Ameriprise Financial Services, Inc. | Ameriprise Financial | investor protection violation | 2008 | IL-SEC | $1,449,384 |
SunTrust Investment Services, Inc. | Truist Financial | investor protection violation | 2010 | FINRA | $1,440,000 |
RBC Capital Markets | Royal Bank of Canada | investor protection violation | 2015 | FINRA | $1,434,000 |
Fidelity National Title Insurance Co. et al. | Fidelity National Financial | insurance violation | 2013 | CA-INS | $1,425,000 |
LPL Financial LLC | LPL Financial | investor protection violation | 2015 | MULTI-FIN | $1,425,000 |
Oppenheimer and Co., Inc. | Oppenheimer Holdings | anti-money-laundering deficiencies | 2013 | FINRA | $1,425,000 |
Next Financial Group, Inc. | Atria Wealth Solutions | investor protection violation | 2019 | SEC | $1,405,349 |
Merrill Lynch, Pierce, Fenner & Smith Inc | Bank of America | investor protection violation | 2018 | SEC | $1,404,000 |
UBS | UBS | wage and hour violation | 2012 | private lawsuit-federal | $1,400,000 |
H&R Block | H&R Block | wage and hour violation | 2010 | private lawsuit-federal | $1,400,000 |
MUFG Securities Americas Inc. | U.S. Bancorp | investor protection violation | 2018 | SEC | $1,400,000 |
Ditech Financial, LLC | Ditech Holding Corporation | consumer protection violation | 2016 | MA-AG | $1,400,000 |
BGC Partners, Inc. | BGC Partners | investor protection violation | 2020 | SEC | $1,400,000 |
Merrill Lynch, Pierce, Fenner & Smith Incorporated | Bank of America | investor protection violation | 2017 | FINRA | $1,400,000 |
Deutsche Bank Securities Inc. | Deutsche Bank | investor protection violation | 2015 | FINRA | $1,400,000 |
Wachovia Securities, LLC | Wells Fargo | investor protection violation | 2009 | FINRA | $1,400,000 |
State Street Global Markets LLC | State Street Corp. | investor protection violation | 2005 | FINRA | $1,400,000 |
Cantor Fitzgerald & Co. | Cantor Fitzgerald | investor protection violation | 2023 | SEC | $1,400,000 |
MassMutual Life Insurance Company | Massachusetts Mutual Life Insurance | insurance violation | 2020 | NY-DFS | $1,399,708 |
Ditech Financial LLC | Ditech Holding Corporation | wage and hour violation | 2017 | private lawsuit-federal | $1,383,000 |
Merrill Lynch, Pierce, Fenner & Smith Inc. | Bank of America | investor protection violation | 2013 | FINRA | $1,373,000 |
Morgan Stanley & Co. Inc. and Morgan Stanley Smith Barney LLC | Morgan Stanley | investor protection violation | 2011 | FINRA | $1,371,000 |
Crawford and Company | Crawford & Co. | False Claims Act and related | 2006 | DOJ_CIVIL | $1,363,204 |
Societe Generale Private Banking (Lugano-Svizzera) | Societe Generale | tax violations | 2015 | DOJ_TAX | $1,363,000 |
HomeStreet Bank | HomeStreet Inc. | banking violation | 2019 | FDIC | $1,350,000 |
State Farm Mutual Automobile Insurance Company | State Farm Insurance | consumer protection violation | 2023 | KY-AG | $1,350,000 |
Transamerica Financial Life Insurance Company | Aegon | insurance violation | 2018 | NY-DFS | $1,345,136 |
Transamerica Life Insurance Co. | Aegon | insurance violation | 2013 | MA-AG | $1,330,000 |
Wilmington Trust Investment Management, LLC | M&T Bank | investor protection violation | 2023 | SEC | $1,327,147 |
UBS | UBS | wage and hour violation | 2015 | private lawsuit-federal | $1,312,500 |
Wedbush Securities Inc. | Wedbush Securities | investor protection violation | 2018 | SEC | $1,304,197 |
ACE Cash Express, Inc. | ACE Cash Express | consumer protection violation | 2002 | CO-AG | $1,300,000 |
Bank of New York Mellon Corp. | Bank of New York Mellon | investor protection violation | 2011 | MULTI-AG | $1,300,000 |
