MERCURY CASUALTY COMPANY |
Mercury General Corporation |
insurance violation |
2018 |
VA-INS |
$173,650 |
ACADIA INSURANCE COMPANY ET AL |
W.R. Berkley |
insurance violation |
2018 |
VA-INS |
$91,793 |
THE GENERAL AUTOMOBILE INSURANCE CO. |
American Family Insurance |
insurance violation |
2018 |
VA-INS |
$66,996 |
LIBERTY MUTUAL FIRE INSURANCE |
Liberty Mutual Insurance |
insurance violation |
2018 |
VA-INS |
$108,053 |
PROGRESSIVE NORTHERN INSURANCE CO. |
Progressive |
insurance violation |
2018 |
VA-INS |
$1,818,318 |
USAA CASUALTY INSURANCE CO ET AL. |
USAA |
insurance violation |
2018 |
VA-INS |
$4,396,720 |
ELEPHANT INSURANCE COMPANY |
Admiral Group |
insurance violation |
2018 |
VA-INS |
$79,017 |
Globe Life and Accident Insurance Company |
Globe Life Inc. |
insurance violation |
2019 |
VA-INS |
$15,000 |
Praetorian Insurance Company |
QBE Insurance |
insurance violation |
2019 |
VA-INS |
$183,819 |
Elephant Insurance Company |
Admiral Group |
insurance violation |
2019 |
VA-INS |
$47,619 |
General Automobile Insurance Company, Inc |
American Family Insurance |
insurance violation |
2019 |
VA-INS |
$27,624 |
National Union Fire Insurance Company of Pittsburgh, Pennsylvania |
American International Group |
insurance violation |
2019 |
VA-INS |
$28,806 |
Liberty Mutual Fire Insurance Company |
Liberty Mutual Insurance |
insurance violation |
2019 |
VA-INS |
$27,828 |
Erie Insurance Exchange |
Erie Indemnity |
insurance violation |
2019 |
VA-INS |
$1,921,784 |
Selective Insurance Company of America |
Selective Insurance Group |
insurance violation |
2019 |
VA-INS |
$10,137 |
United States Fire Insurance Company |
Fairfax Financial Holdings |
insurance violation |
2019 |
VA-INS |
$5,000 |
Acadia Insurance Company et al. |
W.R. Berkley |
insurance violation |
2019 |
VA-INS |
$9,341 |
Nationwide Mutual Fire Insurance Company |
Nationwide |
insurance violation |
2019 |
VA-INS |
$397,667 |
Progressive Advanced Insurance Company et al. |
Progressive |
insurance violation |
2019 |
VA-INS |
$4,876,344 |
American Fire and Casualty Company and Ohio Security Insurance Company |
Liberty Mutual Insurance |
insurance violation |
2019 |
VA-INS |
$148,910 |
Arch Insurance Company |
Arch Capital |
insurance violation |
2019 |
VA-INS |
$26,447 |
Erie Insurance Company and Erie Insurance Exchange |
Erie Indemnity |
insurance violation |
2019 |
VA-INS |
$90,219 |
Bristol West Casualty Insurance Company and Bristol West Insurance Company |
Zurich Insurance |
insurance violation |
2020 |
VA-INS |
$27,560 |
Bristol West Casualty Insurance Company and Bristol West Insurance Company |
Zurich Insurance |
insurance violation |
2020 |
VA-INS |
$91,872 |
John Hancock Life Insurance Company |
Manulife Financial |
insurance violation |
2020 |
VA-INS |
$60,600 |
Jefferson National Life Insurance Company |
Nationwide |
insurance violation |
2020 |
VA-INS |
$27,600 |
The Travelers Indemnity Company ofAmerica |
Travelers |
insurance violation |
2020 |
VA-INS |
$49,500 |
Dairyland Insurance Co. and Peak Property and Casualty Insurance Corp. |
Sentry Insurance |
insurance violation |
2020 |
VA-INS |
$140,492 |
Carefirst Bluechoice, Inc. |
CareFirst of Maryland |
insurance violation |
2020 |
VA-INS |
$90,600 |
Group Hospitalization and Medical Services, Inc. |
CareFirst of Maryland |
insurance violation |
2020 |
VA-INS |
$36,250 |
American Income Life Insurance Company |
Globe Life Inc. |
insurance violation |
2020 |
VA-INS |
$18,000 |
Life Insurance Company of the Southwest |
National Life Group |
insurance violation |
2020 |
VA-INS |
$6,600 |
Allied Property & Casualty Insurance Company et al. |
Nationwide |
insurance violation |
2020 |
VA-INS |
$17,500 |
