual | insurance violation | 2005 | VA-INS | $40,000 |
UNITED AMERICAN INSURANCE CO. | Globe Life Inc. | insurance violation | 2005 | VA-INS | $5,000 |
CONSECO SENIOR HEALTH INS. | CNO Financial | insurance violation | 2005 | VA-INS | $7,500 |
AMERICAN HEALTH & LIFE INSURANCE CO | OneMain Holdings | insurance violation | 2005 | VA-INS | $7,000 |
St. Paul Fire & Marine Insurance Co. | Travelers | insurance violation | 2005 | WI-INS | $20,000 |
Progressive Northern Ins Co. | Progressive | insurance violation | 2005 | WI-INS | $5,000 |
Metropolitan Life Insurance Co. | MetLife | insurance violation | 2005 | WI-INS | $5,000 |
Hartford Insurance Company of the Midwest | Hartford Financial Services | insurance violation | 2005 | WI-INS | $9,500 |
Merrill Lynch Pierce Fenner & Smith Inc. | Bank of America | investor protection violation | 2005 | WI-FIN | $7,000 |
Deutsche Bank Securities Inc. | Deutsche Bank | investor protection violation | 2005 | MULTI-FIN | (*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $28,750,000 |
Lincoln National Life Insurance Company | Lincoln National | insurance violation | 2005 | MULTI-FIN | $264,079 |
Thomas Weisel Partners LLC | Stifel Financial | investor protection violation | 2005 | MULTI-FIN | (*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $5,000,000 |
Waddell & Reed, Inc. | Macquarie | investor protection violation | 2005 | MULTI-FIN | $18,000,000 |
Western and Southern Life Insurance Company | Western & Southern Financial Group | insurance violation | 2005 | MULTI-FIN | $2,400,000 |
Bank of America, NA | Bank of America | discriminatory practices (non-employment) | 2005 | private lawsuit-federal | $3,670,000 |
Bank One, KY, N.A. | JPMorgan Chase | discriminatory practices (non-employment) | 2005 | private lawsuit-federal | $6,715,000 |
U.S. Bancorp | U.S. Bancorp | discriminatory practices (non-employment) | 2005 | private lawsuit-federal | $2,495,000 |
Vitol | Vitol | environmental violation | 2005 | CA-ARB | $20,000 |
WHEELABRATOR SOUTH BROWARD, INC. | Macquarie | environmental violation | 2005 | FL-DEP | $14,450 |
LOUIS DREYFUS CITRUS, INC. | Louis Dreyfus | environmental violation | 2005 | FL-DEP | $8,500 |
SUN LIFE ASSURANCE CO OF CANADA | Sun Life Financial | environmental violation | 2005 | MA-ENV | $31,635 |
BUCKEYE PORT READING TERMINAL LLC | IFM Investors | environmental violation | 2005 | NJ-ENV | $103,600 |
BUCKEYE PIPELINE CO LLP | IFM Investors | environmental violation | 2005 | NJ-ENV | $31,500 |
Synagro - WWT, Inc. | Goldman Sachs | environmental violation | 2005 | OH-ENV | $10,000 |
Wheelabrator Falls Inc. | Macquarie | environmental violation | 2005 | PA-ENV | $106,849 |
Bank Of America NA | Bank of America | environmental violation | 2005 | TX-ENV | $12,480 |
Merrill Lynch, Pierce, Fenner & Smith | Bank of America | investor protection violation | 2005 | FINRA | $14,000,000 |
Wells Fargo Investments | Wells Fargo | investor protection violation | 2005 | FINRA | $3,000,000 |
Chase Investment Services | JPMorgan Chase | investor protection violation | 2005 | FINRA | $290,262 |
Ameriprise Financial Services, Inc. | Ameriprise Financial | investor protection violation | 2005 | FINRA | $12,300,000 |
State Street Global Markets LLC | State Street Corp. | investor protection violation | 2005 | FINRA | $1,400,000 |
SG Americas Securities, LLC | Societe Generale | investor protection violation | 2005 | FINRA | $4,478,000 |