First USA | JPMorgan Chase | consumer protection violation | 2002 | MULTI-AG | $1,300,000 |
Hartford Financial Services Group, Inc. | Hartford Financial Services | price-fixing or anti-competitive practices | 2009 | CT-AG | $1,300,000 |
Chubb Ltd. | Chubb Limited | insurance violation | 2018 | NY-DFS | $1,300,000 |
Barclays Capital Inc. | Barclays | investor protection violation | 2016 | FINRA | $1,300,000 |
LPL Financial Corp. | LPL Financial | investor protection violation | 2009 | MT-FIN | $1,294,416 |
Citigroup | Citigroup | investor protection violation | 2012 | FINRA | $1,279,106 |
Associated Banc-Corp | Associated Banc-Corp | wage and hour violation | 2012 | private lawsuit-federal | $1,275,000 |
Banc of America Securities LLC | Bank of America | investor protection violation | 2010 | NJ-AG | $1,268,393 |
Universal Property & Casualty Insurance Co. | Universal Insurance Holdings | insurance violation | 2013 | FL-OFR | $1,260,000 |
Industrial and Commercial Bank of China Financial Services LLC | Industrial and Commercial Bank of China | investor protection violation | 2018 | SEC | $1,250,000 |
Mizuho Securities USA LLC | Mizuho Financial | investor protection violation | 2018 | SEC | $1,250,000 |
Cantor Fitzgerald & Co. | Cantor Fitzgerald | investor protection violation | 2018 | SEC | $1,250,000 |
Great American Financial Resources, Inc. | American Financial Group | wage and hour violation | 2019 | private lawsuit-federal | $1,250,000 |
LendingClub Corporation | LendingClub Corp. | consumer protection violation | 2020 | MA-AG | $1,250,000 |
Ameriprise Financial Services, Inc. | Ameriprise Financial | investor protection violation | 2006 | AZ-CC | $1,250,000 |
Voya Insurance and Annuity Co. et al. | Voya Financial | insurance violation | 2014 | MN-FIN | $1,250,000 |
Jackson National Life Insurance Co. | Jackson Financial | insurance violation | 2016 | MN-FIN | $1,250,000 |
American Home Assurance Co. et al. | American International Group | insurance violation | 2015 | MO-INS | $1,250,000 |
Citifinancial | Citigroup | housing program violation | 2010 | MULTI-FIN | $1,250,000 |
Deutsche Bank Securities Inc. | Deutsche Bank | investor protection violation | 2020 | CFTC | $1,250,000 |
Robinhood Financial, LLC | Robinhood Markets | investor protection violation | 2019 | FINRA | $1,250,000 |
Citigroup Global Markets Inc. | Citigroup | investor protection violation | 2019 | FINRA | $1,250,000 |
J.P. Morgan Securities, LLC | JPMorgan Chase | investor protection violation | 2017 | FINRA | $1,250,000 |
Ameriprise Financial Services, Inc. | Ameriprise Financial | investor protection violation | 2005 | FINRA | $1,250,000 |
Aon Hewitt Health Market Insurance Solutions, Inc. | Aon | wage and hour violation | 2021 | private lawsuit-federal | $1,250,000 |
CS First Boston Corp. | UBS | investor protection violation | 2000 | FINRA | $1,240,000 |
Wedbush Securities Inc. | Wedbush Securities | investor protection violation | 2021 | SEC | $1,207,000 |
Merrill Lynch | Bank of America | investor protection violation | 2014 | CFTC | $1,200,000 |
U.S. Bank, National Association | U.S. Bancorp | mortgage abuses | 2011 | HUD | $1,200,000 |
Hartford Fire Insurance | Hartford Financial Services | wage and hour violation | 2011 | private lawsuit-federal | $1,200,000 |
Champion Mortgage and KeyBank | KeyCorp | wage and hour violation | 2009 | private lawsuit-federal | $1,200,000 |
QBE Americas, Inc. | QBE Insurance | wage and hour violation | 2018 | private lawsuit-federal | $1,200,000 |
Credit Suisse Securities (USA) LLC | UBS | toxic securities abuses | 2016 | VA-AG | $1,200,000 |
Metropolitan Life Insurance Co. | MetLife | consumer protection violation | 2000 | MA-AG | $1,200,000 |
