Universal Underwriter Insurance Co. | Zurich Insurance | insurance violation | 2004 | MN-FIN | $200,000 |
Fortis Insurance Co. | Assurant | insurance violation | 2004 | MN-FIN | $5,000 |
John Alden Life Insurance Co. | Assurant | insurance violation | 2004 | MN-FIN | $5,000 |
Foremost Insurance Co. at al. | Zurich Insurance | insurance violation | 2004 | MN-FIN | $75,000 |
Safeco Insurance Company of Illinois | Liberty Mutual Insurance | insurance violation | 2004 | MN-FIN | $5,000 |
AmSouth Investment Services, Inc. | Regions Financial | investor protection violation | 2004 | MS-SEC | $225,000 |
Seneca Ins Co. Inc. | Fairfax Financial Holdings | insurance violation | 2004 | MS-INS | $5,000 |
Safety National Casualty Corp. | Tokio Marine | insurance violation | 2004 | MS-INS | $5,000 |
Seneca Insurance Co. Inc. | Fairfax Financial Holdings | insurance violation | 2004 | MS-INS | $5,000 |
Fortis Insurance Co. et al. | Assurant | insurance violation | 2004 | MT-FIN | $70,000 |
Fortis Insurance Co. | Assurant | insurance violation | 2004 | MT-FIN | $65,000 |
Principal Life Insurance Company | Principal Financial | investor protection violation | 2004 | ND-SEC | $30,000 |
Berthel Fisher and Company Financial Services Inc. | Berthel Fisher | investor protection violation | 2004 | ND-SEC | $20,000 |
Piper Jaffray & Co. | Piper Sandler | investor protection violation | 2004 | ND-SEC | $20,000 |
Piper Jaffray & Co. | Piper Sandler | investor protection violation | 2004 | ND-SEC | $17,000 |
Morgan Stanley | Morgan Stanley | investor protection violation | 2004 | NH-BSR | $500,000 |
Allstate Life Insurance Co. | Allstate | insurance violation | 2004 | NJ-DBI | $15,000 |
AON Risk Services Inc | Aon | insurance violation | 2004 | NJ-DBI | $10,000 |
Hanover Insurance Co. | Hanover Insurance | insurance violation | 2004 | NJ-DBI | $40,000 |
Selective Insurance Co. of America | Selective Insurance Group | insurance violation | 2004 | NJ-DBI | $25,000 |
State Farm Indemnity Co. | State Farm Insurance | insurance violation | 2004 | NJ-DBI | $35,000 |
American General Financial Services Inc. | OneMain Holdings | insurance violation | 2004 | NJ-DBI | $1,200,000 |
Credit Agricole | Credit Agricole | banking violation | 2004 | NY-DFS | $5,000,000 |
Combined Insurance Company of America | Chubb Limited | insurance violation | 2004 | OR-FIN | $10,000 |
Ragen Mackenzie Investment Services LLC | Wells Fargo | investor protection violation | 2004 | OR-FIN | $8,500 |
ING Life Insurance and Annuity Company | Voya Financial | insurance violation | 2004 | OR-FIN | $10,000 |
Affinity Insurance Services Inc. | Aon | insurance violation | 2004 | PA-INS | $5,000 |
Bristol West Insurance Company | Zurich Insurance | insurance violation | 2004 | PA-INS | $10,000 |
Travelers Indemnity Company of Connecticut | Travelers | insurance violation | 2004 | PA-INS | $7,500 |
Great American Alliance Insurance Company | American Financial Group | insurance violation | 2004 | PA-INS | $16,000 |
Great American Assurance Company | American Financial Group | insurance violation | 2004 | PA-INS | $25,000 |
Great American Insurance Company of New York | American Financial Group | insurance violation | 2004 | PA-INS | $17,500 |
Great American Insurance Company | American Financial Group | insurance violation | 2004 | PA-INS | $20,000 |
Great American Spirit Insurance Company | American Financial Group | insurance violation | 2004 | PA-INS | $25,000 |
Bankers Life and Casualty Company | CNO Financial | insurance violation | 2004 | PA-INS | $5,000 |
