| SAFECO Insurance Company of America et al. | Liberty Mutual Insurance | insurance violation | 2014 | MD-INS | $5,000 |
| Elephant Insurance Co. | Admiral Group | insurance violation | 2014 | MD-INS | $5,000 |
| Allstate Insurance Co. | Allstate | insurance violation | 2015 | MD-INS | $5,000 |
| Homesite Insurance Company of the Midwest | American Family Insurance | insurance violation | 2015 | MD-INS | $5,000 |
| Unitrin Direct Property & Casualty Co. et al. | Kemper | insurance violation | 2015 | MD-INS | $5,000 |
| American Automobile Insurance Co. | Allianz | insurance violation | 2015 | MD-INS | $5,000 |
| Fireman's Fund Insurance Co. | Allianz | insurance violation | 2015 | MD-INS | $5,000 |
| Erie Insurance Exchange | Erie Indemnity | insurance violation | 2016 | MD-INS | $5,000 |
| Chicago Title Insurance Co. | Fidelity National Financial | insurance violation | 2016 | MD-INS | $5,000 |
| Safety National Casualty Corp. | Tokio Marine | insurance violation | 2017 | MD-INS | $5,000 |
| Allied Property And Casualty Insurance Co. et al. | Nationwide | insurance violation | 2017 | MD-INS | $5,000 |
| CareFirst BlueChoice, Inc. | CareFirst of Maryland | insurance violation | 2018 | MD-INS | $5,000 |
| Bankers Life & Casualty Co. | CNO Financial | insurance violation | 2003 | ME-INS | $5,000 |
| John Alden Life Insurance Co. | Assurant | insurance violation | 2004 | ME-INS | $5,000 |
| John Alden Life Insurance Co. | Assurant | insurance violation | 2004 | ME-INS | $5,000 |
| Hartford Fire Insurance Co. | Hartford Financial Services | insurance violation | 2007 | ME-INS | $5,000 |
| Hartford Accident and Indemnity Co. | Hartford Financial Services | insurance violation | 2007 | ME-INS | $5,000 |
| Hartford Casualty Insurance Co. | Hartford Financial Services | insurance violation | 2007 | ME-INS | $5,000 |
| Hartford Underwriters Insurance Co. | Hartford Financial Services | insurance violation | 2007 | ME-INS | $5,000 |
| Twin City Fire Insurance Co. | Hartford Financial Services | insurance violation | 2007 | ME-INS | $5,000 |
| Prosper Marketplace, Inc. | Prosper Marketplace | investor protection violation | 2011 | ME-SEC | $5,000 |
| Solium Financial Services, LLC | Morgan Stanley | investor protection violation | 2020 | ME-SEC | $5,000 |
| Fortis Insurance Co. and Fortis Benefits Insurance Co. | Assurant | insurance violation | 2001 | MN-FIN | $5,000 |
| American Express Financial Advisors, Inc. | Ameriprise Financial | investor protection violation | 2002 | MN-FIN | $5,000 |
| American Family Mutual Insurance Co. | American Family Insurance | insurance violation | 2002 | MN-FIN | $5,000 |
| Travelers Indemnity Co. | Travelers | insurance violation | 2002 | MN-FIN | $5,000 |
| Illinois Union Insurance Co. | Chubb Limited | insurance violation | 2002 | MN-FIN | $5,000 |
| Chubb Indemnity Insurance Co. | Chubb Limited | insurance violation | 2002 | MN-FIN | $5,000 |
| Auto-Owners Insurance Co. | Auto-Owners Insurance | insurance violation | 2003 | MN-FIN | $5,000 |
| Foremost Insurance Co. | Zurich Insurance | insurance violation | 2003 | MN-FIN | $5,000 |
| Conseco Senior Health Insurance Co. | CNO Financial | insurance violation | 2004 | MN-FIN | $5,000 |
| Conseco Health Insurance Co. | CNO Financial | insurance violation | 2004 | MN-FIN | $5,000 |
