Fortis Insurance Co. and John Alden Life Insurance Co. | Assurant | insurance violation | 2002 | MN-FIN | $75,000 |
Horace Mann Insurance Co. | Horace Mann Educators Corp. | insurance violation | 2002 | MN-FIN | $10,000 |
American Income Life Insurance Co. | Globe Life Inc. | insurance violation | 2002 | MS-INS | $50,000 |
Trumbull Insurance Co. | Hartford Financial Services | insurance violation | 2002 | MT-FIN | $5,000 |
Buck Consultants, Inc. | Arthur J. Gallagher & Co. | insurance violation | 2002 | MT-FIN | $9,000 |
U.S. Bancorp Piper Jaffray Inc. | Piper Sandler | investor protection violation | 2002 | NE-DBF | $5,000 |
Merrill Lynch | Bank of America | investor protection violation | 2002 | NH-BSR | $500,000 |
USAA | USAA | insurance violation | 2002 | OH-INS | $30,000 |
Western Union Financial Services, Inc. | Western Union | anti-money-laundering deficiencies | 2002 | NY-DFS | $8,000,000 |
Equitable Life and Casualty Insurance Company | Equitable Holdings | insurance violation | 2002 | OR-FIN | $25,000 |
Fortis Insurance Company | Assurant | insurance violation | 2002 | OR-FIN | $42,500 |
Great American Life Insurance Company | Massachusetts Mutual Life Insurance | insurance violation | 2002 | OR-FIN | $10,000 |
American Bankers Insurance Company of Florida | Assurant | insurance violation | 2002 | OR-FIN | $30,000 |
AIU Insurance Company | American International Group | insurance violation | 2002 | OR-FIN | $10,000 |
Jackson National Life Insurance Company | Jackson Financial | insurance violation | 2002 | OR-FIN | $10,000 |
Globe Life And Accident Insurance Compan | Globe Life Inc. | insurance violation | 2002 | OR-FIN | $5,000 |
Farmers Insurance Group | Zurich Insurance | insurance violation | 2002 | TX-INS | $15,000,000 |
NEW YORK LIFE INSURANCE CO | New York Life Insurance | insurance violation | 2002 | VA-INS | $13,500 |
UNITED AMERICAN INSURANCE CO. | Globe Life Inc. | insurance violation | 2002 | VA-INS | $10,000 |
FIDELITY & GUARANTY LIFE INSURANCE | Fidelity National Financial | insurance violation | 2002 | VA-INS | $15,000 |
AVEMCO INSURANCE COMPANY | Tokio Marine | insurance violation | 2002 | VA-INS | $12,000 |
FORTIS INSURANCE CO., ET AL. | Assurant | insurance violation | 2002 | VA-INS | $27,000 |
NEW ENGLAND LIFE INSURANCE CO. | Brighthouse Financial | insurance violation | 2002 | VA-INS | $9,000 |
Combined Insurance Company of America | Chubb Limited | insurance violation | 2002 | VA-INS | $27,000 |
PRINCIPAL LIFE INSURANCE CO. | Principal Financial | insurance violation | 2002 | VA-INS | $12,000 |
SAFECO INSURANCE CO. ET AL. | Liberty Mutual Insurance | insurance violation | 2002 | VA-INS | $28,200 |
ALLSTATE INSURANCE COMPANY | Allstate | insurance violation | 2002 | VA-INS | $10,000 |
MUTUAL OF OMAHA INSURANCE CO. | Mutual of Omaha | insurance violation | 2002 | VA-INS | $25,800 |
AMERICAN HERITAGE LIFE INSURANCE CO | Allstate | insurance violation | 2002 | VA-INS | $15,000 |
AMICA MUTUAL INSURANCE COMPANY | Amica Mutual Insurance | insurance violation | 2002 | VA-INS | $14,000 |
PRUDENTIAL INSURANCE COMPANY | Prudential Financial | insurance violation | 2002 | VA-INS | $15,000 |
Life Insurance Company of Georgia and Southland Life Insurance Company | Prudential PLC | insurance violation | 2002 | MULTI-FIN | $4,000,000 |
Unitrin Inc. | Kemper | insurance violation | 2002 | MULTI-FIN | $33,000,000 |
MetLife | MetLife | discriminatory practices (non-employment) | 2002 | NY-DFS | $160,000,000 |
RR DONNELLEY | Chatham Asset Management | environmental violation | 2002 | PA-ENV | $5,000 |
Vitol S.A. | Vitol | air pollution violation | 2002 | CA-ARB | $25,000 |
