American Bankers Life Assurance Company of Florida | Assurant | insurance violation | 2011 | IL-INS | $15,000 |
Sentinel Insurance Company Ltd. | Hartford Financial Services | insurance violation | 2011 | IL-INS | $9,000 |
Janney Montgomery Scott LLC | Penn Mutual | investor protection violation | 2004 | IL-SEC | $5,000 |
Janney Montgomery Scott LLC | Penn Mutual | investor protection violation | 2005 | IL-SEC | $7,500 |
Bear, Stearns & Co., Inc. | JPMorgan Chase | investor protection violation | 2005 | IL-SEC | $10,000 |
Banc of America Investment Services, Inc. | Bank of America | investor protection violation | 2006 | IL-SEC | $250,000 |
Merrill Lynch, Pierce, Fenner & Smith Inc. | Bank of America | investor protection violation | 2007 | IL-SEC | $40,000 |
Ameriprise Financial Services, Inc. | Ameriprise Financial | investor protection violation | 2008 | IL-SEC | $1,449,384 |
ING Financial Partners, Inc. | Voya Financial | investor protection violation | 2008 | IL-SEC | $4,677,326 |
LPL Financial Corp. | LPL Financial | investor protection violation | 2010 | IL-SEC | $300,000 |
MetLife Securities, Inc. | MetLife | investor protection violation | 2010 | IL-SEC | $135,000 |
Charles Schwab & Co., Inc. et al. | Charles Schwab Corp. | investor protection violation | 2011 | IL-SEC | $8,567,364 |
Stifel, Nicolaus & Company, Inc. | Stifel Financial | investor protection violation | 2011 | IL-SEC | $80,224 |
LPL Financial, LLC | LPL Financial | investor protection violation | 2011 | IL-SEC | $250,000 |
Merrill Lynch Pierce Fenner & Smith Inc. | Bank of America | investor protection violation | 2012 | IL-SEC | $25,930,000 |
Southwest Securities, Inc. | Hilltop Holdings | investor protection violation | 2012 | IL-SEC | $7,500 |
LPL Financial, LLC | LPL Financial | investor protection violation | 2014 | IL-SEC | $2,000,000 |
LPL Financial, LLC | LPL Financial | investor protection violation | 2014 | IL-SEC | $815,218 |
Pruco Securities, LLC | Prudential Financial | investor protection violation | 2017 | IL-SEC | $900,000 |
Wells Fargo Advisors, LLC | Wells Fargo | investor protection violation | 2017 | IL-SEC | $270,000 |
Solium Financial Services LLC | Morgan Stanley | investor protection violation | 2020 | IL-SEC | $11,385 |
Thrivent Investment Management Inc. | Thrivent Financial | investor protection violation | 2020 | IL-SEC | $400,000 |
Countrywide Home Loans | Bank of America | mortgage abuses | 2009 | IN-AG | $2,800,000 |
Western Sky Financial LLC, CashCall, Inc., WS Funding, LLC and Delbert Services Corp. | CashCall Inc. | consumer protection violation | 2016 | IN-AG | $1,000,000 |
BUCKEYE PIPE LINE CO LP | IFM Investors | environmental violation | 2019 | IN-ENV | $22,500 |
LOUIS DREYFUS AGRICULTURAL INDUSTRIES LLC | Louis Dreyfus | environmental violation | 2016 | IN-ENV | $8,750 |
BUCKEYE TERMINALS LLC | IFM Investors | environmental violation | 2016 | IN-ENV | $49,750 |
BUCKEYE TERMINALS LLC - HAMMOND | IFM Investors | environmental violation | 2015 | IN-ENV | $158,000 |
LOUIS DREYFUS AGRICULTURAL INDUSTRIES LLC | Louis Dreyfus | environmental violation | 2013 | IN-ENV | $7,750 |
LOUIS DREYFUS AGRICULTURAL INDUSTRIES LLC | Louis Dreyfus | environmental violation | 2011 | IN-ENV | $103,750 |
GM ACCEPTANCE CORP TRUCK & BUS GRP | Ally Financial | environmental violation | 2006 | IN-ENV | $57,750 |
RR DONNELLEY & SONS CO | Chatham Asset Management | environmental violation | 2006 | IN-ENV | $9,563 |
RR DONNELLEY & SONS CO | Chatham Asset Management | environmental violation | 2001 | IN-ENV | $15,800 |
