Prosper Marketplace, Inc. | Prosper Marketplace | investor protection violation | 2009 | CT-SEC | $12,602 |
Raymond James Financial Services, Inc. | Raymond James Financial | investor protection violation | 2010 | CT-SEC | $15,000 |
Prosper Marketplace, Inc. | Prosper Marketplace | investor protection violation | 2010 | CT-SEC | $5,000 |
Wachovia Securities, LLC nka Wells Fargo Advisors, LLC | Wells Fargo | investor protection violation | 2010 | CT-SEC | $75,000 |
Charles Schwab & Co., Inc. | Charles Schwab Corp. | investor protection violation | 2011 | CT-SEC | $2,800,000 |
Prosper Marketplace, Inc. | Prosper Marketplace | investor protection violation | 2012 | CT-SEC | $40,000 |
Morgan Stanley Smith Barney LLC | Morgan Stanley | investor protection violation | 2014 | CT-SEC | $5,000,000 |
J.P. Morgan Securities LLC | JPMorgan Chase | investor protection violation | 2014 | CT-SEC | $53,800 |
Citigroup Global Markets Inc. | Citigroup | investor protection violation | 2015 | CT-SEC | $35,000 |
ProEquities, Inc. | Dai-ichi Life | investor protection violation | 2018 | CT-SEC | $7,590 |
Voya Financial Advisors, Inc. fka ING Financial Partners, Inc. | Voya Financial | investor protection violation | 2019 | CT-SEC | $1,015,000 |
Solium Financial Services LLC | Morgan Stanley | investor protection violation | 2020 | CT-SEC | $51,136 |
Merrill Lynch, Pierce, Fenner & Smith Inc. | Bank of America | investor protection violation | 2020 | CT-SEC | $400,000 |
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 |
LPL Financial LLC | LPL Financial | investor protection violation | 2021 | CT-SEC | $500,000 |
Assurant Health | Assurant | insurance violation | 2008 | CT-INS | $2,100,000 |
Jackson National Life Insurance Co. | Jackson Financial | insurance violation | 2008 | CT-INS | $483,000 |
Safeco | Liberty Mutual Insurance | insurance violation | 2009 | CT-INS | $434,000 |
Bankers Life & Casualty Co. | CNO Financial | insurance violation | 2009 | CT-INS | $100,000 |
Zurich Insurance Group | Zurich Insurance | insurance violation | 2010 | CT-INS | $235,000 |
Chicago Title Insurance Company, | Fidelity National Financial | insurance violation | 2010 | CT-INS | $62,000 |
Kemper Independence Insurance Co. | Kemper | insurance violation | 2019 | CT-INS | $134,000 |
Mid-Century Insurance Co. | Zurich Insurance | insurance violation | 2019 | CT-INS | $64,000 |
Massachusetts Mutual Life Insurance Company, Inc. | Massachusetts Mutual Life Insurance | insurance violation | 2019 | CT-INS | $61,000 |
Continental Western Insurance Co. | W.R. Berkley | insurance violation | 2019 | CT-INS | $23,000 |
National General Insurance Co. | Allstate | insurance violation | 2019 | CT-INS | $167,500 |
Berkshire Life Insurance Company of America | Guardian Life Insurance | insurance violation | 2019 | CT-INS | $7,500 |
Ameritas Life Insurance Corp. | Ameritas Mutual Holding Company | insurance violation | 2019 | CT-INS | $5,000 |
AIG Property Casualty Co. | American International Group | insurance violation | 2019 | CT-INS | $120,000 |
Continental American Insurance Co. | Aflac | insurance violation | 2019 | CT-INS | $10,000 |
Nationwide Life and Annuity Insurance Co. | Nationwide | insurance violation | 2019 | CT-INS | $16,500 |
Hartford Casualty Insurance Co. | Hartford Financial Services | insurance violation | 2019 | CT-INS | $57,500 |
Hartford Accident and Indemnity Co. | Hartford Financial Services | insurance violation | 2019 | CT-INS | $43,000 |
Property Casualty Insurance Company of Hartford | Hartford Financial Services | insurance violation | 2019 | CT-INS | $14,000 |
Trumbull Insurance Co. | Hartford Financial Services | insurance violation | 2019 | CT-INS | $141,500 |
Sentinel Insurance Co. | Hartford Financial Services | insurance violation | 2019 | CT-INS | $84,000 |
Mutual of Omaha Insurance Co. | Mutual of Omaha | insurance violation | 2019 | CT-INS | $60,500 |
Horace Mann Property & Casualty Insurance Co. | Horace Mann Educators Corp. | insurance violation | 2019 | CT-INS | $18,000 |
American Alternative Insurance Corp. | Munich Re | insurance violation | 2019 | CT-INS | $49,500 |
Lincoln Life & Annuity Company of New York | Lincoln National | insurance violation | 2019 | CT-INS | $7,500 |
The Lincoln National Life Insurance Co. | Lincoln National | insurance violation | 2019 | CT-INS | $65,000 |
Harleysville Insurance Co. | Nationwide | insurance violation | 2020 | CT-INS | $49,000 |
Allstate Indemnity Co. | Allstate | insurance violation | 2020 | CT-INS | $7,500 |
American Bankers Insurance Company of Florida | Assurant | insurance violation | 2020 | CT-INS | $198,000 |
Chicago Title Insurance Co. | Fidelity National Financial | insurance violation | 2020 | CT-INS | $28,000 |
