Pacific Life Insurance Company | Pacific Life | insurance violation | 2023 | MN-FIN | $250,000 |
H&R Block | H&R Block | consumer protection violation | 2008 | NY-AG | $245,000 |
Janney Montgomery Scott LLC | Penn Mutual | investor protection violation | 2019 | SEC | $241,227 |
National Union Fire Insurance Company of Pittsburgh, PA | American International Group | insurance violation | 2007 | FL-OFR | $240,000 |
National Integrity Life Insurance Company | Western & Southern Financial Group | insurance violation | 2018 | NY-DFS | $240,000 |
The Chubb Corp. | Chubb Limited | consumer protection violation | 2009 | MA-AG | $239,011 |
Fidelity National Title Insurance Co. et al. | Fidelity National Financial | insurance violation | 2012 | MO-INS | $237,500 |
Zurich Insurance Group | Zurich Insurance | insurance violation | 2010 | CT-INS | $235,000 |
Esurance Property and Casualty Insurance Company | Allstate | insurance violation | 2018 | RI-FIN | $233,963 |
Academy Mortgage Corp. | Academy Mortgage Corp. | consumer protection violation | 2021 | PA-BKG | $232,200 |
BUCKEYE PERTH AMBOY TERMINAL LLC | IFM Investors | air pollution violation | 2012 | NJ-ENV | $231,875 |
CMFG Life Insurance Company | CUNA Mutual | insurance violation | 2019 | VT-FIN | $231,000 |
Variable Annuity Life Insurance Company | American International Group | insurance violation | 2021 | NY-DFS | $230,820 |
Berthel Fisher & Company Financial Services, Inc. | Berthel Fisher | investor protection violation | 2007 | MO-SEC | $230,469 |
JP Morgan Chase Bank, N.A. | JPMorgan Chase | environmental violation | 2017 | EPA | $230,392 |
BOK Financial Corporation dba the Bank of Albuquerque | BOK Financial | employment discrimination | 2014 | EEOC | $230,000 |
Ameriprise Financial Services | Ameriprise Financial | investor protection violation | 2018 | SEC | $230,000 |
Interactive Brokers, L.L.C. | Interactive Brokers Group | investor protection violation | 2002 | FINRA | $230,000 |
U.S. Bank | U.S. Bancorp | consumer protection violation | 2021 | MA-AG | $230,000 |
The Gas Company, LLC | Macquarie | air pollution violation | 2021 | EPA | $230,000 |
Kevin Nishimura | Macquarie | environmental violation | 2021 | EPA | (*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $230,000 |
Piper Jaffray & Co. | Piper Sandler | investor protection violation | 2006 | ND-SEC | $229,000 |
Fifth Third Mortgage Co. | Fifth Third Bancorp | consumer protection violation | 2014 | WA-FIN | $228,626 |
World Group Securities, Inc. | Aegon | investor protection violation | 2006 | MO-SEC | $228,600 |
Wells Fargo Bank, National Association | Wells Fargo | wage and hour violation | 2004 | WHD | $228,209 |
Nationwide Property and Casualty Insurance Company | Nationwide | insurance violation | 2014 | VA-INS | $225,800 |
JPMorgan Chase | JPMorgan Chase | investor protection violation | 2016 | CFTC | $225,000 |
Interactive Brokers LLC | Interactive Brokers Group | investor protection violation | 2013 | CFTC | $225,000 |
Farmers Insurance Exchange | Farmers Insurance Exchange | employment discrimination | 2016 | EEOC | $225,000 |
Goldman Sachs Execution & Clearing, L.P. | Goldman Sachs | investor protection violation | 2010 | SEC | $225,000 |
Morgan Stanley Smith Barney, LLC | Morgan Stanley | investor protection violation | 2019 | SEC | $225,000 |
Fifth Third Bank | Fifth Third Bancorp | employment discrimination | 2004 | EEOC | $225,000 |
AmSouth Investment Services, Inc. | Regions Financial | investor protection violation | 2004 | MS-SEC | $225,000 |
