Arch Insurance Co. | Arch Capital | insurance violation | 2016 | MO-INS | $145,000 |
Hartford Life and Accident Insurance Co. | Hartford Financial Services | insurance violation | 2020 | MA-AG | $145,000 |
Principal Life Insurance Company | Principal Financial | insurance violation | 2020 | MULTI-FIN | $145,000 |
Claritas Investments Ltd. | Principal Financial | investor protection violation | 2013 | SEC | $144,819 |
Metropolitan Life Insurance Company | MetLife | insurance violation | 2022 | NJ-DBI | $142,800 |
New Hampshire Insurance Co. | American International Group | insurance violation | 2012 | CA-INS | $142,500 |
Trumbull Insurance Co. | Hartford Financial Services | insurance violation | 2019 | CT-INS | $141,500 |
Ace American Insurance Co. | Chubb Limited | insurance violation | 2009 | UT-INS | $141,500 |
BUCKEYE PARTNERS LP | IFM Investors | pipeline safety violation | 2011 | PHMSA | $141,200 |
U.S. Bancorp | U.S. Bancorp | wage and hour violation | 2006 | WHD | $140,788 |
U.S. Bank | U.S. Bancorp | wage and hour violation | 2008 | WHD | $140,787 |
Safeco Insurance Company of America | Liberty Mutual Insurance | insurance violation | 2015 | CO-INS | $140,500 |
Dairyland Insurance Co. and Peak Property and Casualty Insurance Corp. | Sentry Insurance | insurance violation | 2020 | VA-INS | $140,492 |
NATIONWIDE LIFE AND ANNUITY INSURANCE COMPANY | Nationwide | insurance violation | 2023 | WA-INS | $140,273 |
BNP Paribas Securities | BNP Paribas | investor protection violation | 2015 | CFTC | $140,000 |
J.P. Morgan Securities LLC | JPMorgan Chase | investor protection violation | 2012 | CFTC | $140,000 |
FCStone, LLC | StoneX Group | investor protection violation | 2015 | CFTC | $140,000 |
1ST FINANCIAL BANK USA | 1st Financial Bank USA | banking violation | 2009 | FDIC | (*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $140,000 |
Washington National Insurance Co. | CNO Financial | insurance violation | 2017 | MN-FIN | $140,000 |
NEXT Financial Group, Inc | Atria Wealth Solutions | investor protection violation | 2014 | NH-BSR | $140,000 |
Goldman, Sachs & Co. | Goldman Sachs | investor protection violation | 2005 | FINRA | $140,000 |
TIAA-CREF Life Insurance Company | TIAA | insurance violation | 2016 | NY-DFS | $139,940 |
Liberty Mutual Insurance Group | Liberty Mutual Insurance | insurance violation | 2017 | RI-FIN | $139,547 |
Bank of New York | Bank of New York Mellon | economic sanction violation | 2004 | OFAC | $137,500 |
Transamerica Life Insurance Company | Aegon | insurance violation | 2020 | NJ-DBI | $137,000 |
Synovus Bank | Synovus Financial | banking violation | 2013 | FDIC | $135,050 |
Regions Bank | Regions Financial | banking violation | 2009 | FED | $135,000 |
BANK OF THE WEST | Bank of Montreal | banking violation | 2011 | FDIC | $135,000 |
MetLife Securities, Inc. | MetLife | investor protection violation | 2010 | IL-SEC | $135,000 |
Allianz Life Insurance Company of New York | Allianz | insurance violation | 2013 | NY-DFS | $135,000 |
Edward D. Jones & Co. LP | Jones Financial | investor protection violation | 2016 | PA-BKG | $135,000 |
RBC Capital Markets Corporation | Royal Bank of Canada | investor protection violation | 2010 | FINRA | $135,000 |
GMAC Mortgage Group, Inc. | Ally Financial | WARN Act violation | 2006 | private lawsuit-federal | $135,000 |
Old Republic Insurance Co. | Old Republic International | insurance violation | 2012 | MO-INS | $134,750 |
