Thomas Weisel Partners LLC | Stifel Financial | investor protection violation | 2006 | CT-SEC | $52,480 |
Stifel, Nicolaus & Company, Inc. | Stifel Financial | investor protection violation | 2011 | IL-SEC | $80,224 |
Stifel, Nicolaus & Company, Inc. | Stifel Financial | investor protection violation | 2010 | MO-SEC | $211,617 |
Stifel, Nicolaus & Company, Inc. | Stifel Financial | investor protection violation | 2012 | MO-SEC | $1,101,385 |
Stifel, Nicolaus & Company, Inc. | Stifel Financial | investor protection violation | 2017 | MS-SEC | $50,000 |
Stifel, Nicolaus & Company Inc. | Stifel Financial | investor protection violation | 2014 | NE-DBF | $61,000 |
Stifel Nicolaus & Company, Inc. | Stifel Financial | investor protection violation | 2010 | NJ-BOS | $5,415,381 |
Stifel, Nicolaus & Company, Incorporated | Stifel Financial | investor protection violation | 2009 | MULTI-FIN | $525,000 |
Thomas Weisel Partners LLC | Stifel Financial | investor protection violation | 2005 | MULTI-FIN | (*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $5,000,000 |
Stifel, Nicolaus & Company, Incorporated | Stifel Financial | investor protection violation | 2020 | FINRA | $3,650,000 |
Stifel Nicolaus & Company, Inc. | Stifel Financial | investor protection violation | 2015 | FINRA | $2,900,000 |
Stifel Financial Corporation | Stifel Financial | investor protection violation | 2014 | FINRA | $1,025,000 |
Thomas Weisel Partners, LLC | Stifel Financial | investor protection violation | 2008 | FINRA | $200,000 |
Thomas Weisel Partners | Stifel Financial | investor protection violation | 2005 | FINRA | $1,750,000 |
Stifel Nicolaus & Company | Stifel Financial | investor protection violation | 2004 | FINRA | $125,000 |
Stifel, Nicolaus & Company, Inc. | Stifel Financial | investor protection violation | 2001 | FINRA | $225,000 |
STIFEL, NICOLAUS & COMPANY, INC. | Stifel Financial | investor protection violation | 2023 | MA-SEC | $2,500,000 |
INTL FCStone | StoneX Group | accounting fraud or deficiencies | 2016 | SEC | $150,000 |
INTL FCStone Markets, LLC | StoneX Group | investor protection violation | 2015 | CFTC | $200,000 |
FCStone, LLC | StoneX Group | investor protection violation | 2015 | CFTC | $140,000 |
Global Futures & Forex, Ltd. | StoneX Group | investor protection violation | 2014 | CFTC | $200,000 |
FCStone LLC | StoneX Group | investor protection violation | 2013 | CFTC | $1,500,000 |
FCStone, LLC and Commodity Operations Inc. | StoneX Group | investor protection violation | 2012 | CFTC | $260,000 |
INTL FCStone Financial Inc. | StoneX Group | investor protection violation | 2017 | CFTC | $280,000 |
Gain Capital Group, LLC | StoneX Group | investor protection violation | 2020 | CFTC | $300,000 |
Stonex Group Inc. | StoneX Group | benefit plan administrator violation | 2023 | EBSA | $10,001 |
StoneX Markets LLC | StoneX Group | investor protection violation | 2023 | CFTC | $650,000 |
Massachusetts Financial Services Company | Sun Life Financial | investor protection violation | 2004 | SEC | $50,000,000 |
Massachusetts Financial Services Co. | Sun Life Financial | investor protection violation | 2004 | SEC | $225,000,000 |
Massachusetts Financial Services Company | Sun Life Financial | investor protection violation | 2003 | SEC | $917,858 |
Sun Life Assurance Company of Canada (U.S.) | Sun Life Financial | wage and hour violation | 2009 | WHD | $6,366 |
Sun Life Assurance Company of Canada (U.S.) | Sun Life Financial | wage and hour violation | 2009 | WHD | $25,744 |
