Bank of America | Bank of America | privacy violation | 2009 | CT-AG | $350,000 |
Prudential Insurance Co. | Prudential Financial | kickbacks and bribery | 2008 | CA-MULTI | $350,000 |
Gerber Life Insurance Co. | Western & Southern Financial Group | insurance violation | 2000 | WA-INS | $350,000 |
American Family Life Insurance Company of Columbus | Aflac | insurance violation | 2017 | MULTI-FIN | $350,000 |
Protective Life Insurance Company et al. | Dai-ichi Life | insurance violation | 2019 | MULTI-FIN | $350,000 |
Seterus Inc. | Mr. Cooper Group | mortgage abuses | 2019 | MULTI-FIN | $350,000 |
CIBC World Markets Corp. | Canadian Imperial Bank of Commerce | investor protection violation | 2008 | FINRA | $350,000 |
Citigroup Global Markets, Inc. | Citigroup | investor protection violation | 2006 | FINRA | $350,000 |
Sanford C. Bernstein & Co. | Equitable Holdings | investor protection violation | 2006 | FINRA | $350,000 |
NYLife Securities, Inc. | New York Life Insurance | investor protection violation | 2004 | FINRA | $350,000 |
American Express Financial Advisors Inc. | Ameriprise Financial | investor protection violation | 2002 | FINRA | $350,000 |
First Union Securities, Inc. | Wells Fargo | investor protection violation | 2000 | FINRA | $350,000 |
WEX Inc. | WEX Inc. | investor protection violation | 2021 | SEC | $350,000 |
State Farm Lloyds | State Farm Insurance | insurance violation | 2023 | TX-INS | $350,000 |
SunTrust Mortgage, Inc. | Truist Financial | consumer protection violation | 2019 | CA-DFPI | $349,015 |
Liberty Mutual Insurance | Liberty Mutual Insurance | employment discrimination | 2000 | private lawsuit-state | $348,111 |
Comerica Securities | Comerica | investor protection violation | 2015 | FINRA | $347,757 |
Piper Jaffray & Co. | Piper Sandler | investor protection violation | 2006 | MT-FIN | $345,000 |
Countrywide Financial Corporation | Bank of America | mortgage abuses | 2009 | WV-AG | $340,901 |
Hilltop Securities Inc. | Hilltop Holdings | investor protection violation | 2021 | SEC | $340,193 |
BlackRock Inc. | BlackRock | investor protection violation | 2017 | SEC | $340,000 |
SELECTIVE INSURANCE COMPANY OF AMERICA | Selective Insurance Group | insurance violation | 2017 | VA-INS | $339,333 |
Morgan Stanley DW Inc | Morgan Stanley | investor protection violation | 2004 | FINRA | $336,510 |
GE Capital Corp. | Synchrony Financial | consumer protection violation | 2006 | CT-AG | $336,000 |
Josephthal & Co. | Oppenheimer Holdings | employment discrimination | 2000 | EEOC | $330,000 |
First Mercury Insurance Co. | Fairfax Financial Holdings | insurance violation | 2012 | CA-INS | $330,000 |
TIAA | TIAA | wage and hour violation | 2005 | WHD | $327,168 |
Merrill Lynch, Pierce and Fenner & Smith, Incorporated | Bank of America | investor protection violation | 2020 | SEC | $325,376 |
Citigroup | Citigroup | wage and hour violation | 2017 | private lawsuit-federal | $325,000 |
Umpqua Bank | Umpqua Holdings | employment screening violation | 2019 | private lawsuit-federal | $325,000 |
UBS AG | UBS | price-fixing or anti-competitive practices | 2016 | WV-AG | $325,000 |
J.P. Morgan Securities LLC | JPMorgan Chase | investor protection violation | 2020 | KY-FIN | $325,000 |
Marsh USA Inc. | Marsh & McLennan | insurance violation | 2009 | MN-FIN | $325,000 |
State Street Bank and Trust Company | State Street Corp. | investor protection violation | 2018 | NH-BSR | $325,000 |