Santander Consumer USA Inc, dba Chrysler Capital | Banco Santander | consumer protection violation | 2021 | DOJ_RIGHTS | $134,282 |
Omega Advisors, Inc. | Omega Advisors | investor protection violation | 2015 | SEC | $134,026 |
Kemper Independence Insurance Co. | Kemper | insurance violation | 2019 | CT-INS | $134,000 |
FEDERAL INSURANCE CO., | Chubb Limited | insurance violation | 2015 | VA-INS | $132,761 |
US BANK | U.S. Bancorp | wage and hour violation | 2014 | IL-DOL | $131,922 |
Noble Americas Corp. | Vitol | investor protection violation | 2010 | CFTC | $130,000 |
UBS AG | UBS | investor protection violation | 2010 | CFTC | $130,000 |
Chicago Insurance Co. | Allianz | insurance violation | 2008 | FL-OFR | $130,000 |
HCC Life Insurance Co. and HCC Medical Insurance Services, LLC | Tokio Marine | insurance violation | 2017 | MT-FIN | $130,000 |
Citigroup Global Markets Inc. | Citigroup | investor protection violation | 2010 | TX-SEC | $130,000 |
Wachovia Securities, LLC | Wells Fargo | investor protection violation | 2010 | AK-DBS | $129,131 |
East West Bank | East West Bancorp | banking violation | 2020 | FED | $129,108 |
Metlife Pet Insurance Services LLC fka Petfirst Healthcare LLC | MetLife | insurance violation | 2023 | NY-DFS | $129,000 |
H & R Block | H&R Block | wage and hour violation | 2014 | WHD | $128,872 |
Amica Mutual Insurance Company | Amica Mutual Insurance | insurance violation | 2022 | MD-INS | $128,790 |
ProEquities, Inc. | Dai-ichi Life | investor protection violation | 2015 | MO-SEC | $128,528 |
Ameriprise Financial, Inc. | Ameriprise Financial | employment discrimination | 2016 | OFCCP | $128,200 |
Stewart Title Guarantee Co. | Stewart Information Services | insurance violation | 2012 | MO-INS | $128,000 |
Progressive Insurance Company of Ohio | Progressive | consumer protection violation | 2001 | IA-AG | $127,500 |
Property & Casualty Insurance Company of Hartford and Trumbull Insurance Company | Hartford Financial Services | insurance violation | 2011 | VA-INS | $126,386 |
HOMESITE INSURANCE COMPANY | American Family Insurance | insurance violation | 2010 | VA-INS | $126,252 |
USAA Insurance | USAA | labor relations violation | 2005 | NLRB | $125,361 |
WELLS FARGO FINANCIAL BANK | Wells Fargo | banking violation | 2009 | FDIC | $125,000 |
Capital One, National Association | Capital One Financial | banking violation | 2009 | OCC | $125,000 |
Northern Trust, National Association | Northern Trust | banking violation | 2008 | OCC | $125,000 |
Associated Bank, National Association | Associated Banc-Corp | banking violation | 2007 | OCC | $125,000 |
First Tennessee Bank National Association | First Horizon National | banking violation | 2007 | OCC | $125,000 |
Lasalle Bank MidWest National Association | Bank of America | banking violation | 2007 | OCC | $125,000 |
U.S. Bank National Association | U.S. Bancorp | banking violation | 2006 | OCC | $125,000 |
A.G. Edwards & Sons, Inc. | Wells Fargo | investor protection violation | 2006 | SEC | $125,000 |
Morgan Keegan & Company, Inc. | Raymond James Financial | investor protection violation | 2006 | SEC | $125,000 |
Piper Jaffray & Co. | Piper Sandler | investor protection violation | 2006 | SEC | $125,000 |
SunTrust Capital Markets Inc. | Truist Financial | investor protection violation | 2006 | SEC | $125,000 |
Wachovia Capital Markets, LLC | Wells Fargo | investor protection violation | 2006 | SEC | $125,000 |
