Flagstar Bank | New York Community Bancorp | discriminatory practices (non-employment) | 2004 | private lawsuit-federal | $1,100,000 |
J.P. Morgan Securities LLC | JPMorgan Chase | investor protection violation | 2019 | FINRA | $1,100,000 |
Wachovia Securities, LLC and First Clearing, LLC | Wells Fargo | investor protection violation | 2009 | FINRA | $1,100,000 |
First Unum Life Insurance Company | Unum | insurance violation | 2022 | NY-DFS | $1,100,000 |
Citigroup Global Markets Inc. | Citigroup | investor protection violation | 2014 | FINRA | $1,097,000 |
J.P. Morgan Investment Management Inc. | JPMorgan Chase | investor protection violation | 2015 | SEC | $1,084,210 |
Citigroup | Citigroup | wage and hour violation | 2017 | private lawsuit-federal | $1,080,000 |
Merrill Lynch | Bank of America | investor protection violation | 2012 | FINRA | $1,074,200 |
Credit Suisse Securities (USA) LLC | UBS | investor protection violation | 2011 | NJ-AG | $1,057,996 |
Deutsche Bank Securities, Inc. | Deutsche Bank | investor protection violation | 2009 | NJ-AG | $1,057,350 |
KCG Americas LLC | Virtu Financial | investor protection violation | 2015 | SEC | $1,055,197 |
Banco Popular | Popular Inc. | wage and hour violation | 2009 | private lawsuit-federal | $1,050,000 |
HealthNow New York Inc. | Highmark Inc. | insurance violation | 2008 | NY-DFS | $1,050,000 |
Prudential Securities | Wells Fargo | investor protection violation | 2008 | FINRA | $1,050,000 |
Morgan Stanley DW Inc. | Morgan Stanley | investor protection violation | 2006 | NY-AG | $1,040,964 |
Investment Centers of America, Inc. | LPL Financial | investor protection violation | 2007 | MO-SEC | $1,031,618 |
Fidelity Brokerage Services LLC | Fidelity Investments | investor protection violation | 2015 | FINRA | $1,030,000 |
Stifel Financial Corporation | Stifel Financial | investor protection violation | 2014 | FINRA | $1,025,000 |
Arch Insurance Company | Arch Capital | insurance violation | 2017 | MULTI-FIN | $1,017,000 |
Prudential Insurance | Prudential Financial | wage and hour violation | 2011 | private lawsuit-federal | $1,016,500 |
Voya Financial Advisors, Inc. fka ING Financial Partners, Inc. | Voya Financial | investor protection violation | 2019 | CT-SEC | $1,015,000 |
Wintrust Financial Corporation | Wintrust Financial Corp. | banking violation | 2019 | FED | $1,012,500 |
SG Americas Securities LLC | Societe Generale | investor protection violation | 2015 | SEC | $1,011,093 |
Interactive Brokers LLC | Interactive Brokers Group | investor protection violation | 2022 | CFTC | $1,010,828 |
First Republic Bank | JPMorgan Chase | wage and hour violation | 2012 | WHD | $1,009,644 |
First Republic Investment Management, Inc. | JPMorgan Chase | investor protection violation | 2019 | SEC | $1,005,194 |
Wachovia Securities | Wells Fargo | benefit plan administrator violation | 2009 | private lawsuit-federal | $1,005,000 |
Stewart Title Guaranty Co. | Stewart Information Services | insurance violation | 2007 | CA-INS | $1,000,400 |
Regions Bank | Regions Financial | investor protection violation | 2010 | SEC | $1,000,001 |
Everbank | TIAA | banking violation | 2016 | OCC | $1,000,000 |
ABN AMRO Clearing Chicago LLC | ABN AMRO | investor protection violation | 2013 | CFTC | $1,000,000 |
Morgan Stanley Smith Barney LLC | Morgan Stanley | investor protection violation | 2016 | SEC | $1,000,000 |
Manulife Financial Corporation | Manulife Financial | investor protection violation | 2004 | DOJ_ANTITRUST | $1,000,000 |
Regions Bank | Regions Financial | investor protection violation | 2009 | SEC | $1,000,000 |
