Scotia Capital (USA) Inc. | Scotiabank | investor protection violation | 2023 | SEC | $7,500,000 |
Merrill Lynch, Pierce, Fenner & Smith Incorporated | Bank of America | anti-money-laundering deficiencies | 2023 | SEC | $6,000,000 |
Fifth Third Securities, Inc. | Fifth Third Bancorp | investor protection violation | 2023 | SEC | $709,971 |
Cantor Fitzgerald & Co. | Cantor Fitzgerald | investor protection violation | 2023 | SEC | $1,400,000 |
J.P. Morgan Securities LLC | JPMorgan Chase | investor protection violation | 2023 | SEC | $4,000,000 |
Wells Fargo Securities, LLC et al. | Wells Fargo | investor protection violation | 2023 | SEC | $125,000,000 |
BNP Paribas Securities Corp. | BNP Paribas | investor protection violation | 2023 | SEC | $35,000,000 |
SG Americas Securities, LLC | Societe Generale | investor protection violation | 2023 | SEC | $35,000,000 |
BMO Capital Markets Corp | Bank of Montreal | investor protection violation | 2023 | SEC | $25,000,000 |
Mizuho Securities USA LLC | Mizuho Financial | investor protection violation | 2023 | SEC | $25,000,000 |
Wedbush Securities Inc. | Wedbush Securities | investor protection violation | 2023 | SEC | $10,000,000 |
Citigroup Global Markets Inc. | Citigroup | investor protection violation | 2023 | SEC | $2,900,000 |
Wells Fargo Clearing Services LLC | Wells Fargo | investor protection violation | 2023 | SEC | $35,000,000 |
Wilmington Trust Investment Management, LLC | M&T Bank | investor protection violation | 2023 | SEC | $1,327,147 |
Interactive Brokers Corp. | Interactive Brokers Group | investor protection violation | 2023 | SEC | $35,000,000 |
Nuveen Securities LLC | TIAA | investor protection violation | 2023 | SEC | $8,500,000 |
Fifth Third Securities Inc. | Fifth Third Bancorp | investor protection violation | 2023 | SEC | $8,000,000 |
Citigroup Global Markets, Inc. | Citigroup | investor protection violation | 2023 | SEC | $1,975,000 |
DWS Investment Management Americas Inc. | Deutsche Bank | investor protection violation | 2023 | SEC | $25,000,000 |
Goldman Sachs & Co. LLC | Goldman Sachs | investor protection violation | 2023 | SEC | $6,000,000 |
Royal Bank of Canada | Royal Bank of Canada | accounting fraud or deficiencies | 2023 | SEC | $6,000,000 |
BlackRock Advisors, LLC | BlackRock | investor protection violation | 2023 | SEC | $2,500,000 |
J.P. Morgan Securities LLC | JPMorgan Chase | investor protection violation | 2024 | SEC | $18,000,000 |
Morgan Stanley & Co. LLC | Morgan Stanley | investor protection violation | 2024 | SEC | $83,000,000 |
Credit Suisse Securities (USA) LLC | UBS | investor protection violation | 2023 | SEC | $10,000,000 |
TIAA-CREF Individual & Institutional Services LLC | TIAA | investor protection violation | 2024 | SEC | $2,200,000 |
Northwestern Mutual Investment Services LLC | Northwestern Mutual | investor protection violation | 2024 | SEC | $16,500,000 |
Oppenheimer & Co. Inc. | Oppenheimer Holdings | investor protection violation | 2024 | SEC | $12,000,000 |
Lincoln Financial Advisors Corporation | Lincoln National | investor protection violation | 2024 | SEC | $8,500,000 |
U.S. Bancorp Investments Inc. | U.S. Bancorp | investor protection violation | 2024 | SEC | $8,000,000 |
Aon Investments USA Inc. | Aon | investor protection violation | 2024 | SEC | $1,542,187 |
Nyrstar Clarksville | Trafigura | environmental violation | 2019 | TN-ENV | $181,482 |
Nyrstar Clarksville | Trafigura | environmental violation | 2019 | TN-ENV | $622,389 |
Regions Bank | Regions Financial | environmental violation | 2017 | TN-ENV | $20,750 |