Allied Property & Casualty Insurance Company et al. |
Nationwide |
insurance violation |
2020 |
VA-INS |
$20,000 |
Farmers Insurance Exchange and Truck Insurance Exchange |
Farmers Insurance Exchange |
insurance violation |
2021 |
VA-INS |
$15,950 |
CMFG Life Insurance Company |
CUNA Mutual |
insurance violation |
2021 |
VA-INS |
$7,500 |
Erie Insurance Company and Erie Insurance Exchange |
Erie Indemnity |
insurance violation |
2020 |
VA-INS |
$19,371 |
Lincoln National Life Insurance Company |
Lincoln National |
insurance violation |
2020 |
VA-INS |
$7,800 |
United Services Automobile Association et al. |
USAA |
insurance violation |
2021 |
VA-INS |
$10,000 |
Privilege Underwriters Reciprocal Exchange |
Tokio Marine |
insurance violation |
2021 |
VA-INS |
$19,295 |
JEFFERSON PILOT SECURITIES |
Lincoln National |
investor protection violation |
2003 |
VA-SEC |
$26,500 |
MERRILL LYNCH PIERCE FENNER & |
Bank of America |
investor protection violation |
2004 |
VA-SEC |
$268,723 |
CITIGROUP GLOBAL MARKETS INC |
Citigroup |
investor protection violation |
2004 |
VA-SEC |
$72,486 |
SUNAMERICA SECURITIES, INC. |
American International Group |
investor protection violation |
2006 |
VA-SEC |
$10,000 |
Merrill Lynch, Pierce, Fenner & Smith, Incorporated |
Bank of America |
investor protection violation |
2006 |
VA-SEC |
$75,000 |
Merrill Lynch, Pierce, Fenner & Smith, Incorporated |
Bank of America |
investor protection violation |
2006 |
VA-SEC |
$33,000 |
UBS FINANCIAL SERVICES, INC. |
UBS |
investor protection violation |
2007 |
VA-SEC |
$100,000 |
AMERIPRISE FINANCIAL SERVICES |
Ameriprise Financial |
investor protection violation |
2008 |
VA-SEC |
$780,000 |
CITIGROUP GLOBAL MARKETS |
Citigroup |
investor protection violation |
2008 |
VA-SEC |
$22,000 |
UBS FINANCIAL SERVICES, INC. |
UBS |
investor protection violation |
2010 |
VA-SEC |
$625,000 |
Citigroup Global Markets Inc. |
Citigroup |
investor protection violation |
2014 |
VA-SEC |
$9,500 |
WELLS FARGO ADVISORS |
Wells Fargo |
investor protection violation |
2015 |
VA-SEC |
$205,000 |
NEXT FINANCIAL GROUP, INC. |
Atria Wealth Solutions |
investor protection violation |
2015 |
VA-SEC |
$18,000 |
AMERIPRISE FINANCIAL SERVICES, INC. |
Ameriprise Financial |
investor protection violation |
2016 |
VA-SEC |
$14,000 |
Merrill Lynch, Pierce, Fenner & Smith, Inc. |
Bank of America |
investor protection violation |
2016 |
VA-SEC |
$11,500 |
NEXT FINANCIAL GROUP, INC. |
Atria Wealth Solutions |
investor protection violation |
2017 |
VA-SEC |
$60,000 |
LINCOLN FINANCIAL SECURITIES |
Lincoln National |
investor protection violation |
2018 |
VA-SEC |
$20,000 |
UBS Financial Services Inc. |
UBS |
investor protection violation |
2019 |
VA-SEC |
$288,970 |
Solium Financial Services LLC |
Morgan Stanley |
investor protection violation |
2019 |
VA-SEC |
$10,000 |
Next Financial Group, Inc. |
Atria Wealth Solutions |
investor protection violation |
2020 |
VA-SEC |
$5,000 |
RBC Capital Markets, LLC |
Royal Bank of Canada |
investor protection violation |
2021 |
VA-SEC |
$10,000 |
Santander Consumer USA Inc. |
Banco Santander |
consumer protection violation |
2020 |
VT-AG |
$105,000 |
Lincoln Financial Securities Corporation |
Lincoln National |
investor protection violation |
2010 |
VT-FIN |
$10,000 |
Bankers Life and Casualty Company |
CNO Financial |
insurance violation |
2013 |
VT-FIN |
$600,000 |
Dairyland Insurance Company |
Sentry Insurance |
insurance violation |
2013 |
VT-FIN |
$37,852 |
UBS Financial Services Inc. |
UBS |
investor protection violation |
2014 |
VT-FIN |
$325,000 |
State Farm Fire & Casualty Company and State Farm Mutual Auto Insurance Co. |
State Farm Insurance |
insurance violation |