Allstate Life Insurance Company | Allstate | insurance violation | 2004 | PA-INS | $25,000 |
Hartford Casualty Insurance | Hartford Financial Services | insurance violation | 2004 | PA-INS | $30,000 |
Conseco Life Insurance Company | CNO Financial | insurance violation | 2004 | SC-INS | $6,000 |
Pruco Securities LLC | Prudential Financial | investor protection violation | 2004 | TX-SEC | $10,000 |
PRUDENTIAL INSURANCE COMPANY | Prudential Financial | insurance violation | 2004 | VA-INS | $7,500 |
PRUCO LIFE INSURANCE CO | Prudential Financial | insurance violation | 2004 | VA-INS | $7,500 |
MERRILL LYNCH PIERCE FENNER & | Bank of America | investor protection violation | 2004 | VA-SEC | $268,723 |
AMERICAN ZURICH INSURANCE CO | Zurich Insurance | insurance violation | 2004 | VA-INS | $5,000 |
THE GUARDIAN LIFE INSURANCE CO | Guardian Life Insurance | insurance violation | 2004 | VA-INS | $27,000 |
FEDERAL INSURANCE CO., ET AL. | Chubb Limited | insurance violation | 2004 | VA-INS | $65,000 |
CITIGROUP GLOBAL MARKETS INC | Citigroup | investor protection violation | 2004 | VA-SEC | $72,486 |
PROTECTIVE LIFE INSURANCE CO. | Dai-ichi Life | insurance violation | 2004 | VA-INS | $10,000 |
LIBERTY MUTUAL INSURANCE CO., ET AL | Liberty Mutual Insurance | insurance violation | 2004 | VA-INS | $37,000 |
Morgan Stanley DW Inc. | Morgan Stanley | investor protection violation | 2004 | WA-FIN | $325,000 |
Conseco Health Insurance Co. | CNO Financial | insurance violation | 2004 | WI-INS | $11,000 |
Great American Insurance Co. | American Financial Group | insurance violation | 2004 | WI-INS | $5,000 |
Auto-Owners Insurance Co. | Auto-Owners Insurance | insurance violation | 2004 | WI-INS | $5,000 |
AmSouth Investment Services Inc. | Regions Financial | investor protection violation | 2004 | MULTI-FIN | $225,000 |
Cincinnati Life Insurance Company | Cincinnati Financial | insurance violation | 2004 | MULTI-FIN | $216,750 |
WFS Financial, Inc. | Wells Fargo | discriminatory practices (non-employment) | 2004 | private lawsuit-federal | $4,550,000 |
General Motors Acceptance Corp. | Ally Financial | discriminatory practices (non-employment) | 2004 | private lawsuit-federal | $9,600,000 |
Cincinnati Life Insurance Company | Cincinnati Financial | discriminatory practices (non-employment) | 2004 | private lawsuit-state | $1,900,000 |
Flagstar Bank | New York Community Bancorp | discriminatory practices (non-employment) | 2004 | private lawsuit-federal | $1,100,000 |
SYNAGRO CTL LLC | Goldman Sachs | environmental violation | 2004 | PA-ENV | $20,000 |
Pro Line Printing, Inc. | Chatham Asset Management | environmental violation | 2004 | CT-ENV | $11,125 |
WHEELABRATOR RIDGE ENERGY, INC. | Macquarie | environmental violation | 2004 | FL-DEP | $19,000 |
THE HENNEGAN COMPANY | Chatham Asset Management | environmental violation | 2004 | KY-ENV | $70,000 |
GOODRICH AVIATION TECH SRV INC | Macquarie | environmental violation | 2004 | WA-ENV | $9,000 |
H&R Block Financial Advisors, Inc. | H&R Block | investor protection violation | 2004 | FINRA | $825,000 |
Knight Securities, L.P. | Virtu Financial | investor protection violation | 2004 | FINRA | $12,500,000 |
Citigroup Global Markets, Inc. | Citigroup | investor protection violation | 2004 | FINRA | $275,000 |
Morgan Stanley DW Inc | Morgan Stanley | investor protection violation | 2004 | FINRA | $336,510 |
Merrill Lynch, Pierce, Fenner & Smith, Inc. | Bank of America | investor protection violation | 2004 | FINRA | $1,600,000 |