RR DONNELLEY & SONS CO | Chatham Asset Management | environmental violation | 2001 | IN-ENV | $9,200 |
Louis Dreyfus Company Agricultural Industries LLC | Louis Dreyfus | environmental violation | 2021 | IN-ENV | $17,400 |
IAC Greencastle, LLC | Invesco | environmental violation | 2022 | IN-ENV | $14,000 |
Victoria Fire & Casualty Co. | Nationwide | insurance violation | 2003 | IN-INS | $5,000 |
Workmen's Auto Insurance Company | Mercury General Corporation | insurance violation | 2003 | IN-INS | $8,000 |
Progressive Casualty Insurance Company | Progressive | insurance violation | 2003 | IN-INS | $8,000 |
Allstate Insurance Company | Allstate | insurance violation | 2003 | IN-INS | $12,220 |
Sun LIfe Assurance Company of Canada et al. | Sun Life Financial | insurance violation | 2004 | IN-INS | $125,000 |
Safeco Insurance Co. of America | Liberty Mutual Insurance | insurance violation | 2005 | IN-INS | $5,000 |
Universal Underwriters Insurance Company | Zurich Insurance | insurance violation | 2006 | IN-INS | $948,240 |
American Bankers Insurance Company of Florida | Assurant | insurance violation | 2007 | IN-INS | $87,500 |
United Insurance Co. of America | Kemper | insurance violation | 2007 | IN-INS | $6,500 |
Bankers Life and Casualty Co. | CNO Financial | insurance violation | 2007 | IN-INS | $6,569 |
Lawyers Title Insurance Corp. | Fidelity National Financial | insurance violation | 2007 | IN-INS | $9,000 |
State Farm Mutual Automobile Insurance Co. et al. | State Farm Insurance | insurance violation | 2009 | IN-INS | $275,000 |
Chicago Title Insurance Co. | Fidelity National Financial | insurance violation | 2009 | IN-INS | $24,150 |
Ticor Title Insurance Co. | Fidelity National Financial | insurance violation | 2009 | IN-INS | $10,850 |
Liberty Mutual Insurance Co. | Liberty Mutual Insurance | insurance violation | 2009 | IN-INS | $5,000 |
National Union Fire Insurance Company of Pittsburgh, PA | American International Group | insurance violation | 2010 | IN-INS | $200,000 |
Safeco Insurance Company of America | Liberty Mutual Insurance | insurance violation | 2010 | IN-INS | $5,000 |
North Pointe Insurance Co. | QBE Insurance | insurance violation | 2012 | IN-INS | $75,575 |
Mid-Century Insurance Co. | Zurich Insurance | insurance violation | 2012 | IN-INS | $5,000 |
Time Insurance Co. and John Alden Life Insurance Co. and Union Securitiy Insurance Co. | Haven Holdings | insurance violation | 2012 | IN-INS | $2,950,000 |
Fidelity National Title Company, LLC | Fidelity National Financial | insurance violation | 2014 | IN-INS | $30,000 |
First American Title | First American Financial | insurance violation | 2014 | IN-INS | $12,500 |
Stewart Title Co. | Stewart Information Services | insurance violation | 2015 | IN-INS | $59,400 |
Liberty Mutual Insurance | Liberty Mutual Insurance | insurance violation | 2019 | IN-INS | $5,000 |
ServiceLink LLC | Fidelity National Financial | insurance violation | 2019 | IN-INS | $7,500 |
ServiceLink LLC | Fidelity National Financial | insurance violation | 2022 | IN-INS | $67,175 |
Stewart Title Company | Stewart Information Services | insurance violation | 2023 | IN-INS | $6,570 |
Citigroup Global Markets, Inc. | Citigroup | investor protection violation | 2010 | IN-SEC | $692,000 |
ProEquities, Inc. | Dai-ichi Life | investor protection violation | 2010 | IN-SEC | $9,000 |
Wells Fargo Advisors, LLC | Wells Fargo | investor protection violation | 2010 | IN-SEC | $8,495 |
Edward D. Jones & Co., L.P. | Jones Financial | investor protection violation | 2011 | IN-SEC | $10,000 |