2015 |
VT-FIN |
$29,750 |
Ocwen Loan Servicing LLC |
Ocwen Financial |
privacy violation |
2015 |
VT-FIN |
$155,000 |
Liberty Insurance Corp. |
Liberty Mutual Insurance |
insurance violation |
2016 |
VT-FIN |
$28,000 |
Travelers Indemnity Co. et al. |
Travelers |
insurance violation |
2016 |
VT-FIN |
$96,000 |
Prosper Marketplace Inc. |
Prosper Marketplace |
consumer protection violation |
2016 |
VT-FIN |
$60,000 |
Raymond James and Associates Inc. |
Raymond James Financial |
investor protection violation |
2016 |
VT-FIN |
$4,200,000 |
Wells Fargo Advisors LLC |
Wells Fargo |
investor protection violation |
2016 |
VT-FIN |
$300,000 |
United Services Automobile Association (USAA) |
USAA |
insurance violation |
2017 |
VT-FIN |
$85,000 |
Liberty Mutual Insurance |
Liberty Mutual Insurance |
insurance violation |
2017 |
VT-FIN |
$20,000 |
Merrill Lynch, Pierce, Fenner & Smith Incorporated |
Bank of America |
investor protection violation |
2018 |
VT-FIN |
$120,000 |
State Farm Fire & Casualty Company and State Farm Mutual Auto Insurance Co. |
State Farm Insurance |
insurance violation |
2019 |
VT-FIN |
$265,000 |
CMFG Life Insurance Company |
CUNA Mutual |
insurance violation |
2019 |
VT-FIN |
$231,000 |
Permanent General Assurance Corporation |
American Family Insurance |
insurance violation |
2019 |
VT-FIN |
$11,000 |
Companion Life Insurance Company |
BlueCross BlueShield of South Carolina |
insurance violation |
2019 |
VT-FIN |
$1,656,000 |
John Hancock Life Insurance Company (U.S.A.) |
Manulife Financial |
insurance violation |
2019 |
VT-FIN |
$800,000 |
Solium Financial Services LLC |
Morgan Stanley |
investor protection violation |
2020 |
VT-FIN |
$6,900 |
Merrill Lynch |
Bank of America |
investor protection violation |
2020 |
VT-FIN |
$125,000 |
Homesite Insurance Company |
American Family Insurance |
insurance violation |
2020 |
VT-FIN |
$31,000 |
State Farm Life Insurance Co. |
State Farm Insurance |
insurance violation |
2020 |
VT-FIN |
$204,000 |
Northwestern Mutual Life Insurance Co. |
Northwestern Mutual |
insurance violation |
2021 |
VT-FIN |
$287,000 |
Transamerica Premier Life Insurance Company |
Aegon |
insurance violation |
2021 |
VT-FIN |
$84,000 |
Metropolitan Property and Casualty Insurance Company |
Zurich Insurance |
insurance violation |
2021 |
VT-FIN |
$13,000 |
Allstate Fire & Casualty Insurance Company et al. |
Allstate |
insurance violation |
2021 |
VT-FIN |
$225,000 |
Lehman Brothers, Inc. |
Lehman Brothers |
investor protection violation |
2014 |
WA-AG |
$31,300,000 |
State Street Bank |
State Street Corp. |
investor protection violation |
2010 |
WA-AG |
$11,700,000 |
Umpqua Bank |
Umpqua Holdings |
wage and hour violation |
2015 |
WA-DLI |
$15,350 |
UNUM |
Unum |
wage and hour violation |
2011 |
WA-DLI |
$15,070 |
Taylor, Bean & Whitaker Corp. |
Taylor, Bean & Whitaker |
wage and hour violation |
2009 |
WA-DLI |
$11,268 |
GOODRICH AVIATION TECH SRV INC |
Macquarie |
environmental violation |
2004 |
WA-ENV |
$9,000 |
Nationstar Mortgage LLC |
Mr. Cooper Group |
consumer protection violation |
2016 |
WA-FIN |
$59,678 |
Ocwen Loan Servicing, LLC |
Ocwen Financial |
consumer protection violation |
2016 |
WA-FIN |
$900,000 |
ACE Cash Express, Inc. |
ACE Cash Express |
consumer protection violation |
2016 |
WA-FIN |
$76,421 |
Quicken Loans Inc. |
Rocket Mortgage LLC |
consumer protection violation |
2016 |
WA-FIN |
$250,000 |
MLD Mortgage, Inc. d/b/a The Money Store and Mortgage Loan Direct |
MLD Mortgage Inc. dba The Money Store |
consumer protection violation |
2016 |
WA-FIN |
$407,103 |
Cash Call Inc. and Western Sky Financial LLC |
CashCall Inc. |
consumer protection violation |
2015 |
WA-FIN |
$2,000,000 |