Bankers Life & Casualty | CNO Financial | insurance violation | 2013 | WI-INS | $200,000 |
Virginia Surety Company Inc. | Assurant | insurance violation | 2013 | MULTI-FIN | $200,000 |
Mid-Century Insurance Company | Zurich Insurance | insurance violation | 2020 | NY-DFS | $200,000 |
Washington Federal Bank, N.A. | Washington Federal Inc. | consumer protection violation | 2020 | CFPB | $200,000 |
Esurance Insurance Company | Allstate | insurance violation | 2020 | TX-INS | $200,000 |
Scottrade, Inc. | Charles Schwab Corp. | investor protection violation | 2010 | FINRA | $200,000 |
H&R Block Financial Advisors, Inc. | H&R Block | investor protection violation | 2010 | FINRA | $200,000 |
Northwestern Mutual Investment Services, LLC | Northwestern Mutual | investor protection violation | 2009 | FINRA | $200,000 |
M&T Securities, Inc. | M&T Bank | investor protection violation | 2009 | FINRA | $200,000 |
Janney Montgomery Scott LLC | Penn Mutual | investor protection violation | 2009 | FINRA | $200,000 |
CIBC World Markets Corp. | Canadian Imperial Bank of Commerce | investor protection violation | 2008 | FINRA | $200,000 |
Merrill Lynch, Pierce, Fenner & Smith, Inc. | Bank of America | investor protection violation | 2008 | FINRA | $200,000 |
Thomas Weisel Partners, LLC | Stifel Financial | investor protection violation | 2008 | FINRA | $200,000 |
UBS Securities, LLC | UBS | investor protection violation | 2008 | FINRA | $200,000 |
Morgan Stanley & Co. Incorporated | Morgan Stanley | investor protection violation | 2006 | FINRA | $200,000 |
Banc of America Investment Services Inc. | Bank of America | investor protection violation | 2004 | FINRA | $200,000 |
ING Financial Partners, Inc. | Voya Financial | investor protection violation | 2004 | FINRA | $200,000 |
New England Securities | MetLife | investor protection violation | 2004 | FINRA | $200,000 |
Morgan Stanley & Co. Inc. | Morgan Stanley | investor protection violation | 2000 | FINRA | $200,000 |
J. P. Morgan Securities Inc. | JPMorgan Chase | investor protection violation | 2000 | FINRA | $200,000 |
Waddell & Reed, LLC | Macquarie | investor protection violation | 2022 | SEC | $200,000 |
Amica Mutual Insurance Company | Amica Mutual Insurance | insurance violation | 2022 | NY-DFS | $200,000 |
Northwestern Mutual Investment Services, LLC | Northwestern Mutual | investor protection violation | 2023 | NH-BSR | $200,000 |
Northwestern Mutual Life Insurance Company | Northwestern Mutual | insurance violation | 2023 | NH-INS | $200,000 |
PNC Capital Markets LLC | PNC Financial Services | investor protection violation | 2022 | SEC | $198,323 |
Ally Financial Services | Ally Financial | wage and hour violation | 2019 | WHD | $198,311 |
American Bankers Insurance Company of Florida | Assurant | insurance violation | 2020 | CT-INS | $198,000 |
Bok Financial Securities, Inc. | BOK Financial | investor protection violation | 2019 | SEC | $197,801 |
ALLSTATE INSURANCE COMPANY | Allstate | insurance violation | 2015 | VA-INS | $197,201 |
Allstate Life Insurance Company of New York | Allstate | insurance violation | 2021 | NY-DFS | $196,250 |
SAFECO Insurance Company of America | Liberty Mutual Insurance | insurance violation | 2021 | MD-INS | $196,044 |
Bank of America Corp. | Bank of America | privacy violation | 2010 | MO-AG | $195,000 |
SAFECO Insurance Company of America, Inc. et al. | Liberty Mutual Insurance | insurance violation | 2013 | MD-INS | $195,000 |
Great American Assurance Co. et al. | American Financial Group | insurance violation | 2011 | TX-INS | $195,000 |