NEXT Financial Group, Inc | Atria Wealth Solutions | investor protection violation | 2019 | NH-BSR | $325,000 |
UBS Financial Services Inc. | UBS | investor protection violation | 2014 | VT-FIN | $325,000 |
Morgan Stanley DW Inc. | Morgan Stanley | investor protection violation | 2004 | WA-FIN | $325,000 |
Cadence Bank | Cadence Bank | banking violation | 2022 | FDIC | $320,500 |
TOPS PRODUCTS, A DIVISION OF R.R. DONNELLEY & SONS | Chatham Asset Management | environmental violation | 2015 | EPA | $318,000 |
Gerber Life Insurance Co. | Western & Southern Financial Group | insurance violation | 2022 | UT-INS | $317,750 |
Citigroup Global Markets Inc. | Citigroup | investor protection violation | 2009 | DE-AG | $309,000 |
Wachovia Securities, LLC | Wells Fargo | investor protection violation | 2009 | DE-AG | $309,000 |
TIAA-CREF | TIAA | labor relations violation | 2016 | NLRB | $304,216 |
Arthur J. Gallagher Risk Management Services, Inc. | Arthur J. Gallagher & Co. | insurance violation | 2020 | NY-DFS | $300,800 |
UBS Global Asset Management | UBS | investor protection violation | 2012 | SEC | $300,000 |
Morgan Stanley | Morgan Stanley | investor protection violation | 2015 | CFTC | $300,000 |
J.P. Morgan Futures, Inc. | JPMorgan Chase | investor protection violation | 2009 | CFTC | $300,000 |
Vanguard Group | Vanguard Group | employment discrimination | 2010 | EEOC | $300,000 |
SunTrust Bank | Truist Financial | employment discrimination | 2014 | EEOC | $300,000 |
Stifel, Nicolaus & Company, Incorporated | Stifel Financial | investor protection violation | 2017 | SEC | $300,000 |
Piper Jaffray & Co. | Piper Sandler | investor protection violation | 2013 | SEC | $300,000 |
Republic Bank & Trust Company | Republic Bancorp | banking violation | 2018 | FDIC | $300,000 |
Insurance Company of the State of Pennsylvania | American International Group | False Claims Act and related | 2016 | NV-AG | $300,000 |
Merrill Lynch | Bank of America | toxic securities abuses | 2009 | MA-AG | $300,000 |
PNC Bank, National Association | PNC Financial Services | investor protection violation | 2019 | CFTC | $300,000 |
Merrill Lynch, Pierce, Fenner & Smith Incorporated | Bank of America | investor protection violation | 2019 | CFTC | $300,000 |
Mercury Insurance Group | Mercury General Corporation | insurance violation | 2006 | CA-INS | $300,000 |
Santander Consumer USA, Inc. | Banco Santander | consumer protection violation | 2018 | CA-DFPI | $300,000 |
LPL Financial Corp. | LPL Financial | investor protection violation | 2010 | IL-SEC | $300,000 |
Time Insurance Company | Haven Holdings | insurance violation | 2016 | SD-INS | $300,000 |
COMMONWEALTH LAND TITLE INSURANCE CO. ET AL. | Fidelity National Financial | insurance violation | 2006 | VA-INS | $300,000 |
Wells Fargo Advisors LLC | Wells Fargo | investor protection violation | 2016 | VT-FIN | $300,000 |
National Union Fire Insurance Company Of Pittsburgh, Pa | American International Group | insurance violation | 2015 | WA-INS | $300,000 |
AGCS Marine Insurance Company | Allianz | insurance violation | 2015 | WA-INS | $300,000 |
Farmers Insurance Company Of Washington | Zurich Insurance | insurance violation | 2015 | WA-INS | $300,000 |
Bank of America, N.A. | Bank of America | Americans with Disabilities Act | 2020 | DOJ_RIGHTS | $300,000 |
Gain Capital Group, LLC | StoneX Group | investor protection violation | 2020 | CFTC | $300,000 |
Scottrade, Inc. | Charles Schwab Corp. | investor protection violation | 2015 | FINRA | $300,000 |
