Arch Insurance Company | Arch Capital | insurance violation | 2022 | CT-INS | $6,500 |
Foremost Insurance Company Grand Rapids, Michigan | Zurich Insurance | insurance violation | 2022 | CT-INS | $20,000 |
John Hancock Life Insurance Company (U.S.A.) | Manulife Financial | insurance violation | 2022 | CT-INS | $68,000 |
Metropolitan Group Property & Casualty Insurance Company | Zurich Insurance | insurance violation | 2022 | CT-INS | $34,000 |
Ameritas Life Insurance Company | Ameritas Mutual Holding Company | insurance violation | 2022 | CT-INS | $31,500 |
Zurich American Insurance Company | Zurich Insurance | insurance violation | 2022 | CT-INS | $12,000 |
Thomas Weisel Partners LLC | Stifel Financial | investor protection violation | 2006 | CT-SEC | $52,480 |
Merrill Lynch, Pierce, Fenner & Smith Inc. | Bank of America | investor protection violation | 2006 | CT-SEC | $3,500,000 |
Wachovia Capital Markets, LLC | Wells Fargo | investor protection violation | 2007 | CT-SEC | $258,728 |
UBS Financial Services Inc. | UBS | investor protection violation | 2007 | CT-SEC | $5,500,000 |
Prosper Marketplace, Inc. | Prosper Marketplace | investor protection violation | 2009 | CT-SEC | $12,602 |
Raymond James Financial Services, Inc. | Raymond James Financial | investor protection violation | 2010 | CT-SEC | $15,000 |
Prosper Marketplace, Inc. | Prosper Marketplace | investor protection violation | 2010 | CT-SEC | $5,000 |
Wachovia Securities, LLC nka Wells Fargo Advisors, LLC | Wells Fargo | investor protection violation | 2010 | CT-SEC | $75,000 |
Charles Schwab & Co., Inc. | Charles Schwab Corp. | investor protection violation | 2011 | CT-SEC | $2,800,000 |
Prosper Marketplace, Inc. | Prosper Marketplace | investor protection violation | 2012 | CT-SEC | $40,000 |
Morgan Stanley Smith Barney LLC | Morgan Stanley | investor protection violation | 2014 | CT-SEC | $5,000,000 |
J.P. Morgan Securities LLC | JPMorgan Chase | investor protection violation | 2014 | CT-SEC | $53,800 |
Citigroup Global Markets Inc. | Citigroup | investor protection violation | 2015 | CT-SEC | $35,000 |
ProEquities, Inc. | Dai-ichi Life | investor protection violation | 2018 | CT-SEC | $7,590 |
Voya Financial Advisors, Inc. fka ING Financial Partners, Inc. | Voya Financial | investor protection violation | 2019 | CT-SEC | $1,015,000 |
Solium Financial Services LLC | Morgan Stanley | investor protection violation | 2020 | CT-SEC | $51,136 |
Merrill Lynch, Pierce, Fenner & Smith Inc. | Bank of America | investor protection violation | 2020 | CT-SEC | $400,000 |
Janney Montgomery Scott, LLC | Penn Mutual | investor protection violation | 2020 | CT-SEC | $250,000 |
Schupp & Grochmal, LLC | Schupp & Grochmal | investor protection violation | 2020 | CT-SEC | $7,500 |
LPL Financial LLC | LPL Financial | investor protection violation | 2021 | CT-SEC | $500,000 |
Bank of America | Bank of America | fraud | 2016 | DC-AG | $13,000,000 |
Bank of America | Bank of America | fraud | 2010 | DC-AG | $13,502,852 |
CashCall Inc., WS Funding | CashCall Inc. | consumer protection violation | 2017 | DC-AG | $2,962,573 |
TitleMax of Virginia Inc. | TMX Finance | consumer protection violation | 2014 | DC-AG | $167,257 |
MetLife Securities, Inc. | MetLife | investor protection violation | 2012 | DC-DISB | $25,000 |
Merrill Lynch, Pierce, Fenner & Smith Inc. | Bank of America | investor protection violation | 2013 | DC-DISB | $15,000 |
J.P. Morgan Securities LLC | JPMorgan Chase | investor protection violation | 2018 | DC-DISB | $5,000 |