Massachusetts Financial Services Company | Sun Life Financial | investor protection violation | 2018 | SEC | $1,900,000 |
Massachusetts Financial Services Co. | Sun Life Financial | investor protection violation | 2004 | NY-AG | $350,000,000 |
Sun Life Insurance Company | Sun Life Financial | insurance violation | 2014 | MULTI-AG | $3,200,000 |
Sun LIfe Assurance Company of Canada et al. | Sun Life Financial | insurance violation | 2004 | IN-INS | $125,000 |
Sun Life Insurance Company of Canada | Sun Life Financial | insurance violation | 2009 | MN-FIN | $7,500 |
SUN LIFE ASSURANCE CO OF CANADA | Sun Life Financial | environmental violation | 2005 | MA-ENV | $31,635 |
SUN LIFE ASSURANCE COMPANY OF CANADA | Sun Life Financial | insurance violation | 2024 | WA-INS | $5,000 |
Swiss Life Holding AG et al. | Swiss Life Group | tax violations | 2021 | DOJ_TAX | $77,374,337 |
Swiss Re Financial Products Corporation | Swiss Re | investor protection violation | 2007 | SEC | $95,000 |
GE Capital Retail Bank, now known as Synchrony Bank | Synchrony Financial | consumer protection violation | 2014 | CFPB | $225,000,000 |
GE Capital Retail Bank and CareCredit | Synchrony Financial | consumer protection violation | 2013 | CFPB | $34,100,000 |
GE Capital Corp. | Synchrony Financial | consumer protection violation | 2006 | CT-AG | $336,000 |
Synchrony Bank | Synchrony Financial | consumer protection violation | 2021 | CA-MULTI | $3,500,000 |
GE ENERGY MANAGEMENT GRID SOLUTIONS, LLC | Synchrony Financial | workplace safety or health violation | 2015 | OSHA | $22,300 |
Synovus Bank | Synovus Financial | banking violation | 2013 | FDIC | $135,050 |
AFB&T | Synovus Financial | banking violation | 2009 | FDIC | $7,040 |
Bank of North Georgia | Synovus Financial | water pollution violation | 2011 | GA-ENV | $14,000 |
Synovus Financial Corp. | Synovus Financial | consumer protection violation | 2015 | private lawsuit-federal | $3,900,000 |
T. Rowe Price Group, Inc. | T. Rowe Price | benefit plan administrator violation | 2022 | private lawsuit-federal | $7,000,000 |
Thrivent Financial For Lutherans | Thrivent Financial | insurance violation | 2012 | MD-INS | $8,000 |
Thrivent Financial for Lutherans | Thrivent Financial | insurance violation | 2013 | WI-INS | $5,000 |
Thrivent Investment Management Inc. | Thrivent Financial | investor protection violation | 2020 | IL-SEC | $400,000 |
Everbank | TIAA | banking violation | 2016 | OCC | $1,000,000 |
Everbank | TIAA | banking violation | 2013 | OCC | $37,000,000 |
Teachers Insurance Annuity Association | TIAA | wage and hour violation | 2007 | WHD | $1,171,404 |
TIAA - CREF | TIAA | wage and hour violation | 2006 | WHD | $468,336 |
TIAA | TIAA | wage and hour violation | 2005 | WHD | $327,168 |
TIAA-CREF | TIAA | labor relations violation | 2016 | NLRB | $304,216 |
TIAA-CREF | TIAA | aviation safety violation | 2015 | FAA | $7,500 |
TIAA-CREF | TIAA | benefit plan administrator violation | 2014 | private lawsuit-federal | $22,800,000 |
Teachers Insurance and Annuity Insurance Association of America | TIAA | benefit plan administrator violation | 2017 | private lawsuit-federal | $5,000,000 |
TIAA-CREF Individual & Institutional Services, LLC | TIAA | investor protection violation | 2019 | SEC | $2,395,722 |
Teachers Insurance & Annuity Assoc of America | TIAA | wage and hour violation | 2017 | WHD | $9,678 |
TIAA-CREF Life Insurance Company | TIAA | insurance violation | 2016 | NY-DFS | $29,325 |