SunAmerica Securities, Inc. | American International Group | investor protection violation | 2009 | FINRA | $300,000 |
Citigroup Global Markets, Inc. | Citigroup | investor protection violation | 2008 | FINRA | $300,000 |
SunTrust Investment Services, Inc. | Truist Financial | investor protection violation | 2008 | FINRA | $300,000 |
Wachovia Capital Markets, LLC | Wells Fargo | investor protection violation | 2007 | FINRA | $300,000 |
Edward D. Jones & Co., L.P. | Jones Financial | investor protection violation | 2005 | FINRA | $300,000 |
Edward Jones & Co., LP | Jones Financial | investor protection violation | 2004 | FINRA | $300,000 |
American Express Financial Advisors, Inc. | Ameriprise Financial | investor protection violation | 2004 | FINRA | $300,000 |
Prudential Retirement Insurance and Annuity Company | Prudential Financial | insurance violation | 2021 | CT-INS | $300,000 |
Edward D. Jones & Co., LP | Jones Financial | investor protection violation | 2024 | PA-BKG | $300,000 |
Harleysville Mutual Insurance Co. | Nationwide | insurance violation | 2007 | CA-INS | $299,500 |
Highmark BCBSD Inc | Highmark Inc. | insurance violation | 2020 | DE-INS | $299,000 |
Old Republic Insurance Company | Old Republic International | insurance violation | 2017 | MULTI-FIN | $298,958 |
CUSO Financial Services, L.P. | Atria Wealth Solutions | investor protection violation | 2019 | SEC | $296,750 |
Wells Fargo & Company | Wells Fargo | employment discrimination | 2014 | EEOC | $295,000 |
Towers, Perrin, Forrester & Crosby | Willis Towers Watson | wage and hour violation | 2005 | WHD | $294,279 |
IFCO Systems North America, Inc. | Triton Investments Advisers | wage and hour violation | 2006 | WHD | $294,023 |
Nationwide Agribusiness Insurance Co. and Farmland Mutual Insurance Co. | Nationwide | insurance violation | 2013 | MO-INS | $292,250 |
Horizon Healthcare of New Jersey, Inc. | Horizon Healthcare Services | insurance violation | 2017 | NJ-DBI | $291,824 |
Chase Investment Services | JPMorgan Chase | investor protection violation | 2005 | FINRA | $290,262 |
BUCKEYE PARTNERS LP | IFM Investors | pipeline safety violation | 2013 | PHMSA | $290,000 |
Wells Fargo Bank, N.A. | Wells Fargo | employment discrimination | 2014 | EEOC | $290,000 |
UBS Financial Services Inc. | UBS | investor protection violation | 2019 | VA-SEC | $288,970 |
Northwestern Mutual Life Insurance Co. | Northwestern Mutual | insurance violation | 2021 | VT-FIN | $287,000 |
Buckeye Partners, LP | IFM Investors | wage and hour violation | 2017 | WHD | $284,265 |
Wells Fargo Bank N.A. | Wells Fargo | employment discrimination | 2019 | OFCCP | $283,697 |
Bank of the West | Bank of Montreal | banking violation | 2021 | FDIC | $281,000 |
Bear, Stearns & Co. Inc. | JPMorgan Chase | investor protection violation | 2004 | FINRA | $280,469 |
Morgan Stanley Smith Barney | Morgan Stanley | investor protection violation | 2014 | CFTC | $280,000 |
E*TRADE Securities LLC | Morgan Stanley | investor protection violation | 2017 | CFTC | $280,000 |
INTL FCStone Financial Inc. | StoneX Group | investor protection violation | 2017 | CFTC | $280,000 |
Wells Fargo Bank | Wells Fargo | wage and hour violation | 2012 | private lawsuit-federal | $280,000 |
Time Insurance Co. | Haven Holdings | insurance violation | 2010 | WI-INS | $280,000 |
Citigroup Global Markets Inc. | Citigroup | investor protection violation | 2019 | FINRA | $280,000 |