American Family Life Assurance Company of Columbus | Aflac | insurance violation | 2020 | CT-INS | $8,500 |
National Union Fire Insurance Company of Pittsburgh, PA | American International Group | insurance violation | 2020 | CT-INS | $106,000 |
Nationwide Life Insurance Co. | Nationwide | insurance violation | 2020 | CT-INS | $10,000 |
Old Republic National Title Insurance Co. | Old Republic International | insurance violation | 2020 | CT-INS | $20,000 |
First American Title insurance Co. | First American Financial | insurance violation | 2020 | CT-INS | $40,000 |
Stewart Title Guaranty Co. | Stewart Information Services | insurance violation | 2020 | CT-INS | $47,000 |
Pacific Indemnity Co. | Chubb Limited | insurance violation | 2020 | CT-INS | $16,000 |
The Standard Insurance Co. | Meiji Yasuda Life Insurance | insurance violation | 2020 | CT-INS | $7,500 |
Minnesota Life Insurance Co. | Securian Financial | insurance violation | 2020 | CT-INS | $9,000 |
Prudential Retirement Insurance and Annuity Company | Prudential Financial | insurance violation | 2021 | CT-INS | $300,000 |
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 |
Provident Life and Accident Insurance Co. | Unum | insurance violation | 2021 | CT-INS | $7,500 |
UNUM Life Insurance Company of America | Unum | insurance violation | 2021 | CT-INS | $12,500 |
United Services Automobile Association | USAA | insurance violation | 2021 | CT-INS | $32,500 |
USAA Casualty Insurance Co. | USAA | insurance violation | 2021 | CT-INS | $36,500 |
USAA Indemnity Co. | USAA | insurance violation | 2021 | CT-INS | $32,500 |
Homesite Insurance Company | American Family Insurance | insurance violation | 2021 | CT-INS | $193,000 |
Great American Life Insurance Company | Massachusetts Mutual Life Insurance | insurance violation | 2021 | CT-INS | $6,000 |
Bankers Life & Casualty Company | CNO Financial | insurance violation | 2023 | CT-INS | $10,000 |
Ace American Insurance Company | Chubb Limited | insurance violation | 2023 | CT-INS | $72,500 |
Esurance Insurance Company | Allstate | insurance violation | 2022 | CT-INS | $37,000 |
Allstate Fire and Casualty Insurance Company | Allstate | insurance violation | 2022 | CT-INS | $86,500 |
Allstate Insurance Company | Allstate | insurance violation | 2022 | CT-INS | $29,500 |
Reliance Standard Life Insurance Company | Tokio Marine | insurance violation | 2022 | CT-INS | $9,000 |
Arch Insurance Company | Arch Capital | insurance violation | 2022 | CT-INS | $6,500 |
Foremost Insurance Company Grand Rapids, Michigan | Zurich Insurance | insurance violation | 2022 | CT-INS | $20,000 |
John Hancock Life Insurance Company (U.S.A.) | Manulife Financial | insurance violation | 2022 | CT-INS | $68,000 |
Metropolitan Group Property & Casualty Insurance Company | Zurich Insurance | insurance violation | 2022 | CT-INS | $34,000 |
Ameritas Life Insurance Company | Ameritas Mutual Holding Company | insurance violation | 2022 | CT-INS | $31,500 |
Zurich American Insurance Company | Zurich Insurance | insurance violation | 2022 | CT-INS | $12,000 |
Wheelabrator Lisbon, Inc. | Macquarie | environmental violation | 2013 | CT-ENV | $9,350 |
UBS AG | UBS | environmental violation | 2011 | CT-ENV | $80,000 |
Pro Line Printing, Inc. | Chatham Asset Management | environmental violation | 2004 | CT-ENV | $11,125 |
Wheelabrator Putnam Incorporated | Macquarie | environmental violation | 2003 | CT-ENV | $33,500 |
R.R. Donnelley & Sons Company | Chatham Asset Management | environmental violation | 2002 | CT-ENV | $25,500 |
Freedom Mortgage Corp. | Freedom Mortgage | consumer protection violation | 2009 | CT-BKG | $43,000 |
PHH Mortgage Corp. dba Century Mortgage | Ocwen Financial | consumer protection violation | 2009 | CT-BKG | $6,000 |
Citigroup Global Markets Inc. | Citigroup | consumer protection violation | 2009 | CT-BKG | $75,000 |
Prospect Mortgage Company, LLC | Homebridge Financial Services | consumer protection violation | 2010 | CT-BKG | $33,000 |
PHH Mortgage Corp. dba Century Mortgage | Ocwen Financial | consumer protection violation | 2013 | CT-BKG | $29,000 |
CashCall, Inc. and Western Sky Financial L.L.C. | CashCall Inc. | payday lending violation | 2014 | CT-BKG | $400,000 |
Santander Consumer USA Inc. | Banco Santander | consumer protection violation | 2018 | CT-BKG | $100,000 |
Heartland Payment Systems, LLC dba HPS Heartland Payroll Solutions, Inc. | Global Payments Inc. | consumer protection violation | 2019 | CT-BKG | $12,450 |
Janney Montgomery Scott, LLC | Penn Mutual | investor protection violation | 2020 | CT-BKG | $150,000 |
Schupp & Grochmal, LLC | Schupp & Grochmal | investor protection violation | 2020 | CT-BKG | $10,510 |
E-Trade Financial Corporate Services, Inc. | Morgan Stanley | consumer protection violation | 2021 | CT-BKG | $10,000 |