Solium Financial Services | Morgan Stanley | investor protection violation | 2021 | DC-DISB | $9,879 |
Citigroup Global Markets Inc. | Citigroup | investor protection violation | 2009 | DE-AG | $309,000 |
J.P. Morgan Securities | JPMorgan Chase | investor protection violation | 2014 | DE-AG | $51,400 |
Merrill Lynch | Bank of America | investor protection violation | 2009 | DE-AG | $459,000 |
Merrill Lynch | Bank of America | investor protection violation | 2002 | DE-AG | $500,000 |
Morgan Stanley DW | Morgan Stanley | investor protection violation | 2005 | DE-AG | $700,000 |
Royal Bank of Canada | Royal Bank of Canada | investor protection violation | 2009 | DE-AG | $22,156 |
Santander Consumer USA Holdings, Inc. | Banco Santander | consumer protection violation | 2017 | DE-AG | $3,875,000 |
UBS Financial Services, Inc. | UBS | investor protection violation | 2013 | DE-AG | $70,077 |
Wachovia Securities, LLC | Wells Fargo | investor protection violation | 2009 | DE-AG | $309,000 |
MBNA | Bank of America | environmental violation | 2002 | DE-ENV | $225,000 |
Allstate Insurance Co. | Allstate | insurance violation | 2011 | DE-INS | $25,000 |
State Farm Fire & Casualty Co. | State Farm Insurance | insurance violation | 2012 | DE-INS | $150,000 |
Life Insurance Company of the Southwest | National Life Group | insurance violation | 2014 | DE-INS | $6,000 |
Titan Indemnity Co. | Nationwide | insurance violation | 2014 | DE-INS | $25,000 |
United States Fire Insurance Co. | Fairfax Financial Holdings | insurance violation | 2014 | DE-INS | $10,000 |
Lincoln National Life Insurance Co. | Lincoln National | insurance violation | 2014 | DE-INS | $27,600 |
Nationwide Mutual Insurance Co. | Nationwide | insurance violation | 2015 | DE-INS | $15,000 |
Highmark BCBSD Inc. | Highmark Inc. | insurance violation | 2016 | DE-INS | $383,000 |
21st Century Centennial Insurance Co. | Zurich Insurance | insurance violation | 2016 | DE-INS | $27,500 |
Progressive Northern Insurance Co. | Progressive | insurance violation | 2016 | DE-INS | $7,000 |
HomeSite Insurance Co. | American Family Insurance | insurance violation | 2016 | DE-INS | $15,000 |
Bankers Life and Casualty Co. | CNO Financial | insurance violation | 2016 | DE-INS | $55,500 |
United Services Automobile Association et al. | USAA | insurance violation | 2016 | DE-INS | $34,000 |
Companion Life Insurance Co. | BlueCross BlueShield of South Carolina | insurance violation | 2016 | DE-INS | $487,000 |
State Farm Fire & Casualty Insurance Co. and State Farm Mutual Automobile Insurance Co. | State Farm Insurance | insurance violation | 2016 | DE-INS | $28,000 |
Lincoln National Life Insurance Co. | Lincoln National | insurance violation | 2017 | DE-INS | $79,000 |
Liberty Mutual Fire Insurance Co. et al. | Liberty Mutual Insurance | insurance violation | 2018 | DE-INS | $76,000 |
Penn Mutual Life Insurance Co. | Penn Mutual | insurance violation | 2018 | DE-INS | $17,000 |
New York Life Insurance and Annuity Corp. | New York Life Insurance | insurance violation | 2018 | DE-INS | $5,000 |
State Farm Fire & Casualty Co. and State Farm Mutual Automobile Insurance Co. | State Farm Insurance | insurance violation | 2018 | DE-INS | $24,000 |
Principal Life Insurance Co. | Principal Financial | insurance violation | 2018 | DE-INS | $200,000 |
United of Omaha Life Insurance Co. | Mutual of Omaha | insurance violation | 2018 | DE-INS | $17,000 |
AXA Equitable Life Insurance Co. | Equitable Holdings | insurance violation | 2018 | DE-INS | $5,000 |
RiverSource Life Insurance Co. | Ameriprise Financial | insurance violation | 2018 | DE-INS | $75,000 |