Lincoln Life & Annuity Company of New York | Lincoln National | insurance violation | 2020 | NY-DFS | $193,166 |
Buckeye Partners LP | IFM Investors | pipeline safety violation | 2017 | PHMSA | $193,000 |
Homesite Insurance Company | American Family Insurance | insurance violation | 2021 | CT-INS | $193,000 |
Lawyers Title Insurance Corp. | Fidelity National Financial | insurance violation | 2010 | MO-INS | $190,000 |
United States Fire Insurance Company | Fairfax Financial Holdings | insurance violation | 2014 | NY-DFS | $190,000 |
LPL Financial, LLC | LPL Financial | investor protection violation | 2023 | PA-BKG | $190,000 |
Progressive Casualty Insurance Company et al. | Progressive | insurance violation | 2022 | NY-DFS | $189,000 |
Commonwealth Land Title Insurance Co. | Fidelity National Financial | insurance violation | 2010 | MO-INS | $188,976 |
CashCall, Inc. | CashCall Inc. | consumer protection violation | 2019 | NH-BKG | $188,880 |
CashCall Inc. and WS Funding LLC | CashCall Inc. | consumer protection violation | 2019 | NH-BKG | $188,800 |
Bank of New York Mellon | Bank of New York Mellon | employment discrimination | 2010 | NJ-AG | $188,037 |
Jackson Hewitt Tax Service Inc. | Jackson Hewitt | consumer protection violation | 2019 | MA-AG | $187,000 |
RBC Capital Markets, LLC | Royal Bank of Canada | investor protection violation | 2012 | MT-FIN | $186,439 |
Comerica Securities, Inc. | Comerica | investor protection violation | 2019 | SEC | $186,377 |
Ameriprise Financial | Ameriprise Financial | wage and hour violation | 2011 | private lawsuit-federal | $185,000 |
Fidelity National Title Insurance Co. | Fidelity National Financial | insurance violation | 2011 | CA-INS | $185,000 |
Chicago Title Insurance Co. | Fidelity National Financial | insurance violation | 2011 | CA-INS | $185,000 |
LPL Financial LLC | LPL Financial | investor protection violation | 2013 | MO-SEC | $185,000 |
Guaranteed Rate INC | Guaranteed Rate Inc. | wage and hour violation | 2015 | WHD | $184,423 |
Transamerica Life Insurance Company | Aegon | insurance violation | 2019 | MD-INS | $184,000 |
U.S. Bank National Association | U.S. Bancorp | banking violation | 2017 | OCC | $183,920 |
Praetorian Insurance Company | QBE Insurance | insurance violation | 2019 | VA-INS | $183,819 |
UNITED SERVICES AUTOMOBILE ASSOCIATION ET AL. | USAA | insurance violation | 2017 | VA-INS | $182,209 |
Nyrstar Clarksville | Trafigura | air pollution violation | 2019 | TN-ENV | $181,482 |
First National Bank of Pennsylvania | F.N.B. Corporation | banking violation | 2015 | OCC | $180,720 |
First Tennessee Bank National Association | First Horizon National | banking violation | 2005 | OCC | $180,000 |
Zenith Insurance Co. | Fairfax Financial Holdings | employment discrimination | 2006 | EEOC | $180,000 |
Nationwide Property and Casualty Insurance Company et al. | Nationwide | insurance violation | 2023 | MD-INS | $180,000 |
Time Insurance Company | Haven Holdings | insurance violation | 2016 | OR-FIN | $178,948 |
Indiana Insurance Co. | Liberty Mutual Insurance | employment discrimination | 2004 | EEOC | $178,065 |
First American Title Insurance Co. | First American Financial | insurance violation | 2013 | CO-INS | $177,500 |
AIG Claims Inc. | American International Group | insurance violation | 2018 | NY-DFS | $177,500 |
Great American Insurance Co. | American Financial Group | insurance violation | 2009 | MA-AG | $176,000 |
Commerzbank AG | Commerzbank | economic sanction violation | 2011 | OFAC | $175,500 |