Nyrstar Tennessee Mines - Gordonsville, LLC | Trafigura | environmental violation | 2017 | TN-ENV | $41,760 |
Courier Printing Company | Chatham Asset Management | environmental violation | 2016 | TN-ENV | $8,555 |
Nyrstar Gordonsville LLC | Trafigura | environmental violation | 2013 | TN-ENV | $5,000 |
Nyrstar Clarksville Inc. | Trafigura | environmental violation | 2023 | TN-ENV | $17,500 |
Selective Insurance Company of South Carolina | Selective Insurance Group | insurance violation | 2014 | TN-INS | $10,000 |
Broadspire Services Inc. | Crawford & Co. | insurance violation | 2016 | TN-INS | $10,000 |
Ameritas Life Insurance Corp. | Ameritas Mutual Holding Company | insurance violation | 2020 | TN-INS | $30,000 |
Wedbush Securities Inc. | Wedbush Securities | investor protection violation | 2016 | TN-SEC | $30,000 |
Solium Financial Services LLC | Morgan Stanley | investor protection violation | 2020 | TN-SEC | $12,994 |
Allstate | Allstate | consumer protection violation | 2003 | TX-AG | $3,440,000 |
American Heritage Life Insurance Co. | Allstate | consumer protection violation | 2007 | TX-AG | $1,700,000 |
EZCORP, Inc. | EZCORP Inc. | privacy violation | 2008 | TX-AG | $600,000 |
Farmers Insurance Group | Zurich Insurance | consumer protection violation | 2003 | TX-AG | $2,400,000 |
PayPal Inc. | PayPal Holdings | privacy violation | 2016 | TX-AG | $175,000 |
Protective Life Insurance Co. | Dai-ichi Life | consumer protection violation | 2007 | TX-AG | $1,570,000 |
Resource Life Insurance Co. | Assurant | consumer protection violation | 2010 | TX-AG | $2,600,000 |
State Farm | State Farm Insurance | consumer protection violation | 2000 | TX-AG | $3,100,000 |
State Farm Mutual Automobile Insurance Co. | State Farm Insurance | consumer protection violation | 2005 | TX-AG | $10,000,000 |
Universal Underwriters Life Insurance Co. | Zurich Insurance | consumer protection violation | 2008 | TX-AG | $2,400,000 |
UBS | UBS | banking violation | 2023 | TX-AG | $850,000 |
Buckeye Texas Processing LLC | IFM Investors | environmental violation | 2020 | TX-ENV | $607,617 |
R. R. Donnelley & Sons Company | Chatham Asset Management | environmental violation | 2016 | TX-ENV | $10,051 |
Synagro of Texas-CDR, Inc. | Goldman Sachs | environmental violation | 2015 | TX-ENV | $7,927 |
JP Morgan Chase | JPMorgan Chase | environmental violation | 2011 | TX-ENV | $6,555 |
CAPITAL ONE NATIONAL ASSOCIATION | Capital One Financial | environmental violation | 2010 | TX-ENV | $8,400 |
Bank Of America NA | Bank of America | environmental violation | 2005 | TX-ENV | $12,480 |
Imperial Sugar Company | Louis Dreyfus | environmental violation | 2003 | TX-ENV | $6,800 |
Corpus Christi Alumina LLC | Glencore | environmental violation | 2021 | TX-ENV | $32,400 |
Bannockburn Global Forex, LLC | First Financial Bancorp. | consumer protection violation | 2016 | TX-FIN | $23,608 |
TD Ameritrade, Inc. | Charles Schwab Corp. | consumer protection violation | 2022 | TX-FIN | $81,750 |
Mid-Century Insurance Co. of Texas | Zurich Insurance | insurance violation | 2000 | TX-INS | $11,000,000 |
Farmers Insurance Group | Zurich Insurance | insurance violation | 2002 | TX-INS | $15,000,000 |
Allstate Texas Lloyd's | Allstate | insurance violation | 2008 | TX-INS | $71,300,000 |
Hartford Casualty Insurance Company et al. | Hartford Financial Services | insurance violation | 2008 | TX-INS | $21,000 |
Sentry Insurance | Sentry Insurance | insurance violation | 2008 | TX-INS | $5,000 |