| Fortis Insurance Co. | Assurant | insurance violation | 2004 | MN-FIN | $5,000 |
| John Alden Life Insurance Co. | Assurant | insurance violation | 2004 | MN-FIN | $5,000 |
| Safeco Insurance Company of Illinois | Liberty Mutual Insurance | insurance violation | 2004 | MN-FIN | $5,000 |
| Metropolitan Property and Casualty Insurance Co. | Zurich Insurance | insurance violation | 2005 | MN-FIN | $5,000 |
| Stewart Title Guaranty Co. | Stewart Information Services | insurance violation | 2006 | MN-FIN | $5,000 |
| The Prudential Insurance Company of America | Prudential Financial | insurance violation | 2006 | MN-FIN | $5,000 |
| American Family Mutual Insurance Co. | American Family Insurance | insurance violation | 2011 | MN-FIN | $5,000 |
| ING Financial Partners, Inc. | Voya Financial | investor protection violation | 2012 | MN-FIN | $5,000 |
| State Farm Fire and Casualty Co. | State Farm Insurance | insurance violation | 2012 | MN-FIN | $5,000 |
| Allstate Insurance Co. | Allstate | insurance violation | 2012 | MN-FIN | $5,000 |
| American Family Mutual Insurance Co. | American Family Insurance | insurance violation | 2013 | MN-FIN | $5,000 |
| QBE Insurance Co. | QBE Insurance | insurance violation | 2013 | MN-FIN | $5,000 |
| American Security Insurance Company | Assurant | insurance violation | 2013 | MN-FIN | $5,000 |
| Progressive Casualty Insurance Co. | Progressive | insurance violation | 2014 | MN-FIN | $5,000 |
| QBE North America | QBE Insurance | insurance violation | 2014 | MN-FIN | $5,000 |
| USAA Casualty Insurance Co. | USAA | insurance violation | 2014 | MN-FIN | $5,000 |
| Philadelphia Indemnity Insurance Co. | Tokio Marine | insurance violation | 2015 | MN-FIN | $5,000 |
| Transamerica Premier Life Insurance Co. | Aegon | insurance violation | 2015 | MN-FIN | $5,000 |
| Philadelphia Indemnity Insurance Co. | Tokio Marine | insurance violation | 2015 | MN-FIN | $5,000 |
| Prudential Insurance Company of America | Prudential Financial | insurance violation | 2016 | MN-FIN | $5,000 |
| AXA Equitable Life Insurance Co. | Equitable Holdings | insurance violation | 2016 | MN-FIN | $5,000 |
| State Farm Mutual Automobile Insurance Co. | State Farm Insurance | insurance violation | 2016 | MN-FIN | $5,000 |
| HCC Life Insurance Co. | Tokio Marine | insurance violation | 2016 | MN-FIN | $5,000 |
| Allstate Insurance Co. | Allstate | insurance violation | 2016 | MN-FIN | $5,000 |
| John Hancock Life & Health Insurance Co. | Manulife Financial | insurance violation | 2016 | MN-FIN | $5,000 |
| ReliaStar Insurance Co. | Voya Financial | insurance violation | 2017 | MN-FIN | $5,000 |
| 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 |
| Horace Mann Insurance Co. | Horace Mann Educators Corp. | insurance violation | 2020 | MN-FIN | $5,000 |
| Progressive Casualty Insurance Company | Progressive | insurance violation | 2020 | MN-FIN | $5,000 |
| Berthel Fisher & Company Financial Services, Inc. | Berthel Fisher | investor protection violation | 2011 | MO-SEC | $5,000 |
| National General Insurance Co. | Allstate | insurance violation | 2012 | MO-INS | $5,000 |
| Accident Fund General Insurance Co. | AF Group | insurance violation | 2018 | MO-INS | $5,000 |
| Accident Fund National Insurance Co. | AF Group | insurance violation | 2018 | MO-INS | $5,000 |