Mizuho Securities USA Inc. | Mizuho Financial | investor protection violation | 2013 | CFTC | $175,000 |
KeyBanc Capital Markets Inc. | KeyCorp | accounting fraud or deficiencies | 2016 | SEC | $175,000 |
Interactive Brokers LLC | Interactive Brokers Group | investor protection violation | 2007 | CFTC | $175,000 |
PayPal Inc. | PayPal Holdings | privacy violation | 2016 | TX-AG | $175,000 |
Royal Bank of Canada | Royal Bank of Canada | price-fixing or anti-competitive practices | 2013 | WV-AG | $175,000 |
Philadelphia Indemnity Insurance Co. | Tokio Marine | insurance violation | 2005 | CA-INS | $175,000 |
Horace Mann Insurance Co. and Horace Mann Property & Casualty Insurance Co. | Horace Mann Educators Corp. | insurance violation | 2007 | CA-INS | $175,000 |
New York Life Insurance Co. | New York Life Insurance | insurance violation | 2009 | CA-INS | $175,000 |
Metropolitan Life Insurance Co. | MetLife | insurance violation | 2012 | MD-INS | $175,000 |
Bankers Life and Casualty Co. and Colonial Penn Life Insurance Co. | CNO Financial | insurance violation | 2019 | MN-FIN | $175,000 |
John Alden Life Insurance Co. | Assurant | insurance violation | 2010 | MT-FIN | $175,000 |
Morgan Stanley Smith Barney LLC | Morgan Stanley | investor protection violation | 2018 | RI-FIN | $175,000 |
Oppenheimer & Co. Inc. | Oppenheimer Holdings | investor protection violation | 2016 | SC-SEC | $175,000 |
Insurance Company of the State of Pennsylvania | American International Group | insurance violation | 2010 | TX-INS | $175,000 |
New Hampshire Insurance Company | American International Group | insurance violation | 2010 | TX-INS | $175,000 |
Synagro Woonsocket, LLC | Goldman Sachs | environmental violation | 2018 | RI-ENV | $175,000 |
Putnam Retail Management Limited Partnership | Franklin Resources | investor protection violation | 2007 | FINRA | $175,000 |
Edward D. Jones & Co., L.P. | Jones Financial | investor protection violation | 2022 | WA-SEC | $175,000 |
RR Donnelley | Chatham Asset Management | wage and hour violation | 2021 | IL-DOL | $174,720 |
RR Donnelley | Chatham Asset Management | wage and hour violation | 2021 | IL-DOL | $174,600 |
MERCURY CASUALTY COMPANY | Mercury General Corporation | insurance violation | 2018 | VA-INS | $173,650 |
Gerber Life Insurance Company | Western & Southern Financial Group | wage and hour violation | 2009 | WHD | $172,799 |
United States Fire Insurance Company | Fairfax Financial Holdings | insurance violation | 2016 | UT-INS | $172,250 |
Waddell & Reed, Inc. | Macquarie | investor protection violation | 2006 | MO-SEC | $172,161 |
The United States Life Insurance Company | American International Group | insurance violation | 2019 | NY-DFS | $171,902 |
Merrill Lynch, Pierce, Fenner & Smith Inc. | Bank of America | benefit plan administrator violation | 2011 | EBSA | $170,854 |
Allianz Global Risks U.S. Insurance Compan | Allianz | economic sanction violation | 2019 | OFAC | $170,535 |
UBS Financial Services, Inc. | UBS | investor protection violation | 2009 | MO-SEC | $170,175 |
Amex Assurance Co. | American Express | insurance violation | 2006 | CA-INS | $170,000 |
American Contractors Indemnity Co. | Tokio Marine | insurance violation | 2007 | CA-INS | $170,000 |
American Bankers Insurance Company Of Florida | Assurant | insurance violation | 2011 | WA-INS | $170,000 |
ReliaStar Life Insurance Company of New York | Voya Financial | insurance violation | 2020 | NY-DFS | $169,000 |
Northern Trust Hedge Fund Services LLC | Northern Trust | investor protection violation | 2020 | SEC | $167,629 |