Allstate Financial Services, Inc. |
Allstate |
consumer protection violation |
2003 |
WA-FIN |
$58,988 |
Solium Financial Services LLC |
Morgan Stanley |
investor protection violation |
2020 |
WA-FIN |
$33,753 |
Ameriprise Financial Services, Inc. |
Ameriprise Financial |
investor protection violation |
2016 |
WA-FIN |
$55,000 |
OppenheimerFunds Distributor, Inc. |
Invesco |
investor protection violation |
2007 |
WA-FIN |
$669,500 |
Morgan Stanley DW Inc. |
Morgan Stanley |
investor protection violation |
2004 |
WA-FIN |
$325,000 |
Umpqua Bank |
Umpqua Holdings |
wage and hour violation |
2015 |
WA-DLI |
$15,350 |
Vantiv LLC |
Worldpay |
wage and hour violation |
2014 |
WA-DLI |
$34,780 |
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 |
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 |
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 |
Santander Consumer USA Inc. |
Banco Santander |
consumer protection violation |
2020 |
VT-AG |
$105,000 |
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 |
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 |
DAIRYLAND INSURANCE CO |
Sentry Insurance |
insurance violation |
2001 |
VA-INS |
$8,500 |
AMERICAN GENERAL LIFE |
American International Group |
insurance violation |
2001 |
VA-INS |
$14,000 |
CONSECO HEALTH INSURANCE COMPANY |
CNO Financial |
insurance violation |
2001 |
VA-INS |
$19,000 |
HARTFORD FIRE INSURANCE CO. ET AL |
Hartford Financial Services |
insurance violation |
2001 |
VA-INS |
$30,000 |
PROGRESSIVE AMERICAN INSURANCE CO. |
Progressive |
insurance violation |
2001 |
VA-INS |
$23,000 |
Group Hospitalization and Medical Services, Inc. |
CareFirst of Maryland |
insurance violation |
2001 |
VA-INS |
$12,000 |
CAREFIRST BLUE CHOICE INC |
CareFirst of Maryland |
insurance violation |
2001 |
VA-INS |
$12,000 |
MONUMENTAL LIFE INSURANCE CO |
Aegon |
insurance violation |
2001 |
VA-INS |
$5,000 |
HARLEYSVILLE MUTUAL INSURANCE CO |
Nationwide |
insurance violation |
2001 |
VA-INS |
$21,000 |
AMERITAS LIFE INSURANCE CORP |
Ameritas Mutual Holding Company |
insurance violation |
2001 |
VA-INS |
$9,000 |
AMERICAN BANKERS LIFE ASSURANCE OF FLORIDA |
Assurant |
insurance violation |
2001 |
VA-INS |
$15,000 |
PACIFIC LIFE & ANNUITY COMPANY |
Pacific Life |
insurance violation |
2001 |
VA-INS |
$9,000 |
RELIASTAR LIFE INSURANCE CO |
Voya Financial |
insurance violation |
2001 |
VA-INS |
$9,000 |
FORTIS INSURANCE COMPANY |
Assurant |
insurance violation |
2001 |
VA-INS |
$57,000 |
NEW YORK LIFE INSURANCE CO |
New York Life Insurance |
insurance violation |
2002 |
VA-INS |
$13,500 |
UNITED AMERICAN INSURANCE CO. |
Globe Life Inc. |
insurance violation |
2002 |
VA-INS |
$10,000 |
FIDELITY & GUARANTY LIFE INSURANCE |
Fidelity National Financial |
insurance violation |
2002 |
VA-INS |
$15,000 |
AMERICAN NATIONAL INSURANCE CO. et al. |
American National Insurance |
insurance violation |
2002 |
VA-INS |