Fidelity Investments | Fidelity Investments | wage and hour violation | 2019 | private lawsuit-federal | $1,200,000 |
American Title Co. dba Ticor Title Company of America | Fidelity National Financial | insurance violation | 2005 | CA-INS | $1,200,000 |
American General Financial Services Inc. | OneMain Holdings | insurance violation | 2004 | NJ-DBI | $1,200,000 |
Travelers Indemnity Company et al. | Travelers | insurance violation | 2015 | TX-INS | $1,200,000 |
Janney Montgomery Scott, LLC | Penn Mutual | investor protection violation | 2015 | FINRA | $1,200,000 |
ING Groep N.V. | Voya Financial | investor protection violation | 2013 | FINRA | $1,200,000 |
MetLife Securities, Inc. | MetLife | investor protection violation | 2009 | FINRA | $1,200,000 |
J.P. Morgan Securities LLC | JPMorgan Chase | investor protection violation | 2022 | SEC | $1,200,000 |
Countrywide Financial Corporation | Bank of America | WARN Act violation | 2013 | private lawsuit-federal | $1,200,000 |
Bank of America N.A. | Bank of America | consumer protection violation | 2022 | private lawsuit-federal | $1,200,000 |
Prudential Insurance Company of America | Prudential Financial | insurance violation | 2021 | NJ-DBI | $1,200,000 |
JPMorgan Chase | JPMorgan Chase | wage and hour violation | 2012 | private lawsuit-federal | $1,195,000 |
Morgan Stanley Smith Barney LLC and Morgan Stanley & Co. LLC | Morgan Stanley | investor protection violation | 2013 | FINRA | $1,188,000 |
First American Title Co. | First American Financial | insurance violation | 2021 | CA-INS | $1,185,000 |
Teachers Insurance Annuity Association | TIAA | wage and hour violation | 2007 | WHD | $1,171,404 |
RBC Dain Rauscher, Inc. | Royal Bank of Canada | investor protection violation | 2005 | FINRA | $1,158,000 |
U.S. Bancorp | U.S. Bancorp | wage and hour violation | 2017 | private lawsuit-federal | $1,150,000 |
Home Loan Center, Inc. | LendingTree | consumer protection violation | 2010 | AZ-AG | $1,150,000 |
TD Ameritrade Clearing, Inc. | Charles Schwab Corp. | investor protection violation | 2013 | FINRA | $1,150,000 |
JPMorgan Chase & Co. | JPMorgan Chase | investor protection violation | 2010 | NJ-AG | $1,149,028 |
Countrywide Financial Corp. | Bank of America | mortgage abuses | 2009 | RI-AG | $1,146,000 |
American Family Life Assurance Company of New York (AFLAC) | Aflac | insurance violation | 2018 | NY-DFS | $1,138,368 |
AXA Advisors, LLC | Equitable Holdings | investor protection violation | 2019 | SEC | $1,134,152 |
Mastercard Inc. | MasterCard | consumer protection violation | 2018 | NM-AG | $1,125,000 |
Morgan Stanley Capital Group, Inc. | Morgan Stanley | air pollution violation | 2017 | EPA | $1,119,000 |
Citigroup Global Markets Inc. | Citigroup | investor protection violation | 2006 | FINRA | $1,115,000 |
Fifth Third Bank | Fifth Third Bancorp | wage and hour violation | 2017 | private lawsuit-federal | $1,111,388 |
Transamerica Financial Advisors | Aegon | investor protection violation | 2014 | SEC | $1,107,248 |
Bank of America, National Association | Bank of America | banking violation | 2015 | OCC | $1,104,530 |
Stifel, Nicolaus & Company, Inc. | Stifel Financial | investor protection violation | 2012 | MO-SEC | $1,101,385 |
SunTrust Banks | Truist Financial | investor protection violation | 2017 | SEC | $1,100,000 |
Horizon Healthcare Services, Inc. | Horizon Healthcare Services | privacy violation | 2017 | NJ-AG | $1,100,000 |
LPL Financial LLC | LPL Financial | investor protection violation | 2019 | MA-SEC | $1,100,000 |
Flagstar Bank | New York Community Bancorp | discriminatory practices (non-employment) | 2004 | private lawsuit-federal | $1,100,000 |