Nationwide Life Insurance Co. and Nationwide Life and Annuity Insurance Co. | Nationwide | insurance violation | 2018 | DE-INS | $45,500 |
Allstate Insurance Co. et al. | Allstate | insurance violation | 2019 | DE-INS | $12,500 |
United Service Automobile Association et al. | USAA | insurance violation | 2019 | DE-INS | $32,500 |
Allianz Life Insurance Company of North America | Allianz | insurance violation | 2019 | DE-INS | $13,500 |
Chicago Title Insurance Co. | Fidelity National Financial | insurance violation | 2019 | DE-INS | $8,000 |
American General Life Insurance Co. | American International Group | insurance violation | 2019 | DE-INS | $85,000 |
State Farm Life Insurance Co. | State Farm Insurance | insurance violation | 2019 | DE-INS | $18,000 |
Hartford Underwriters Insurance Co. et al. | Hartford Financial Services | insurance violation | 2019 | DE-INS | $23,000 |
Bankers Life and Casualty Co. | CNO Financial | insurance violation | 2019 | DE-INS | $41,200 |
Fidelity National Title Insurance Co. | Fidelity National Financial | insurance violation | 2019 | DE-INS | $20,000 |
Bankers Standard Insurance Co. et al. | Chubb Limited | insurance violation | 2019 | DE-INS | $16,000 |
Nationwide General Insurance Co. et al. | Nationwide | insurance violation | 2019 | DE-INS | $56,600 |
First American Title Insurance Co. | First American Financial | insurance violation | 2019 | DE-INS | $36,000 |
Praetorian Insurance Co. and QBE Insurance Corp. and QBE Speciality Insurance Co. | QBE Insurance | insurance violation | 2019 | DE-INS | $70,100 |
Foremost Property and Casualty Insurance Co. et al. | Zurich Insurance | insurance violation | 2019 | DE-INS | $11,000 |
Hartford Underwriters Insurance Co. et al. | Hartford Financial Services | insurance violation | 2020 | DE-INS | $34,000 |
The Travelers Indemnity Company of America et al. | Travelers | insurance violation | 2020 | DE-INS | $6,000 |
Highmark BCBSD Inc | Highmark Inc. | insurance violation | 2020 | DE-INS | $299,000 |
Liberty Mutual Fire Insurance Company | Liberty Mutual Insurance | insurance violation | 2020 | DE-INS | $20,000 |
John Hancock Life Insurance Co. | Manulife Financial | insurance violation | 2021 | DE-INS | $5,000 |
Lincoln National Life Insurance Co. | Lincoln National | insurance violation | 2021 | DE-INS | $91,000 |
Principal Life Insurance Co. | Principal Financial | insurance violation | 2021 | DE-INS | $23,000 |
Progressive Direct Insurance Company | Progressive | insurance violation | 2021 | DE-INS | $6,500 |
American General Life Insurance Company | American International Group | insurance violation | 2021 | DE-INS | $106,000 |
Pruco Life Insurance Company | Prudential Financial | insurance violation | 2022 | DE-INS | $32,000 |
Janney Montgomery Scott, Inc. | Penn Mutual | investor protection violation | 2001 | DE-SEC | $210,909 |
Wilmington Trust Co. | M&T Bank | investor protection violation | 2005 | DE-SEC | $50,000 |
Ameritrade, Inc. | Charles Schwab Corp. | investor protection violation | 2009 | DE-SEC | $40,000 |
PNC Investments LLC | PNC Financial Services | investor protection violation | 2010 | DE-SEC | $250,000 |
AllianceBernstein L.P. | Equitable Holdings | investor protection violation | 2012 | DE-SEC | $20,000 |
Oppenheimer & Co., Inc. | Oppenheimer Holdings | investor protection violation | 2015 | DE-SEC | $685,000 |
Janney Montgomery Scott LLC | Penn Mutual | investor protection violation | 2015 | DE-SEC | $105,000 |
LPL Financial LLC | LPL Financial | investor protection violation | 2015 | DE-SEC | $200,000 |