Mercury Casualty Co. |
Mercury General Corporation |
insurance violation |
2013 |
AZ-INS |
$19,000 |
United Insurance Co. |
Kemper |
insurance violation |
2013 |
AZ-INS |
$23,000 |
Foremost Insurance Company Grand Rapids, Michigan |
Zurich Insurance |
insurance violation |
2015 |
AZ-INS |
$58,000 |
Foremost Property & Casualty Insurance Co. |
Zurich Insurance |
insurance violation |
2015 |
AZ-INS |
$21,000 |
Monumental Life Insurance Co. |
Aegon |
insurance violation |
2015 |
AZ-INS |
$57,000 |
Sentry Insurance A Mutual Co. |
Sentry Insurance |
insurance violation |
2015 |
AZ-INS |
$20,000 |
Accordia Life and Annuity Co. |
Global Atlantic Financial Group |
insurance violation |
2019 |
AZ-INS |
$50,000 |
American Family Connect Property and Casualty Insurance Company |
American Family Insurance |
insurance violation |
2020 |
AZ-INS |
$50,000 |
Moneygram Payment Systems, Inc. |
MoneyGram International |
consumer protection violation |
2007 |
AZ-DFS |
$125,000 |
Nationstar Mortgage LLC |
Mr. Cooper Group |
consumer protection violation |
2008 |
AZ-DFS |
$12,500 |
Western Union Financial Services, Inc. |
Western Union |
consumer protection violation |
2008 |
AZ-DFS |
$2,000,000 |
GMAC Mortgage, LLC dba Ditech |
Ally Financial |
consumer protection violation |
2011 |
AZ-DFS |
$7,500 |
GMAC Mortgage, LLC |
Ally Financial |
consumer protection violation |
2011 |
AZ-DFS |
$7,500 |
Midland Credit Management, Inc. |
Encore Capital Group |
consumer protection violation |
2012 |
AZ-DFS |
$750,000 |
MoneyGram Payment Systems, Inc. |
MoneyGram International |
consumer protection violation |
2014 |
AZ-DFS |
$10,000 |
CashCall, Inc. |
CashCall Inc. |
payday lending violation |
2017 |
AZ-DFS |
$250,000 |
Home Loan Center, Inc. |
LendingTree |
consumer protection violation |
2010 |
AZ-AG |
$1,150,000 |
Louis Dreyfus Commodities Grand Junction LLC |
Louis Dreyfus |
tax violations |
2017 |
ATTTB |
$14,000 |
Allied Home Mortgage Capital Corp. |
Americus Mortgage |
investor protection violation |
2009 |
AR-SEC |
$10,000 |
Merrill Lynch & Pierce, Fenner & Smith Inc. |
Bank of America |
investor protection violation |
2010 |
AR-SEC |
$15,000 |
American Express Prepaid Card Management Corp. |
American Express |
consumer protection violation |
2010 |
AR-SEC |
$20,000 |
Prospect Mortgage, LLC |
Homebridge Financial Services |
consumer protection violation |
2011 |
AR-SEC |
$5,000 |
Morgan Keegan & Co. |
Raymond James Financial |
investor protection violation |
2012 |
AR-SEC |
$59,659 |
Interactive Brokers, LLC |
Interactive Brokers Group |
investor protection violation |
2013 |
AR-SEC |
$6,000 |
CitiMortgage, Inc. |
Citigroup |
consumer protection violation |
2014 |
AR-SEC |
$20,000 |
SunTrust Mortgage, Inc. |
Truist Financial |
consumer protection violation |
2017 |
AR-SEC |
$13,000 |
Edward D. Jones & Co., L.P. |
Jones Financial |
investor protection violation |
2018 |
AR-SEC |
$50,000 |
LPL Financial LLC |
LPL Financial |
investor protection violation |
2019 |
AR-SEC |
$40,000 |
Solium Financial Services LLC |
Morgan Stanley |
investor protection violation |
2019 |
AR-SEC |
$5,000 |
Encompass Indemnity Co. and Encompass Insurance Company of America |
Allstate |
insurance violation |
2019 |
AR-INS |
$40,000 |
Chicago Title Insurance Co. |
Fidelity National Financial |
insurance violation |
2017 |
AR-INS |
$50,000 |
Stewart Title Guaranty Co. |
Stewart Information Services |
insurance violation |
2013 |
AR-INS |
$10,000 |
Farmers Insurance Exchange et al. |
Farmers Insurance Exchange |
insurance violation |