R.R. Donnelley & Sons Company | Chatham Asset Management | environmental violation | 2002 | CT-ENV | $25,500 |
MBNA | Bank of America | environmental violation | 2002 | DE-ENV | $225,000 |
HANOVER INSURANCE GROUP | Hanover Insurance | environmental violation | 2002 | MA-ENV | $10,000 |
American Express Financial Advisors Inc. | Ameriprise Financial | investor protection violation | 2002 | FINRA | $350,000 |
Deutsche Bank Securities Inc. | Deutsche Bank | investor protection violation | 2002 | FINRA | (*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $1,650,000 |
Goldman, Sachs & Co. | Goldman Sachs | investor protection violation | 2002 | FINRA | (*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $1,650,000 |
Morgan Stanley & Co. Incorporated | Morgan Stanley | investor protection violation | 2002 | FINRA | (*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $1,650,000 |
Salomon Smith Barney Inc. | Morgan Stanley | investor protection violation | 2002 | FINRA | (*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $1,650,000 |
U.S. Bancorp Piper Jaffray Inc. | Piper Sandler | investor protection violation | 2002 | FINRA | (*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $1,650,000 |
Salomon Smith Barney | Morgan Stanley | investor protection violation | 2002 | FINRA | $5,000,000 |
U.S. Bancorp Piper Jaffray | Piper Sandler | investor protection violation | 2002 | FINRA | $250,000 |
Interactive Brokers, L.L.C. | Interactive Brokers Group | investor protection violation | 2002 | FINRA | $230,000 |
Credit Suisse First Boston Corporation | UBS | investor protection violation | 2002 | FINRA | (*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $50,000,000 |
Knight Securities L.P. | Virtu Financial | investor protection violation | 2002 | FINRA | $1,500,000 |
First American Financial Corp. | First American Financial | air pollution violation | 2002 | CA-SCAQMD | $6,500 |
R.R. DONNELLEY & SONS COMPANY | Chatham Asset Management | workplace safety or health violation | 2002 | OSHA | $55,000 |
ALLSTATE | Allstate | workplace safety or health violation | 2002 | OSHA | $69,500 |
VITOL SA, INC | Vitol | air pollution violation | 2002 | EPA | $95,000 |
Morgan Stanley Capital Group, Inc. | Morgan Stanley | air pollution violation | 2002 | EPA | $7,500 |
Republic New York Securities Corporation | HSBC | investor protection violation | 2001 | CFTC | $5,000,000 |
U.S. Trust Corporation | Bank of America | banking violation | 2001 | FED | $5,000,000 |
Salomon Smith Barney | Morgan Stanley | employment discrimination | 2001 | EEOC | $635,000 |
CNG FINANCIAL CORPORATION | CNG Financial | labor relations violation | 2001 | NLRB | $6,000 |
Republic New York Securities | HSBC | fraud | 2001 | USAO | $569,000,000 |
Bank of America | Bank of America | wage and hour violation | 2001 | private lawsuit-state | $22,000,000 |
Farmers Insurance Exchange | Farmers Insurance Exchange | wage and hour violation | 2001 | private lawsuit-state | $90,009,208 |
Western Asset Management Co. | Franklin Resources | investor protection violation | 2001 | SEC | $50,000 |
Legg Mason Fund Adviser, Inc. | Franklin Resources | investor protection violation | 2001 | SEC | $50,000 |
ABN AMRO Incorporated | ABN AMRO | investor protection violation | 2001 | SEC | $200,000 |
Legg Mason Wood Walker, Incorporated | Franklin Resources | investor protection violation | 2001 | SEC | $50,000 |
Prudential Securities Incorporated | Wells Fargo | investor protection violation | 2001 | SEC | $800,000 |
Bank of America | Bank of America | False Claims Act and related | 2001 | AK-AG | $35,600,000 |
