Waddell & Reed, Inc. | Macquarie | investor protection violation | 2003 | FL-OFR | $8,800 |
Ace American Insurance Co. | Chubb Limited | insurance violation | 2003 | FL-OFR | $6,000 |
Illinois National Insurance Co. | American International Group | insurance violation | 2003 | FL-OFR | $5,000 |
National Union Fire Insurance Company of Pittsburgh, PA | American International Group | insurance violation | 2003 | FL-OFR | $62,250 |
Kemper Auto and Home Insurance Co. | Kemper | insurance violation | 2003 | FL-OFR | $16,500 |
CitiFinancial, Inc. | Citigroup | consumer protection violation | 2003 | FL-OFR | $8,199 |
Alpha Property & Casualty Insurance Co. | Kemper | insurance violation | 2003 | FL-OFR | $32,500 |
The Equitable Life Assurance Society of the United States | Equitable Holdings | insurance violation | 2003 | FL-OFR | $1,600,000 |
American Alternative Insurance Corp. | Munich Re | insurance violation | 2003 | FL-OFR | $21,500 |
Bristol West Insurance Co. | Zurich Insurance | insurance violation | 2004 | FL-OFR | $26,500 |
Universal Property & Casualty Insurance Co. | Universal Insurance Holdings | insurance violation | 2004 | FL-OFR | $47,500 |
ProEquities, Inc. | Dai-ichi Life | investor protection violation | 2004 | FL-OFR | $5,000 |
Jackson National Life Insurance Co. | Jackson Financial | insurance violation | 2004 | FL-OFR | $5,500 |
Merrill Lynch, Pierce, Fenner & Smith, Inc. | Bank of America | investor protection violation | 2004 | FL-OFR | $10,000 |
Protective Life Insurance Co. | Dai-ichi Life | insurance violation | 2004 | FL-OFR | $5,950 |
Life Investors Insurance Company of America | Aegon | insurance violation | 2004 | FL-OFR | $11,000 |
Amex Assurance Co. | American Express | insurance violation | 2005 | FL-OFR | $12,500 |
Axa Re Property and Casualty Insurance Co. | AXA | insurance violation | 2005 | FL-OFR | $15,000 |
Scottsdale Insurance Co. | Nationwide | insurance violation | 2005 | FL-OFR | $5,000 |
Sentry Insurance A Mutual Company | Sentry Insurance | insurance violation | 2005 | FL-OFR | $7,500 |
State Farm Florida Insurance Co. | State Farm Insurance | insurance violation | 2005 | FL-OFR | $5,000 |
United Casualty Insurance Company of America | Kemper | insurance violation | 2005 | FL-OFR | $17,500 |
Chicago Title Insurance Co. | Fidelity National Financial | insurance violation | 2005 | FL-OFR | $50,000 |
Fidelity National Title Insurance Co. | Fidelity National Financial | insurance violation | 2005 | FL-OFR | $50,000 |
Safeco Insurance Company of America et al. | Liberty Mutual Insurance | insurance violation | 2005 | FL-OFR | $35,350 |
Ticor Title Insurance Co. | Fidelity National Financial | insurance violation | 2005 | FL-OFR | $50,000 |
American General Life and Accident Insurance Co. | American International Group | insurance violation | 2006 | FL-OFR | $1,568,324 |
Combined Insurance Company of America | Chubb Limited | insurance violation | 2006 | FL-OFR | $9,750 |
Pacific Life & Annuity Co. | Pacific Life | insurance violation | 2006 | FL-OFR | $38,000 |
National Union Fire Insurance Company of Pittsburgh, PA | American International Group | insurance violation | 2006 | FL-OFR | $12,100 |
Life Investors Insurance Company of America | Aegon | insurance violation | 2006 | FL-OFR | $53,000 |
CUNA Mutual Life Insurance Co. | CUNA Mutual | insurance violation | 2007 | FL-OFR | $7,500 |
USAA Life Insurance Co. | USAA | insurance violation | 2007 | FL-OFR | $22,500 |
Fortis Insurance Co. | Assurant | insurance violation | 2007 | FL-OFR | $11,000 |
