SUN LIFE ASSURANCE COMPANY OF CANADA | Sun Life Financial | insurance violation | 2024 | WA-INS | $5,000 |
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 |
Stifel, Nicolaus & Company, Inc. | Stifel Financial | investor protection violation | 2015 | SEC | $500,000 |
Stifel Nicolaus & Co. | Stifel Financial | investor protection violation | 2014 | SEC | $60,000 |
Thomas Weisel Partners LLC | Stifel Financial | investor protection violation | 2004 | SEC | $12,500,000 |
Stifel, Nicolaus & Co., Inc. | Stifel Financial | investor protection violation | 2016 | SEC | $24,500,000 |
Stifel, Nicolaus & Company, Incorporated | Stifel Financial | investor protection violation | 2017 | SEC | $300,000 |
Stifel and Nicolaus & Company, Incorporated | Stifel Financial | investor protection violation | 2019 | SEC | $6,037,175 |
Stifel, Nicolaus & Co., Inc. | Stifel Financial | investor protection violation | 2019 | SEC | $2,700,000 |
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 |
Stewart Title Company of California | Stewart Information Services | consumer protection violation | 2002 | CA-AG | $2,500,000 |
Stewart Title Guaranty Co. | Stewart Information Services | insurance violation | 2013 | AR-INS | $10,000 |
Stewart Title of California, Inc. | Stewart Information Services | insurance violation | 2005 | CA-INS | $750,000 |
Stewart Title Guaranty Co. and Electronic Closing Services, Inc. dba E-Title | Stewart Information Services | insurance violation | 2007 | CA-INS | $1,500,000 |
Stewart Title Guaranty Co. | Stewart Information Services | insurance violation | 2007 | CA-INS | $1,000,400 |
Stewart Title Guaranty Co. | Stewart Information Services | insurance violation | 2000 | CO-INS | $25,000 |
Stewart Title Guaranty Co. | Stewart Information Services | insurance violation | 2007 | CO-INS | $50,000 |
Stewart Title Guaranty Co. | Stewart Information Services | insurance violation | 2012 | CO-INS | $70,400 |
Stewart Title Guaranty Co. | Stewart Information Services | insurance violation | 2010 | FL-OFR | $165,000 |
Stewart Title Co. | Stewart Information Services | insurance violation | 2015 | IN-INS | $59,400 |
Stewart Title Guaranty Co. | Stewart Information Services | insurance violation | 2014 | MD-INS | $18,000 |
Stewart Title Guaranty Co. | Stewart Information Services | insurance violation | 2006 | MN-FIN | $5,000 |
Stewart Title Guaranty Co. | Stewart Information Services | insurance violation | 2015 | MN-FIN | $17,500 |
Stewart Title Guarantee Co. | Stewart Information Services | insurance violation | 2006 | MO-INS | $75,087 |
Stewart Title Guarantee Co. | Stewart Information Services | insurance violation | 2012 | MO-INS | $128,000 |
Stewart Title Guaranty Company | Stewart Information Services | insurance violation | 2009 | OR-FIN | $30,000 |
Stewart Title Guaranty Company | Stewart Information Services | insurance violation | 2009 | TX-INS | $55,000 |
Stewart Title Guaranty Company | Stewart Information Services | insurance violation | 2010 | TX-INS | $525,418 |
Stewart Title Company | Stewart Information Services | insurance violation | 2015 | TX-INS | $50,000 |
Stewart Title Guaranty Company | Stewart Information Services | insurance violation | 2019 | WA-INS | $10,050 |
Stewart Title Guaranty Co. | Stewart Information Services | insurance violation | 2010 | WI-INS | $7,500 |
Stewart Title Guaranty Co. | Stewart Information Services | insurance violation | 2020 | CT-INS | $47,000 |
Stewart Title Guaranty Co. | Stewart Information Services | insurance violation | 2020 | MO-INS | $100,000 |
Stewart Title Guaranty Company | Stewart Information Services | insurance violation | 2022 | MD-INS | $123,105 |
Stewart Title Guaranty Corporation | Stewart Information Services | price-fixing or anti-competitive practices | 2022 | NY-AG | $2,500,000 |
Stewart Title Company | Stewart Information Services | insurance violation | 2023 | IN-INS | $6,570 |
State Street Bank and Trust Company | State Street Corp. | investor protection violation | 2016 | SEC | $382,400,000 |
State Street Bank and Trust Company | State Street Corp. | illicit political contributions | 2016 | SEC | $12,000,000 |
State Street Bank and Trust Company | State Street Corp. | investor protection violation | 2010 | SEC | $313,300,000 |