TIAA-CREF Life Insurance Company | TIAA | insurance violation | 2016 | NY-DFS | $139,940 |
TIAA-CREF Life Insurance Company | TIAA | insurance violation | 2013 | MULTI-FIN | $6,200,000 |
Teachers Insurance and Annuity Association | TIAA | employment discrimination | 2020 | OFCCP | $1,500,000 |
Nuveen Services LLC | TIAA | wage and hour violation | 2018 | IL-DOL | $27,983 |
TIAA Bank, FSB | TIAA | wage and hour violation | 2020 | private lawsuit-federal | $3,500,000 |
Nuveen Investments, LLC | TIAA | investor protection violation | 2011 | FINRA | $3,000,000 |
John Nuveen & Co., Inc. | TIAA | investor protection violation | 2000 | FINRA | $6,630,000 |
TIAA-CREF Individual & Institutional Services, LLC | TIAA | benefit plan administrator violation | 2021 | NY-AG | (*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $97,000,000 |
TIAA-CREF Individual & Institutional Services LLC | TIAA | accounting fraud or deficiencies | 2021 | SEC | $97,000,000 |
Nuveen Securities LLC | TIAA | investor protection violation | 2023 | SEC | $8,500,000 |
TIAA-CREF Individual & Institutional Services LLC | TIAA | investor protection violation | 2024 | SEC | $2,200,000 |
TMX Finance LLC | TMX Finance | consumer protection violation | 2016 | CFPB | $9,000,000 |
TitleMax of Missouri, Inc. | TMX Finance | Family and Medical Leave Act | 2015 | WHD | $11,648 |
TMX Finance, LLC | TMX Finance | wage and hour violation | 2014 | WHD | $10,057 |
TMX Finance LLC | TMX Finance | Family and Medical Leave Act | 2012 | WHD | $36,596 |
TitleMax of Virginia Inc. | TMX Finance | consumer protection violation | 2014 | DC-AG | $167,257 |
TMX Finance, LLC | TMX Finance | wage and hour violation | 2016 | WHD | $6,353 |
TitleMax of California, Inc. | TMX Finance | consumer protection violation | 2019 | CA-DFPI | $720,140 |
TitleMax and TMX Finance | TMX Finance | consumer protection violation | 2023 | CFPB | $15,000,000 |
Philadelphia Indemnity Insurance Company | Tokio Marine | False Claims Act and related | 2018 | USAO | $30,508 |
The Tokio Marine and Fire Insurance Company, Ltd. and Trans Pacific Insurance Co. | Tokio Marine | insurance violation | 2003 | CA-INS | $42,500 |
Philadelphia Indemnity Insurance Co. | Tokio Marine | insurance violation | 2005 | CA-INS | $175,000 |
American Contractors Indemnity Co. | Tokio Marine | insurance violation | 2007 | CA-INS | $170,000 |
Philadelphia Indemnity Insurance Co. | Tokio Marine | insurance violation | 2008 | CA-INS | $60,000 |
Reliance Standard Life Insurance Co. | Tokio Marine | insurance violation | 2009 | KS-INS | $6,300 |
Philadelphia Indemnity Insurance Company | Tokio Marine | insurance violation | 2000 | MA-INS | $7,040 |
Philadelphia Indemnity Insurance Co. | Tokio Marine | insurance violation | 2014 | MD-INS | $7,500 |
Safety National Casualty Corp. | Tokio Marine | insurance violation | 2017 | MD-INS | $5,000 |
Privilege Underwriters Reciprocal Exchange | Tokio Marine | insurance violation | 2019 | MD-INS | $15,300 |
Philadelphia Indemnity Insurance Co. | Tokio Marine | insurance violation | 2015 | MN-FIN | $5,000 |
Philadelphia Indemnity Insurance Co. | Tokio Marine | insurance violation | 2015 | MN-FIN | $5,000 |
HCC Life Insurance Co. | Tokio Marine | insurance violation | 2016 | MN-FIN | $5,000 |
Safety National Casualty Co. | Tokio Marine | insurance violation | 2013 | MO-INS | $61,250 |
Safety First Insurance Co. | Tokio Marine | insurance violation | 2013 | MO-INS | $12,250 |
Tokio Marine & Nichido Fire Insurance Co. | Tokio Marine | insurance violation | 2013 | MO-INS | $29,750 |