American Express Financial Advisors Inc. | Ameriprise Financial | investor protection violation | 2004 | FINRA | $700,000 |
Wachovia Securities LLC | Wells Fargo | investor protection violation | 2004 | FINRA | $650,000 |
Prudential Equity Group LLC | Prudential Financial | investor protection violation | 2004 | FINRA | $550,000 |
Raymond James Financial Services Inc. | Raymond James Financial | investor protection violation | 2004 | FINRA | $400,000 |
Metropolitan Life Insurance Co. | MetLife | investor protection violation | 2004 | FINRA | $375,000 |
NYLife Securities, Inc. | New York Life Insurance | investor protection violation | 2004 | FINRA | $350,000 |
Edward Jones & Co., LP | Jones Financial | investor protection violation | 2004 | FINRA | $300,000 |
Chase Investment Services Corp. | JPMorgan Chase | investor protection violation | 2004 | FINRA | $250,000 |
AXA Advisors, LLC | Equitable Holdings | investor protection violation | 2004 | FINRA | $250,000 |
MML Investor Services, Inc. | Massachusetts Mutual Life Insurance | investor protection violation | 2004 | FINRA | $250,000 |
Banc of America Investment Services Inc. | Bank of America | investor protection violation | 2004 | FINRA | $200,000 |
ING Financial Partners, Inc. | Voya Financial | investor protection violation | 2004 | FINRA | $200,000 |
New England Securities | MetLife | investor protection violation | 2004 | FINRA | $200,000 |
Allstate Financial Services LLC | Allstate | investor protection violation | 2004 | FINRA | $150,000 |
RBC Dain Rauscher, Inc. | Royal Bank of Canada | investor protection violation | 2004 | FINRA | $150,000 |
Wells Fargo Investments, LLC | Wells Fargo | investor protection violation | 2004 | FINRA | $150,000 |
World Group Securities, Inc. | Aegon | investor protection violation | 2004 | FINRA | $150,000 |
Jefferson Pilot Securities Corporation | Lincoln National | investor protection violation | 2004 | FINRA | $125,000 |
SunAmerica Securities, Inc. | American International Group | investor protection violation | 2004 | FINRA | $100,000 |
Citigroup Global Markets, Inc. | Citigroup | investor protection violation | 2004 | FINRA | $250,000 |
Credit Suisse First Boston, L.L.C. | UBS | investor protection violation | 2004 | FINRA | $50,000 |
Deutsche Bank Securities, Inc. | Deutsche Bank | investor protection violation | 2004 | FINRA | $15,000 |
Schwab Capital Markets, L.P. | UBS | investor protection violation | 2004 | FINRA | $70,000 |
Scottrade, Inc. | Charles Schwab Corp. | investor protection violation | 2004 | FINRA | $16,000 |
Spear, Leeds & Kellogg, L.P. | Goldman Sachs | investor protection violation | 2004 | FINRA | $75,000 |
UBS Securities, L.L.C. | UBS | investor protection violation | 2004 | FINRA | $10,000 |
SG Cowen, LLC | Toronto-Dominion Bank | investor protection violation | 2004 | FINRA | $800,000 |
Morgan Stanley DW Inc. | Morgan Stanley | investor protection violation | 2004 | FINRA | $2,200,000 |
Goldman, Sachs & Co. | Goldman Sachs | investor protection violation | 2004 | FINRA | $5,000,000 |
Deutsche Bank Securities, Inc. | Deutsche Bank | investor protection violation | 2004 | FINRA | $5,000,000 |
Citigroup Global Markets Inc. | Citigroup | investor protection violation | 2004 | FINRA | $5,000,000 |
Citigroup Global Markets, Inc. | Citigroup | investor protection violation | 2004 | FINRA | $250,000 |
Merrill Lynch, Pierce, Fenner & Smith Incorporated | Bank of America | investor protection violation | 2004 | FINRA | $250,000 |