Farmers Insurance Group | Zurich Insurance | discriminatory practices (non-employment) | 2001 | OH-AG | $4,300,000 |
FleetBoston Financial Corporation | Bank of America | privacy violation | 2001 | NY-AG | $100,000 |
H&R Block Financial Advisors | H&R Block | privacy violation | 2001 | MO-AG | $15,000 |
Progressive Insurance Company of Ohio | Progressive | consumer protection violation | 2001 | IA-AG | $127,500 |
Fidelity National Title Insurance Co. | Fidelity National Financial | insurance violation | 2001 | CO-INS | $17,250 |
Janney Montgomery Scott, Inc. | Penn Mutual | investor protection violation | 2001 | DE-SEC | $210,909 |
COMMERCE AND INDUSTRY INSURANCE COMPANY | American International Group | insurance violation | 2001 | FL-OFR | $11,500 |
EMPLOYERS INSURANCE OF WAUSAU, A MUTUAL COMPANY | Liberty Mutual Insurance | insurance violation | 2001 | FL-OFR | $23,075 |
GREAT AMERICAN ALLIANCE INSURANCE COMPANY | American Financial Group | insurance violation | 2001 | FL-OFR | $5,500 |
GREAT AMERICAN ASSURANCE COMPANY | American Financial Group | insurance violation | 2001 | FL-OFR | $12,500 |
STANDARD GUARANTY INSURANCE COMPANY | Assurant | insurance violation | 2001 | FL-OFR | $6,000 |
T.H.E. INSURANCE COMPANY | AXA | insurance violation | 2001 | FL-OFR | $15,000 |
WAUSAU BUSINESS INSURANCE COMPANY | Liberty Mutual Insurance | insurance violation | 2001 | FL-OFR | $14,625 |
WAUSAU UNDERWRITERS INSURANCE COMPANY | Liberty Mutual Insurance | insurance violation | 2001 | FL-OFR | $26,325 |
ZENITH INSURANCE COMPANY | Fairfax Financial Holdings | insurance violation | 2001 | FL-OFR | $6,850 |
Conseco Senior Health Insurance Co. | CNO Financial | insurance violation | 2001 | FL-OFR | $22,500 |
Bankers Life and Casualty Co. | CNO Financial | insurance violation | 2001 | FL-OFR | $10,500 |
Globe Life and Accident Insurance Co. | Globe Life Inc. | insurance violation | 2001 | FL-OFR | $6,000 |
Sagamore Insurance Co. | Progressive | insurance violation | 2001 | KS-INS | $20,000 |
United Services Automobile Association | USAA | insurance violation | 2001 | KS-INS | $5,000 |
Hanover Insurance Company | Hanover Insurance | insurance violation | 2001 | MA-INS | $7,040 |
Fidelity & Guaranty Insurance Company | Fidelity National Financial | insurance violation | 2001 | MA-INS | $21,037 |
Valley Forge Life Insurance Company | Prudential PLC | insurance violation | 2001 | MA-INS | $11,600 |
American Bankers Insurance Company of Florida | Assurant | insurance violation | 2001 | MA-INS | $65,000 |
Sentry Insurance A Mutual Company | Sentry Insurance | insurance violation | 2001 | MA-INS | $14,500 |
Washington National Life Insurance Co. | CNO Financial | insurance violation | 2001 | ME-INS | $10,000 |
Fortis Insurance Co. and Fortis Benefits Insurance Co. | Assurant | insurance violation | 2001 | MN-FIN | $5,000 |
Metropolitan Property and Casualty Insurance Co. et al. | Zurich Insurance | insurance violation | 2001 | MN-FIN | $10,000 |
National Union Fire Insurance Company of Pittsburgh, Pa. | American International Group | insurance violation | 2001 | MN-FIN | $7,500 |
State Farm Mutual Automobile Insurance Co. and State Farm Fire and Casualty Co. | State Farm Insurance | insurance violation | 2001 | MN-FIN | $75,000 |
Allstate Insurance Co. | Allstate | insurance violation | 2001 | MN-FIN | $10,000 |
Hartford Accident and Indemnity Co. | Hartford Financial Services | insurance violation | 2001 | MN-FIN | $6,000 |
US Bancorp Piper Jaffray Inc. | Piper Sandler | investor protection violation | 2001 | ND-SEC | $23,250 |