AmSouth Investment Services Inc. | Regions Financial | investor protection violation | 2004 | MULTI-FIN | $225,000 |
MBNA | Bank of America | environmental violation | 2002 | DE-ENV | $225,000 |
Zions Direct, Inc. | Zions Bancorporation | investor protection violation | 2010 | FINRA | $225,000 |
Banc One Securities Corporation | JPMorgan Chase | investor protection violation | 2008 | FINRA | $225,000 |
Credit Suisse Securities (USA), LLC | UBS | investor protection violation | 2006 | FINRA | $225,000 |
Stifel, Nicolaus & Company, Inc. | Stifel Financial | investor protection violation | 2001 | FINRA | $225,000 |
Allstate Fire & Casualty Insurance Company et al. | Allstate | insurance violation | 2021 | VT-FIN | $225,000 |
Fidelity National Title Insurance Company & Chicago Title Insurance Company | Fidelity National Financial | insurance violation | 2014 | UT-INS | $222,500 |
PROGRESSIVE NORTHERN INSURANCE | Progressive | insurance violation | 2013 | VA-INS | $221,905 |
H&R Block | H&R Block | wage and hour violation | 2013 | private lawsuit-federal | $221,400 |
Hutchinson, Shockey, Erley & Co. | Huntington Bancshares | investor protection violation | 2015 | SEC | $220,000 |
ABN AMRO Incorporated | ABN AMRO | investor protection violation | 2005 | FINRA | $220,000 |
American International Group | American International Group | False Claims Act and related | 2008 | MA-AG | $218,920 |
Farmers Insurance Exchange | Farmers Insurance Exchange | insurance violation | 2012 | CO-INS | $218,000 |
Citigroup Inc. | Citigroup | economic sanction violation | 2014 | OFAC | $217,841 |
Cincinnati Life Insurance Company | Cincinnati Financial | insurance violation | 2004 | MULTI-FIN | $216,750 |
Aon Risk Services Northeast Inc. | Aon | insurance violation | 2023 | NY-DFS | $215,725 |
Liberty Mutual Insurance Group | Liberty Mutual Insurance | insurance violation | 2003 | CA-INS | $215,000 |
Oppenheimer & Co. | Oppenheimer Holdings | investor protection violation | 2015 | NM-SEC | $215,000 |
HealthNow NewYork, Inc. | Highmark Inc. | consumer protection violation | 2009 | NY-AG | $212,500 |
Stifel, Nicolaus & Company, Inc. | Stifel Financial | investor protection violation | 2010 | MO-SEC | $211,617 |
Prospect Mortgage | Homebridge Financial Services | wage and hour violation | 2015 | WHD | $211,237 |
Janney Montgomery Scott, Inc. | Penn Mutual | investor protection violation | 2001 | DE-SEC | $210,909 |
Nationwide Mutual Insurance Co | Nationwide | wage and hour violation | 2018 | WHD | $210,373 |
American General Life Insurance Co. | American International Group | insurance violation | 2018 | FL-OFR | $210,000 |
Morgan Stanley & Co. Inc. | Morgan Stanley | investor protection violation | 2012 | IN-SEC | $210,000 |
Farmer's Group, Inc. | Zurich Insurance | wage and hour violation | 2010 | WHD | $209,170 |
Buckeye Partners, LP | IFM Investors | pipeline safety violation | 2020 | PHMSA | $209,002 |
PNC Bank, National Association | PNC Financial Services | banking violation | 2018 | OCC | $207,245 |
American States Preferred Insurance Co. et al. | Liberty Mutual Insurance | insurance violation | 2010 | VA-INS | $205,463 |
WELLS FARGO ADVISORS | Wells Fargo | investor protection violation | 2015 | VA-SEC | $205,000 |
American Express | American Express | economic sanction violation | 2017 | OFAC | $204,277 |
State Farm Life Insurance Co. | State Farm Insurance | insurance violation | 2020 | VT-FIN | $204,000 |
JP Morgan Chase Bank | JPMorgan Chase | workplace whistleblower retaliation | 2016 | OSHA | $203,323 |