UBS Financial Services | UBS | investor protection violation | 2011 | IN-SEC | $677,000 |
Fidelity Brokerage Services LLC | Fidelity Investments | investor protection violation | 2011 | IN-SEC | $7,500 |
Morgan Stanley & Co. Inc. | Morgan Stanley | investor protection violation | 2012 | IN-SEC | $210,000 |
LPL Financial, LLC | LPL Financial | investor protection violation | 2013 | IN-SEC | $14,000 |
Fifth Third Securities, Inc. | Fifth Third Bancorp | investor protection violation | 2013 | IN-SEC | $8,500 |
Prosper Marketplace | Prosper Marketplace | investor protection violation | 2015 | IN-SEC | $13,957 |
Raymond James & Associates, Inc. | Raymond James Financial | investor protection violation | 2015 | IN-SEC | $475,000 |
JPMorgan Chase & Co. | JPMorgan Chase | investor protection violation | 2016 | IN-SEC | $905,000 |
JPMorgan Chase Bank, N.A. and J.P. Morgan Securities LLC | JPMorgan Chase | investor protection violation | 2016 | IN-SEC | $950,000 |
NYLIFE Securities, LLC | New York Life Insurance | investor protection violation | 2017 | IN-SEC | $275,000 |
LPL Financial, LLC | LPL Financial | investor protection violation | 2018 | IN-SEC | $450,000 |
Solium Financial Services LLC | Morgan Stanley | investor protection violation | 2020 | IN-SEC | $15,575 |
Bankers Life and Casualty Co. | CNO Financial | privacy violation | 2003 | KS-AG | $15,000 |
Conseco Finance Servicing Corp. | CNO Financial | consumer protection violation | 2002 | KS-BKG | $7,275,000 |
American General Life and Accident Insurance Co. | American International Group | insurance violation | 2000 | KS-INS | $23,400 |
New Hampshire Insurance Co. | American International Group | insurance violation | 2000 | KS-INS | $10,375 |
National Union Fire Insurance Company of Pittsburgh, Pennsylvania | American International Group | insurance violation | 2000 | KS-INS | $10,375 |
Sagamore Insurance Co. | Progressive | insurance violation | 2001 | KS-INS | $20,000 |
United Services Automobile Association | USAA | insurance violation | 2001 | KS-INS | $5,000 |
Progressive Casualty Insurance Co. et al. | Progressive | insurance violation | 2004 | KS-INS | $19,800 |
Nationwide Agribusiness Insurance Co. | Nationwide | insurance violation | 2006 | KS-INS | $7,500 |
Metropolitan Property and Casualty Co. | Zurich Insurance | insurance violation | 2006 | KS-INS | $5,000 |
St. Paul Fire & Marine Insurance Co. | Travelers | insurance violation | 2006 | KS-INS | $5,000 |
Wausau Business Insurance Co. | Liberty Mutual Insurance | insurance violation | 2008 | KS-INS | $15,622 |
Continental Western Insurance Co. | W.R. Berkley | insurance violation | 2008 | KS-INS | $10,000 |
Reliance Standard Life Insurance Co. | Tokio Marine | insurance violation | 2009 | KS-INS | $6,300 |
Old Republic Insurance Co. | Old Republic International | insurance violation | 2009 | KS-INS | $5,000 |
Progressive Direct Insurance Co. | Progressive | insurance violation | 2009 | KS-INS | $5,000 |
Bankers Life & Casualty Co. | CNO Financial | insurance violation | 2009 | KS-INS | $8,000 |
Bankers Life & Casualty Co. | CNO Financial | insurance violation | 2010 | KS-INS | $22,000 |
Liberty Mutual Insurance Co. | Liberty Mutual Insurance | insurance violation | 2010 | KS-INS | $13,000 |
The Travelers Indemnity Co. et al. | Travelers | insurance violation | 2010 | KS-INS | $10,000 |
Globe Life & Accident Insurance Co. | Globe Life Inc. | insurance violation | 2012 | KS-INS | $17,250 |
Continental Western Insurance Co. | W.R. Berkley | insurance violation | 2012 | KS-INS | $6,000 |