Ace American Insurance Co. | Chubb Limited | insurance violation | 2007 | FL-OFR | $56,000 |
Cincinnati Insurance Co. | Cincinnati Financial | insurance violation | 2007 | FL-OFR | $65,000 |
American Home Assurance Co. | American International Group | insurance violation | 2007 | FL-OFR | $25,500 |
National Union Fire Insurance Company of Pittsburgh, PA | American International Group | insurance violation | 2007 | FL-OFR | $240,000 |
Mutual of Omaha Insurance Co. | Mutual of Omaha | insurance violation | 2007 | FL-OFR | $13,000 |
Fireman's Fund Insurance Co. | Allianz | insurance violation | 2007 | FL-OFR | $5,500 |
St. Paul Fire & Marine Insurance Co. | Travelers | insurance violation | 2007 | FL-OFR | $23,750 |
Chicago Insurance Co. | Allianz | insurance violation | 2008 | FL-OFR | $130,000 |
The Guardian Life Insurance Company of America | Guardian Life Insurance | insurance violation | 2008 | FL-OFR | $10,500 |
Zurich American Insurance Co. | Zurich Insurance | insurance violation | 2008 | FL-OFR | $8,000 |
State Farm Life Insurance Co. | State Farm Insurance | insurance violation | 2008 | FL-OFR | $10,500 |
Property and Casualty Insurance Company of Hartford | Hartford Financial Services | insurance violation | 2008 | FL-OFR | $13,000 |
QBE Insurance Corp. | QBE Insurance | insurance violation | 2008 | FL-OFR | $157,000 |
Amex Assurance Co. | American Express | insurance violation | 2008 | FL-OFR | $8,000 |
Nationwide Financial Services | Nationwide | consumer protection violation | 2008 | FL-OFR | $7,000 |
American General Life Insurance Co. | American International Group | insurance violation | 2008 | FL-OFR | $260,000 |
USAA Life Insurance Co. | USAA | insurance violation | 2009 | FL-OFR | $50,000 |
Universal Property & Casualty Insurance Co. | Universal Insurance Holdings | insurance violation | 2009 | FL-OFR | $99,000 |
Stewart Title Guaranty Co. | Stewart Information Services | insurance violation | 2010 | FL-OFR | $165,000 |
Jackson National Life Insurance Co. | Jackson Financial | insurance violation | 2010 | FL-OFR | $53,000 |
Time Insurance Co. | Haven Holdings | insurance violation | 2010 | FL-OFR | $23,000 |
Genworth Life and Annuity Insurance Co. | Genworth Financial | insurance violation | 2010 | FL-OFR | $18,000 |
State Farm Life Insurance Co. | State Farm Insurance | insurance violation | 2010 | FL-OFR | $10,500 |
Liberty National Life Insurance Co. | Globe Life Inc. | insurance violation | 2011 | FL-OFR | $60,000 |
New York Life Insurance Co. | New York Life Insurance | insurance violation | 2011 | FL-OFR | $18,000 |
American Heritage Life Insurance Co. | Allstate | insurance violation | 2011 | FL-OFR | $28,000 |
RiverSource Life Insurance Co. | Ameriprise Financial | insurance violation | 2011 | FL-OFR | $10,500 |
Saxon Mortgage Services, Inc. | Ocwen Financial | consumer protection violation | 2012 | FL-OFR | $15,000 |
LendingClub Corp. | LendingClub Corp. | investor protection violation | 2012 | FL-OFR | $100,000 |
State Farm Life Insurance Co. | State Farm Insurance | insurance violation | 2012 | FL-OFR | $10,500 |
Pacific Life Insurance Co. | Pacific Life | insurance violation | 2012 | FL-OFR | $10,500 |
Metropolitan Life Insurance Co. | MetLife | insurance violation | 2012 | FL-OFR | $103,000 |
Universal Property & Casualty Insurance Co. | Universal Insurance Holdings | insurance violation | 2013 | FL-OFR | $1,260,000 |
State Farm Life Insurance Co. | State Farm Insurance | insurance violation | 2014 | FL-OFR | $10,500 |