2013 |
AR-INS |
$5,000 |
Western Sky Financial, CashCall Inc. and WS Funding |
CashCall Inc. |
consumer protection violation |
2016 |
AR-AG |
$750,000 |
Prudential Equity Group, Inc. |
Prudential Financial |
investor protection violation |
2005 |
AL-SEC |
$45,000 |
Morgan Keegan & Co. |
Raymond James Financial |
investor protection violation |
2005 |
AL-SEC |
$100,000 |
Morgan Keegan & Co. |
Raymond James Financial |
investor protection violation |
2010 |
AL-SEC |
$15,000 |
Next Financial Group, Inc. |
Atria Wealth Solutions |
investor protection violation |
2012 |
AL-SEC |
$60,000 |
Morgan Keegan & Co. |
Raymond James Financial |
investor protection violation |
2017 |
AL-SEC |
$20,000 |
LPL Financial LLC |
LPL Financial |
investor protection violation |
2018 |
AL-SEC |
$80,000 |
Solium Financial Services LLC |
Morgan Stanley |
investor protection violation |
2020 |
AL-SEC |
$18,874 |
Regions Bank |
Regions Financial |
banking violation |
2014 |
AL-SBD |
$5,000,000 |
Principal Life Insurance Co. |
Principal Financial |
insurance violation |
2002 |
AK-INS |
$16,095 |
Aon Risk Services Inc. of Washington |
Aon |
insurance violation |
2002 |
AK-INS |
$5,000 |
Seabury & Smith, Inc. |
Marsh & McLennan |
insurance violation |
2006 |
AK-INS |
$6,530 |
Liberty Mutual Group |
Liberty Mutual Insurance |
insurance violation |
2007 |
AK-INS |
$32,500 |
Principal Life Insurance Co. |
Principal Financial |
insurance violation |
2008 |
AK-INS |
$25,000 |
Seabury & Smith, Inc. |
Marsh & McLennan |
insurance violation |
2009 |
AK-INS |
$39,378 |
Brown & Brown of Washington, Inc. |
Brown & Brown |
insurance violation |
2012 |
AK-INS |
$30,000 |
Marsh USA Inc. |
Marsh & McLennan |
insurance violation |
2015 |
AK-INS |
$25,000 |
Marsh & McLennan Agency LLC |
Marsh & McLennan |
insurance violation |
2016 |
AK-INS |
$10,000 |
Marsh & McLennan Agency LLC |
Marsh & McLennan |
insurance violation |
2019 |
AK-INS |
$20,000 |
Marsh USA Inc. |
Marsh & McLennan |
insurance violation |
2019 |
AK-INS |
$30,000 |
Edward D. Jones and Co.,LP |
Jones Financial |
investor protection violation |
2003 |
AK-DBS |
$11,000 |
Wachovia Securities, LLC |
Wells Fargo |
investor protection violation |
2010 |
AK-DBS |
$129,131 |
Citigroup Global Markets, Inc. |
Citigroup |
investor protection violation |
2010 |
AK-DBS |
$150,507 |
UBS Securities LLC |
UBS |
investor protection violation |
2010 |
AK-DBS |
$733,465 |
UBS Financial Services, Inc. |
UBS |
investor protection violation |
2013 |
AK-DBS |
$64,661 |
RBC Capital Markets, LLC |
Royal Bank of Canada |
investor protection violation |
2013 |
AK-DBS |
$44,370 |
J.P. Morgan Securities, LLC |
JPMorgan Chase |
investor protection violation |
2014 |
AK-DBS |
$51,120 |
Citigroup Global Markets, Inc. |
Citigroup |
investor protection violation |
2015 |
AK-DBS |
$35,000 |
Quicken Loans Inc. |
Quicken Loans |
consumer protection violation |
2018 |
AK-DBS |
$11,000 |
LPL Financial LLC |
LPL Financial |
investor protection violation |
2019 |
AK-DBS |
$499,000 |
Securian Financial Services, Inc. |
Securian Financial |
investor protection violation |
2020 |
AK-DBS |
$10,000 |
Solium Financial Services LLC |
Morgan Stanley |
investor protection violation |
2020 |
AK-DBS |
$10,527 |
Bank of America |
Bank of America |
False Claims Act and related |
2001 |
AK-AG |
$35,600,000 |
Mercer |
Marsh & McLennan |
accounting fraud or deficiencies |
2010 |
AK-AG |
$500,000,000 |
JPMorgan Chase |
JPMorgan Chase |
wage and hour violation |
2018 |
private lawsuit-federal |
$3,000,000 |