State Street Bank & Trust Co | State Street Corp. | economic sanction violation | 2003 | OFAC | $22,000 |
State Street Corporation | State Street Corp. | fraud | 2017 | DOJ_CRIMINAL | $32,300,000 |
State Street Bank and Trust Company | State Street Corp. | investor protection violation | 2017 | SEC | $35,300,000 |
State Street Corporation | State Street Corp. | employment discrimination | 2017 | OFCCP | $4,492,174 |
State Street Corporation | State Street Corp. | benefit plan administrator violation | 2014 | private lawsuit-federal | $10,000,000 |
State Street Bank And Trust Co. | State Street Corp. | benefit plan administrator violation | 2010 | private lawsuit-federal | $89,750,000 |
State Street Corporation | State Street Corp. | benefit plan administrator violation | 2016 | private lawsuit-federal | $60,000,000 |
State Street Bank | State Street Corp. | investor protection violation | 2010 | WA-AG | $11,700,000 |
State Street Bank & Trust Co. | State Street Corp. | investor protection violation | 2010 | MA-AG | (*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $300,000,000 |
State Street Bank and Trust Co. | State Street Corp. | investor protection violation | 2016 | MA-AG | (*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $75,500,000 |
State Street Bank and Trust Company | State Street Corp. | investor protection violation | 2019 | SEC | $88,780,000 |
State Street Corp. | State Street Corp. | consumer protection violation | 2019 | MA-AG | $53,500,000 |
State Street Global Advisors | State Street Corp. | investor protection violation | 2012 | MA-SEC | $5,000,000 |
State Street Bank and Trust Company | State Street Corp. | investor protection violation | 2018 | NH-BSR | $325,000 |
State Street Global Markets LLC | State Street Corp. | investor protection violation | 2005 | FINRA | $1,400,000 |
State Street Corporation | State Street Corp. | fraud | 2021 | USAO | $115,000,000 |
State Street Bank and Trust Co. | State Street Corp. | consumer protection violation | 2012 | private lawsuit-federal | $6,250,000 |
State Farm Mutual Automobile Insurance Compan | State Farm Insurance | Family and Medical Leave Act | 2010 | WHD | $27,787 |
State Farm | State Farm Insurance | wage and hour violation | 2013 | private lawsuit-federal | $5,000,000 |
State Farm | State Farm Insurance | wage and hour violation | 2005 | private lawsuit-state | $135,000,000 |
State Farm | State Farm Insurance | consumer protection violation | 2008 | MS-AG | $74,000,000 |
State Farm | State Farm Insurance | consumer protection violation | 2000 | TX-AG | $3,100,000 |
State Farm Life Insurance Co. | State Farm Insurance | insurance violation | 2017 | MULTI-AG | $250,000 |
State Farm Mutual Automobile Insurance Co. | State Farm Insurance | consumer protection violation | 2005 | TX-AG | $10,000,000 |
State Farm Mutual Insurance Company | State Farm Insurance | consumer protection violation | 2005 | MULTI-AG | $41,000,000 |
State Farm Mutual Automobile Insurance Co. | State Farm Insurance | insurance violation | 2003 | CA-INS | $250,000 |
State Farm | State Farm Insurance | insurance violation | 2017 | CA-INS | $13,335,701 |
State Farm Fire & Casualty Co. | State Farm Insurance | insurance violation | 2012 | DE-INS | $150,000 |
State Farm Fire & Casualty Insurance Co. and State Farm Mutual Automobile Insurance Co. | State Farm Insurance | insurance violation | 2016 | DE-INS | $28,000 |
State Farm Fire & Casualty Co. and State Farm Mutual Automobile Insurance Co. | State Farm Insurance | insurance violation | 2018 | DE-INS | $24,000 |
State Farm Life Insurance Co. | State Farm Insurance | insurance violation | 2019 | DE-INS | $18,000 |
State Farm Florida Insurance Co. | State Farm Insurance | insurance violation | 2005 | FL-OFR | $5,000 |
State Farm Life Insurance Co. | State Farm Insurance | insurance violation | 2008 | FL-OFR | $10,500 |
State Farm Life Insurance Co. | State Farm Insurance | insurance violation | 2010 | FL-OFR | $10,500 |
State Farm Life Insurance Co. | State Farm Insurance | insurance violation | 2012 | FL-OFR | $10,500 |
State Farm Life Insurance Co. | State Farm Insurance | insurance violation | 2014 | FL-OFR | $10,500 |
State Farm Mutual Automobile Insurance Co. and State Farm Fire and Casualty Co. | State Farm Insurance | insurance violation | 2011 | IL-INS | $50,000 |