Merrill Lynch, Pierce, Fenner & Smith, Inc. | Bank of America | investor protection violation | 2009 | SEC | $1,000,000 |
Fidelity Brokerage Services, LLC | Fidelity Investments | investor protection violation | 2004 | SEC | $1,000,000 |
Cincinnati Bell Telephone and Cincinnati Bell Information Systems | Macquarie | employment discrimination | 2000 | EEOC | $1,000,000 |
First Tennessee Bank National Association | First Horizon National | banking violation | 2017 | OCC | $1,000,000 |
Bank of America | Bank of America | employment discrimination | 2017 | OFCCP | $1,000,000 |
TD Options LLC | Toronto-Dominion Bank | investor protection violation | 2009 | SEC | $1,000,000 |
Voya Financial Advisors Inc. | Voya Financial | investor protection violation | 2018 | SEC | $1,000,000 |
Putnam Investment Management, LLC | Franklin Resources | investor protection violation | 2018 | SEC | $1,000,000 |
Legg Mason Wood Walker, Incorporated | Franklin Resources | investor protection violation | 2005 | SEC | $1,000,000 |
Donaldson, Lufkin & Jenrette Securities Corp. | UBS | investor protection violation | 2004 | SEC | $1,000,000 |
Countrywide Financial Corporation | Bank of America | mortgage abuses | 2009 | OR-AG | $1,000,000 |
Union Security Life Insurance Co | Assurant | consumer protection violation | 2000 | MA-AG | $1,000,000 |
Western Sky Financial LLC, CashCall, Inc., WS Funding, LLC and Delbert Services Corp. | CashCall Inc. | consumer protection violation | 2016 | IN-AG | $1,000,000 |
Northern Trust Company | Northern Trust | investor protection violation | 2019 | CFTC | $1,000,000 |
Goldman Sachs & Co. LLC | Goldman Sachs | investor protection violation | 2019 | CFTC | $1,000,000 |
Ameriprise Financial Services, Inc. | Ameriprise Financial | investor protection violation | 2005 | AZ-CC | $1,000,000 |
Farmers Insurance Exchange et al. | Farmers Insurance Exchange | insurance violation | 2006 | CA-INS | $1,000,000 |
CashCall, Inc. | CashCall Inc. | payday lending violation | 2015 | CA-DFPI | $1,000,000 |
Mercury Insurance Company | Mercury General Corporation | insurance violation | 2015 | CA-INS | $1,000,000 |
Morgan Stanley Smith Barney LLC | Morgan Stanley | investor protection violation | 2017 | MA-SEC | $1,000,000 |
LPL Financial LLC | LPL Financial | investor protection violation | 2017 | MA-SEC | $1,000,000 |
MetLife, Inc. | MetLife | investor protection violation | 2018 | MA-SEC | $1,000,000 |
The Prudential Insurance Company of America | Prudential Financial | insurance violation | 2013 | MN-FIN | $1,000,000 |
American Modern Insurance Group, Inc. et al. | Munich Re | insurance violation | 2016 | MN-FIN | $1,000,000 |
Time Insurance Co. et al. | Haven Holdings | insurance violation | 2013 | MO-INS | $1,000,000 |
UBS Financial Services Inc. | UBS | investor protection violation | 2011 | NH-BSR | $1,000,000 |
Citigroup | Citigroup | discriminatory practices (non-employment) | 2001 | NY-DFS | $1,000,000 |
New Day Financial LLC dba New Day USA | New Day Financial LLC | consumer protection violation | 2015 | NY-DFS | $1,000,000 |
CashCall, Inc. | CashCall Inc. | consumer protection violation | 2017 | OK-DCC | $1,000,000 |
AIU Insurance Company et al. | American International Group | insurance violation | 2007 | OR-FIN | $1,000,000 |
CashCall Inc. et al. | CashCall Inc. | consumer protection violation | 2014 | PA-BKG | $1,000,000 |
BCS Insurance Company | BCS Financial Corporation | insurance violation | 2017 | MULTI-FIN | $1,000,000 |
Prosper Marketplace, Inc. | Prosper Marketplace | investor protection violation | 2008 | MULTI-FIN | $1,000,000 |
Morgan Stanley Smith Barney FA Notes Holdings LLC | Morgan Stanley | consumer protection violation | 2020 | CA-DFPI | $1,000,000 |