Hartford Fire Insurance Company | Hartford Financial Services | insurance violation | 2008 | TX-INS | $6,000 |
Ace American Insurance Company | Chubb Limited | insurance violation | 2008 | TX-INS | $17,500 |
Ace American Insurance Company | Chubb Limited | insurance violation | 2008 | TX-INS | $14,875 |
Indemnity Insurance Company of North America | Chubb Limited | insurance violation | 2008 | TX-INS | $18,000 |
Old Republic Insurance Company | Old Republic International | insurance violation | 2008 | TX-INS | $18,000 |
Virginia Surety Company, Inc. | Assurant | insurance violation | 2008 | TX-INS | $7,000 |
Ace American Insurance Company et al. | Chubb Limited | insurance violation | 2008 | TX-INS | $50,000 |
Ace American Insurance Company | Chubb Limited | insurance violation | 2008 | TX-INS | $37,500 |
Indemnity Insurance Company of North America | Chubb Limited | insurance violation | 2008 | TX-INS | $7,500 |
Zurich American Insurance Company | Zurich Insurance | insurance violation | 2009 | TX-INS | $15,000 |
American Home Assurance Company | American International Group | insurance violation | 2009 | TX-INS | $22,500 |
Fidelity and Guaranty Insurance Company | Fidelity National Financial | insurance violation | 2009 | TX-INS | $9,000 |
The Insurance Company of the State of Pennsylvania | American International Group | insurance violation | 2009 | TX-INS | $7,500 |
New Hampshire Insurance Company | American International Group | insurance violation | 2009 | TX-INS | $7,500 |
Stewart Title Guaranty Company | Stewart Information Services | insurance violation | 2009 | TX-INS | $55,000 |
Old Republic Insurance Company | Old Republic International | insurance violation | 2009 | TX-INS | $7,500 |
United States Fire Insurance Company of Plano | Fairfax Financial Holdings | insurance violation | 2009 | TX-INS | $10,500 |
American Home Assurance Company et al. | American International Group | insurance violation | 2010 | TX-INS | $650,000 |
Hartford Accident and Indemnity Company | Hartford Financial Services | insurance violation | 2010 | TX-INS | $18,000 |
Hartford Casualty Insurance Company | Hartford Financial Services | insurance violation | 2010 | TX-INS | $18,000 |
Hartford Fire Insurance Company | Hartford Financial Services | insurance violation | 2010 | TX-INS | $18,000 |
Hartford Insurance Company of the Midwest | Hartford Financial Services | insurance violation | 2010 | TX-INS | $18,000 |
Hartford Lloyd's Corporation | Hartford Financial Services | insurance violation | 2010 | TX-INS | $18,000 |
Hartford Underwriters Insurance Company | Hartford Financial Services | insurance violation | 2010 | TX-INS | $18,000 |
Property and Casualty Insurance Company of Hartford | Hartford Financial Services | insurance violation | 2010 | TX-INS | $18,000 |
Sentinel Insurance Company Ltd. | Hartford Financial Services | insurance violation | 2010 | TX-INS | $10,000 |
Trumbull Insurance Company | Hartford Financial Services | insurance violation | 2010 | TX-INS | $10,000 |
Wausau Business Insurance Company | Liberty Mutual Insurance | insurance violation | 2010 | TX-INS | $5,000 |
Safeco Lloyds Insurance Co. | Liberty Mutual Insurance | insurance violation | 2010 | TX-INS | $5,000 |
Insurance Company of the State of Pennsylvania | American International Group | insurance violation | 2010 | TX-INS | $175,000 |
New Hampshire Insurance Company | American International Group | insurance violation | 2010 | TX-INS | $175,000 |
Standard Fire Insurance Company | Travelers | insurance violation | 2010 | TX-INS | $8,000 |