Friedman, Billings, Ramsey & Co., Inc. | Arlington Asset Investment Corp. | investor protection violation | 2004 | SEC | $125,000 |
SG Cowen & Co., LLC f/k/a SG Cowen Securities Corporation | Toronto-Dominion Bank | investor protection violation | 2004 | SEC | $125,000 |
Wilmington Trust Company | M&T Bank | investor protection violation | 2004 | SEC | $125,000 |
Fifth Third Bank | Fifth Third Bancorp | discriminatory practices (non-employment) | 2006 | HUD | $125,000 |
RBC Capital Markets Corporation | Royal Bank of Canada | investor protection violation | 2009 | SEC | $125,000 |
Prudential Equity Group, LLC | Prudential Financial | investor protection violation | 2005 | SEC | $125,000 |
Allstate Company, Inc. | Allstate | wage and hour violation | 2007 | MA-AG | $125,000 |
Credit Acceptance Corp. | Credit Acceptance Corp. | consumer protection violation | 2012 | MO-AG | $125,000 |
Jackson Hewitt Inc. | Jackson Hewitt | consumer protection violation | 2004 | NY-NYCDCWP | $125,000 |
American Express Financial Advisors | Ameriprise Financial | investor protection violation | 2000 | AZ-CC | $125,000 |
Hartford Fire Insurance Co. et al. | Hartford Financial Services | insurance violation | 2006 | CA-INS | $125,000 |
Sun LIfe Assurance Company of Canada et al. | Sun Life Financial | insurance violation | 2004 | IN-INS | $125,000 |
Progressive Direct Insurance Co. | Progressive | insurance violation | 2011 | MA-INS | $125,000 |
Zurich American Insurance Co. | Zurich Insurance | insurance violation | 2011 | MD-INS | $125,000 |
Hartford Accident and Indemnity Co. et al. | Hartford Financial Services | insurance violation | 2011 | MD-INS | $125,000 |
Metropolitan Life Insurance Co. | MetLife | insurance violation | 2011 | MD-INS | $125,000 |
Raymond James Financial Services Inc. | Raymond James Financial | investor protection violation | 2017 | PA-BKG | $125,000 |
Washington National Insurance Company | CNO Financial | insurance violation | 2013 | SD-INS | $125,000 |
Sentry Insurance Group | Sentry Insurance | insurance violation | 2015 | SD-INS | $125,000 |
Charles Schwab & Co. Inc. | Charles Schwab Corp. | investor protection violation | 2016 | TX-SEC | $125,000 |
Time Insurance Company | Haven Holdings | insurance violation | 2018 | TX-INS | $125,000 |
Merrill Lynch | Bank of America | investor protection violation | 2020 | VT-FIN | $125,000 |
BUCKEYE PIPE LINE & WEST SHORE PIPE LINE | IFM Investors | environmental violation | 2014 | IL-ENV | $125,000 |
Goldman, Sachs & Co. | Goldman Sachs | investor protection violation | 2005 | FINRA | $125,000 |
Jefferson Pilot Securities Corporation | Lincoln National | investor protection violation | 2004 | FINRA | $125,000 |
Stifel Nicolaus & Company | Stifel Financial | investor protection violation | 2004 | FINRA | $125,000 |
Wells Fargo Bank | Wells Fargo | discriminatory practices (non-employment) | 2021 | HUD | $125,000 |
LPL Financial LLC | LPL Financial | investor protection violation | 2022 | TX-SEC | $125,000 |
Allstate Fire and Casualty Insurance Company et al. | Allstate | insurance violation | 2023 | TX-INS | $125,000 |
Insurance Company of the State of PA | American International Group | insurance violation | 2002 | MA-INS | $124,532 |
Stewart Title Guaranty Company | Stewart Information Services | insurance violation | 2022 | MD-INS | $123,105 |
Marsh USA Inc. | Marsh & McLennan | insurance violation | 2023 | NY-DFS | $123,100 |
Popular Mortgage, Inc. | Popular Inc. | wage and hour violation | 2011 | WHD | $122,762 |