Pruco Life Insurance Co. | Prudential Financial | insurance violation | 2014 | FL-OFR | $10,500 |
Genworth Life and Annuity Insurance Co. | Genworth Financial | insurance violation | 2014 | FL-OFR | $10,500 |
PayPal, Inc. | PayPal Holdings | consumer protection violation | 2015 | FL-OFR | $14,500 |
American Express Travel Related Services Co, Inc. | American Express | consumer protection violation | 2015 | FL-OFR | $9,000 |
ACE Cash Express, Inc. | ACE Cash Express | consumer protection violation | 2016 | FL-OFR | $28,000 |
Nationwide Life and Annuity Insurance Co. | Nationwide | insurance violation | 2016 | FL-OFR | $22,435 |
CashCall, Inc., Western Sky Financial, LLC, WS Funding, LLC | CashCall Inc. | payday lending violation | 2016 | FL-OFR | $500,000 |
American General Life Insurance Co. | American International Group | insurance violation | 2018 | FL-OFR | $210,000 |
Western Union International Services LLC | Western Union | consumer protection violation | 2019 | FL-OFR | $10,000 |
Solium Financial Services LLC | Morgan Stanley | investor protection violation | 2020 | FL-OFR | $79,045 |
Coinbase, Inc. | Coinbase Global Inc. | consumer protection violation | 2021 | FL-OFR | $6,500 |
LOUIS DREYFUS CITRUS, INC. | Louis Dreyfus | environmental violation | 2010 | FL-DEP | $14,600 |
LOUIS DREYFUS CITRUS INC | Louis Dreyfus | environmental violation | 2008 | FL-DEP | $21,000 |
IFCO SYSTEMS NORTH AMERICA, INC. | Triton Investments Advisers | environmental violation | 2008 | FL-DEP | $15,000 |
LOUIS DREYFUS CITRUS, INC. | Louis Dreyfus | environmental violation | 2006 | FL-DEP | $7,200 |
THE FIFTH THIRD BANK | Fifth Third Bancorp | environmental violation | 2006 | FL-DEP | $16,000 |
WHEELABRATOR SOUTH BROWARD, INC. | Macquarie | environmental violation | 2005 | FL-DEP | $14,450 |
LOUIS DREYFUS CITRUS, INC. | Louis Dreyfus | environmental violation | 2005 | FL-DEP | $8,500 |
WHEELABRATOR RIDGE ENERGY, INC. | Macquarie | environmental violation | 2004 | FL-DEP | $19,000 |
Wheelabrator South Broward, Inc. | Macquarie | environmental violation | 2021 | FL-DEP | $78,000 |
Aon Corp. | Aon | consumer protection violation | 2008 | FL-AG | $4,000,000 |
Bank of New York Mellon | Bank of New York Mellon | investor protection violation | 2013 | FL-AG | $28,000,000 |
Brown & Brown, Inc. | Brown & Brown | consumer protection violation | 2006 | FL-AG | $5,800,000 |
J.P. Morgan Securities LLC | JPMorgan Chase | investor protection violation | 2010 | FL-AG | $25,000,000 |
Morgan Stanley Capital Group Inc. | Morgan Stanley | consumer protection violation | 2009 | FL-AG | $2,275,000 |
Willis Group Holdings Ltd. | Willis Towers Watson | consumer protection violation | 2007 | FL-AG | $2,600,000 |
Ocwen Financial Corporation | Ocwen Financial | mortgage abuses | 2020 | FL-AG | $11,600,000 |
Transamerica Financial Advisors, Inc. | Aegon | investor protection violation | 2020 | FINRA | $8,800,000 |
Wells Fargo Clearing Services, LLC and Wells Fargo Advisors Financial Network, LLC | Wells Fargo | investor protection violation | 2020 | FINRA | $2,075,000 |
Interactive Brokers LLC | Interactive Brokers Group | anti-money-laundering deficiencies | 2020 | FINRA | $15,000,000 |
SG Americas Securities, LLC | Societe Generale | investor protection violation | 2020 | FINRA | $1,550,000 |
Merrill Lynch, Pierce, Fenner & Smith Inc. | Bank of America | investor protection violation | 2020 | FINRA | $7,200,000 |
Stifel, Nicolaus & Company, Incorporated | Stifel Financial | investor protection violation | 2020 | FINRA | $3,650,000 |