$103,200 |
AVEMCO INSURANCE COMPANY |
Tokio Marine |
insurance violation |
2002 |
VA-INS |
$12,000 |
FORTIS INSURANCE CO., ET AL. |
Assurant |
insurance violation |
2002 |
VA-INS |
$27,000 |
NEW ENGLAND LIFE INSURANCE CO. |
Brighthouse Financial |
insurance violation |
2002 |
VA-INS |
$9,000 |
Combined Insurance Company of America |
Chubb Limited |
insurance violation |
2002 |
VA-INS |
$27,000 |
PRINCIPAL LIFE INSURANCE CO. |
Principal Financial |
insurance violation |
2002 |
VA-INS |
$12,000 |
SAFECO INSURANCE CO. ET AL. |
Liberty Mutual Insurance |
insurance violation |
2002 |
VA-INS |
$28,200 |
ALLSTATE INSURANCE COMPANY |
Allstate |
insurance violation |
2002 |
VA-INS |
$10,000 |
MUTUAL OF OMAHA INSURANCE CO. |
Mutual of Omaha |
insurance violation |
2002 |
VA-INS |
$25,800 |
AMERICAN HERITAGE LIFE INSURANCE CO |
Allstate |
insurance violation |
2002 |
VA-INS |
$15,000 |
AMICA MUTUAL INSURANCE COMPANY |
Amica Mutual Insurance |
insurance violation |
2002 |
VA-INS |
$14,000 |
PRUDENTIAL INSURANCE COMPANY |
Prudential Financial |
insurance violation |
2002 |
VA-INS |
$15,000 |
AMERICAN FAMILY LIFE ASSURANCE |
Aflac |
insurance violation |
2003 |
VA-INS |
$7,500 |
UNUM LIFE INSURANCE COMPANY |
Unum |
insurance violation |
2003 |
VA-INS |
$14,000 |
NATIONWIDE MUTUAL INSURANCE CO ET AL |
Nationwide |
insurance violation |
2003 |
VA-INS |
$64,080 |
PEERLESS INSURANCE COMPANY |
Liberty Mutual Insurance |
insurance violation |
2003 |
VA-INS |
$28,100 |
ERIE INSURANCE EXCHANGE |
Erie Indemnity |
insurance violation |
2003 |
VA-INS |
$6,200 |
FIDELITY & GUARANTY LIFE INSURANCE |
Fidelity National Financial |
insurance violation |
2003 |
VA-INS |
$20,000 |
VICTORIA FIRE & CASUALTY ET AL |
Nationwide |
insurance violation |
2003 |
VA-INS |
$29,000 |
PRINCIPAL LIFE INSURANCE CO |
Principal Financial |
insurance violation |
2003 |
VA-INS |
$10,000 |
ALLSTATE INSURANCE & ALLSTATE INDEMNITY CO |
Allstate |
insurance violation |
2003 |
VA-INS |
$31,300 |
FARMERS INSURANCE EXCHANGE |
Farmers Insurance Exchange |
insurance violation |
2003 |
VA-INS |
$42,000 |
ALLSTATE INSURANCE CO., ET AL. |
Allstate |
insurance violation |
2003 |
VA-INS |
$50,000 |
Group Hospitalization and Medical Services, Inc. |
CareFirst of Maryland |
insurance violation |
2003 |
VA-INS |
$15,000 |
MASSACHUSETTS MUTUAL LIFE INSURANCE |
Massachusetts Mutual Life Insurance |
insurance violation |
2003 |
VA-INS |
$15,000 |
UNITED AMERICAN INSURANCE CO. |
Globe Life Inc. |
insurance violation |
2003 |
VA-INS |
$15,000 |
PRUDENTIAL INSURANCE COMPANY |
Prudential Financial |
insurance violation |
2004 |
VA-INS |
$7,500 |
PRUCO LIFE INSURANCE CO |
Prudential Financial |
insurance violation |
2004 |
VA-INS |
$7,500 |
AMERICAN ZURICH INSURANCE CO |
Zurich Insurance |
insurance violation |
2004 |
VA-INS |
$5,000 |
CAREFIRST BLUECHOICE, INC. |
CareFirst of Maryland |
insurance violation |
2004 |
VA-INS |
$118,000 |