| Accident Fund Insurance Company of America | AF Group | insurance violation | 2018 | MO-INS | $5,000 |
| United Wisconsin Insurance Co. | AF Group | insurance violation | 2018 | MO-INS | $5,000 |
| 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 |
| 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 |
| Trumbull Insurance Co. | Hartford Financial Services | insurance violation | 2002 | MT-INS | $5,000 |
| NEXT Financial Group, Inc. | Atria Wealth Solutions | investor protection violation | 2010 | MT-SEC | $5,000 |
| Genworth Life and Annuity Insurance Co. | Genworth Financial | insurance violation | 2011 | MT-INS | $5,000 |
| Metlife Investors USA Insurance Co | MetLife | investor protection violation | 2012 | MT-SEC | $5,000 |
| John Hancock Life Insurance Co. | Manulife Financial | insurance violation | 2013 | MT-INS | $5,000 |
| Travelers Casualty and Surety Co. et al. | Travelers | insurance violation | 2013 | MT-INS | $5,000 |
| The Prudential Insurance Company of America | Prudential Financial | insurance violation | 2015 | MT-INS | $5,000 |
| AXA Equitable Life & Annuity Co. | Equitable Holdings | insurance violation | 2016 | MT-INS | $5,000 |
| Liberty Mutual Insurance Co. | Liberty Mutual Insurance | insurance violation | 2016 | MT-INS | $5,000 |
| Conseco Senior Health Insurance Company | CNO Financial | insurance violation | 2001 | ND-INS | $5,000 |
| American Family Mutual Insurance Company | American Family Insurance | insurance violation | 2009 | ND-INS | $5,000 |
| U.S. Bancorp Piper Jaffray Inc. | Piper Sandler | investor protection violation | 2002 | NE-DBF | $5,000 |
| Berthel, Fisher & Company Financial Services, Inc. | Berthel Fisher | investor protection violation | 2007 | NE-DBF | $5,000 |
| Progressive Northern Insurance Company | Progressive | insurance violation | 2006 | NH-INS | $5,000 |
| Allstate New Jersey Insurance Company | Allstate | insurance violation | 2009 | NJ-DBI | $5,000 |
| Gallagher Benefit Services, Inc. | Arthur J. Gallagher & Co. | insurance violation | 2014 | NJ-DBI | $5,000 |
| LifeWise, A Premera Health Plan, Inc. | Premera Blue Cross | insurance violation | 2002 | OR-FIN | $5,000 |
| Globe Life And Accident Insurance Compan | Globe Life Inc. | insurance violation | 2002 | OR-FIN | $5,000 |
| Great American Insurance Company of New York | American Financial Group | insurance violation | 2005 | OR-FIN | $5,000 |
| Ameritas Life Insurance Corp. | Ameritas Mutual Holding Company | insurance violation | 2006 | OR-FIN | $5,000 |
| Granite State Insurance Company | American International Group | insurance violation | 2007 | OR-FIN | $5,000 |
| Reliance Standard Life Insurance Company | Tokio Marine | insurance violation | 2007 | OR-FIN | $5,000 |
| Liberty Northwest Insurance Corporation | Liberty Mutual Insurance | insurance violation | 2009 | OR-FIN | $5,000 |
| Bankers Life and Casualty Company | CNO Financial | insurance violation | 2011 | OR-FIN | $5,000 |
| United of Omaha Life Insurance Company | Mutual of Omaha | insurance violation | 2011 | OR-FIN | $5,000 |
| Metropolitan Life Insurance Company | MetLife | insurance violation | 2011 | OR-FIN | $5,000 |
| Hartford Life and Accident Insurance Company | Hartford Financial Services | insurance violation | 2012 | OR-FIN | $5,000 |
| USAA General Indemnity Company | USAA | insurance violation | 2018 | OR-FIN | $5,000 |