Citigroup Global Markets Inc. | Citigroup | investor protection violation | 2017 | FINRA | $1,000,000 |
Barclays Capital Inc. | Barclays | investor protection violation | 2014 | FINRA | $1,000,000 |
Goldman, Sachs & Co. | Goldman Sachs | investor protection violation | 2014 | FINRA | $1,000,000 |
Merrill Lynch, Pierce, Fenner & Smith, Inc. | Bank of America | investor protection violation | 2014 | FINRA | $1,000,000 |
Merrill Lynch, Pierce, Fenner & Smith | Bank of America | investor protection violation | 2012 | FINRA | $1,000,000 |
Merrill Lynch, Pierce, Fenner & Smith Inc. | Bank of America | investor protection violation | 2011 | FINRA | $1,000,000 |
Wells Fargo Advisors, LLC | Wells Fargo | investor protection violation | 2011 | FINRA | $1,000,000 |
NEXT Financial Group, Inc. | Atria Wealth Solutions | investor protection violation | 2009 | FINRA | $1,000,000 |
Raymond James & Associates, Inc. | Raymond James Financial | investor protection violation | 2009 | FINRA | $1,000,000 |
E-Trade Securities LLC and E-Trade Clearing LLC | Morgan Stanley | anti-money-laundering deficiencies | 2009 | FINRA | $1,000,000 |
UBS Financial Services, Inc. | UBS | investor protection violation | 2008 | FINRA | $1,000,000 |
Oppenheimer & Co. Inc. | Oppenheimer Holdings | investor protection violation | 2007 | FINRA | $1,000,000 |
Spear, Leeds & Kellogg, L.P | Goldman Sachs | investor protection violation | 2005 | FINRA | $1,000,000 |
Old Republic National Title Insurance Company | Old Republic International | wage and hour violation | 2021 | NY-AG | $1,000,000 |
Citibank, N.A. | Citigroup | investor protection violation | 2021 | CFTC | $1,000,000 |
First American Title Insurance Company | First American Financial | privacy violation | 2023 | NY-DFS | $1,000,000 |
Oppenheimer & Co., Inc. | Oppenheimer Holdings | investor protection violation | 2024 | CFTC | $1,000,000 |
Encore Capital Group Inc., Midland Credit Management, Inc. and Midland Funding LLC | Encore Capital Group | consumer protection violation | 2009 | MD-AG | $998,000 |
MUFG Bank Ltd. | U.S. Bancorp | price-fixing or anti-competitive practices | 2020 | private lawsuit-federal | $985,000 |
Ameriprise Financial Services, Inc. | Ameriprise Financial | investor protection violation | 2009 | KY-FIN | $983,984 |
Morgan Stanley Smith Barney, LLC | Morgan Stanley | investor protection violation | 2018 | NH-BSR | $983,284 |
Smith Barney | Morgan Stanley | investor protection violation | 2007 | NJ-AG | $978,000 |
LPL Financial LLC | LPL Financial | investor protection violation | 2020 | NH-BSR | $976,000 |
TD Bank | Toronto-Dominion Bank | wage and hour violation | 2013 | private lawsuit-federal | $975,000 |
LPL Financial, LLC | LPL Financial | investor protection violation | 2017 | NJ-AG | $975,000 |
LPL Financial LLC | LPL Financial | investor protection violation | 2017 | MA-SEC | $975,000 |
Bankers Life & Casualty Company | CNO Financial | insurance violation | 2011 | RI-FIN | $975,000 |
Societe Generale | Societe Generale | price-fixing or anti-competitive practices | 2020 | private lawsuit-federal | $975,000 |
Fifth Third Securities, Inc. | Fifth Third Bancorp | investor protection violation | 2015 | FINRA | $963,534 |
Customers Bank | Customers Bancorp | banking violation | 2016 | FED | $960,000 |
Goldman, Sachs & Co. | Goldman Sachs | investor protection violation | 2011 | NJ-AG | $959,794 |
BNY Mellon Capital Markets LLC | Bank of New York Mellon | investor protection violation | 2022 | SEC | $956,833 |
Scottrade, Inc. | Charles Schwab Corp. | investor protection violation | 2008 | SEC | $950,000 |