Wells Fargo |
Wells Fargo |
wage and hour violation |
2018 |
private lawsuit-state |
$27,500,000 |
JPMorgan Chase |
JPMorgan Chase |
wage and hour violation |
2018 |
private lawsuit-federal |
$8,333,333 |
BB&T |
Truist Financial |
wage and hour violation |
2018 |
private lawsuit-federal |
$72,336 |
Wells Fargo |
Wells Fargo |
wage and hour violation |
2017 |
private lawsuit-state |
$13,000,000 |
Progressive |
Progressive |
wage and hour violation |
2017 |
private lawsuit-federal |
$46,000 |
Prudential Financial |
Prudential Financial |
wage and hour violation |
2017 |
private lawsuit-federal |
$12,500,000 |
Bank of America |
Bank of America |
wage and hour violation |
2017 |
private lawsuit-federal |
$6,000,000 |
Wells Fargo Advisors |
Wells Fargo |
wage and hour violation |
2017 |
private lawsuit-federal |
$3,500,000 |
U.S. Bancorp |
U.S. Bancorp |
wage and hour violation |
2017 |
private lawsuit-federal |
$7,000,000 |
JPMorgan Chase |
JPMorgan Chase |
wage and hour violation |
2017 |
private lawsuit-federal |
$16,666,667 |
Ditech Financial LLC |
Ditech Holding Corporation |
wage and hour violation |
2017 |
private lawsuit-federal |
$1,383,000 |
Farmers Insurance Exchange |
Farmers Insurance Exchange |
wage and hour violation |
2017 |
private lawsuit-federal |
$775,000 |
Citigroup |
Citigroup |
wage and hour violation |
2017 |
private lawsuit-federal |
$1,080,000 |
Regions Financial |
Regions Financial |
wage and hour violation |
2017 |
private lawsuit-federal |
$620,634 |
Fifth Third Bank |
Fifth Third Bancorp |
wage and hour violation |
2017 |
private lawsuit-federal |
$1,111,388 |
Wells Fargo |
Wells Fargo |
wage and hour violation |
2017 |
private lawsuit-federal |
$685,000 |
PNC Bank |
PNC Financial Services |
wage and hour violation |
2017 |
private lawsuit-federal |
$16,000,000 |
JPMorgan Chase |
JPMorgan Chase |
wage and hour violation |
2017 |
private lawsuit-federal |
$5,707,279 |
U.S. Bancorp |
U.S. Bancorp |
wage and hour violation |
2017 |
private lawsuit-federal |
$1,150,000 |
Allstate Insurance |
Allstate |
wage and hour violation |
2017 |
private lawsuit-state |
$2,000,000 |
Wells Fargo |
Wells Fargo |
wage and hour violation |
2017 |
private lawsuit-federal |
$3,900,000 |
Bank of America |
Bank of America |
wage and hour violation |
2017 |
private lawsuit-federal |
$7,000,000 |
Bank of America |
Bank of America |
wage and hour violation |
2017 |
private lawsuit-federal |
$1,900,000 |
Farmers Insurance Exchange |
Farmers Insurance Exchange |
wage and hour violation |
2017 |
private lawsuit-federal |
$4,900,000 |
Bank of America |
Bank of America |
wage and hour violation |
2017 |
private lawsuit-federal |
$6,600,000 |
Citigroup |
Citigroup |
wage and hour violation |
2017 |
private lawsuit-federal |
$325,000 |
PNC Financial Services |
PNC Financial Services |
wage and hour violation |
2016 |
private lawsuit-federal |
$6,000,000 |
Hartford Fire Insurance |
Hartford Financial Services |
wage and hour violation |
2016 |
private lawsuit-federal |
$2,650,000 |
Merrill Lynch |
Bank of America |
wage and hour violation |
2016 |
private lawsuit-state |
$2,645,000 |
Bank of America |
Bank of America |
wage and hour violation |
2016 |
private lawsuit-state |
$4,000,000 |
HSBC |
HSBC |
wage and hour violation |
2016 |
private lawsuit-federal |
$6,982,000 |
BMO Financial |
Bank of Montreal |
wage and hour violation |
2016 |
private lawsuit-federal |
$700,000 |
Bank of America |
Bank of America |
wage and hour violation |
2016 |
private lawsuit-federal |
$3,250,000 |