UBS Financial Services Inc. | UBS | investor protection violation | 2004 | FINRA | $200,666 |
Morgan Stanley Capital Group | Morgan Stanley | investor protection violation | 2014 | CFTC | $200,000 |
Morgan Stanley Smith Barney | Morgan Stanley | investor protection violation | 2012 | CFTC | $200,000 |
UBS Securities | UBS | investor protection violation | 2010 | CFTC | $200,000 |
Hampton Roads Bankshares | Atlantic Union Bankshares | accounting fraud or deficiencies | 2014 | SEC | $200,000 |
INTL FCStone Markets, LLC | StoneX Group | investor protection violation | 2015 | CFTC | $200,000 |
Global Futures & Forex, Ltd. | StoneX Group | investor protection violation | 2014 | CFTC | $200,000 |
Key Bank National Association | KeyCorp | economic sanction violation | 2008 | OFAC | $200,000 |
BB&T Securities, LLC | Truist Financial | investor protection violation | 2016 | SEC | $200,000 |
BB&T Securities, LLC | Truist Financial | investor protection violation | 2015 | SEC | $200,000 |
Ameritas Investment Corp. | Ameritas Mutual Holding Company | investor protection violation | 2015 | SEC | $200,000 |
World Group Securities, Inc. | Aegon | investor protection violation | 2010 | SEC | $200,000 |
Citigroup Global Markets, Inc. | Citigroup | investor protection violation | 2007 | SEC | $200,000 |
Credit Suisse First Boston, LLC | UBS | investor protection violation | 2005 | SEC | $200,000 |
ABN AMRO Incorporated | ABN AMRO | investor protection violation | 2001 | SEC | $200,000 |
Ameriprise Financial Services, Inc. | Ameriprise Financial | consumer protection violation | 2009 | MA-AG | $200,000 |
GMAC Bank | Ally Financial | consumer protection violation | 2008 | NY-AG | $200,000 |
Nelnet, Inc. | Nelnet | consumer protection violation | 2008 | NY-AG | $200,000 |
PayPal | PayPal Holdings | consumer protection violation | 2002 | NY-AG | $200,000 |
Harleysville Mutual Insurance Co. | Nationwide | insurance violation | 2002 | CA-INS | $200,000 |
LPL Financial LLC | LPL Financial | investor protection violation | 2015 | DE-SEC | $200,000 |
Principal Life Insurance Co. | Principal Financial | insurance violation | 2018 | DE-INS | $200,000 |
National Union Fire Insurance Company of Pittsburgh, PA | American International Group | insurance violation | 2010 | IN-INS | $200,000 |
American Family Life Assurance Company of Columbus | Aflac | insurance violation | 2012 | MD-INS | $200,000 |
Universal Underwriter Insurance Co. | Zurich Insurance | insurance violation | 2004 | MN-FIN | $200,000 |
ING Life Insurance and Annuity Co. et al. | Voya Financial | insurance violation | 2012 | MN-FIN | $200,000 |
John Hancock Life Insurance Co. (USA) et al. | Manulife Financial | insurance violation | 2012 | MN-FIN | $200,000 |
MetLife Investors USA Insurance Co. et al. | MetLife | insurance violation | 2012 | MN-FIN | $200,000 |
Prudential Insurance Company of America | Prudential Financial | insurance violation | 2012 | MN-FIN | $200,000 |
Horizon Healthcare of New Jersey Inc. | Horizon Healthcare Services | insurance violation | 2003 | NJ-DBI | $200,000 |
Ameritrade Inc. | Charles Schwab Corp. | investor protection violation | 2007 | TX-SEC | $200,000 |
Virginia Surety Company Inc. | Assurant | insurance violation | 2011 | TX-INS | $200,000 |
National Union Fire Insurance Company Of Pittsburgh, Pa | American International Group | insurance violation | 2015 | WA-INS | $200,000 |
Bankers Life & Casualty | CNO Financial | insurance violation | 2013 | WI-INS | $200,000 |