Safety First Insurance Co. | Tokio Marine | insurance violation | 2013 | MO-INS | $12,250 |
Safety National Casualty Co. | Tokio Marine | insurance violation | 2013 | MO-INS | $61,250 |
Safety National Casualty Corp. | Tokio Marine | insurance violation | 2017 | MD-INS | $5,000 |
Safety National Casualty Corp. | Tokio Marine | insurance violation | 2004 | MS-INS | $5,000 |
Safety National Casualty Corp. | Tokio Marine | insurance violation | 2008 | MS-INS | $10,000 |
Safety National Casualty Corp. | Tokio Marine | insurance violation | 2021 | TX-INS | $9,500 |
Safety National Casualty Corp. | Tokio Marine | insurance violation | 2021 | TX-INS | $15,500 |
Safety National Casualty Corp. | Tokio Marine | insurance violation | 2021 | TX-INS | $39,000 |
Safety National Casualty Corp. | Tokio Marine | insurance violation | 2023 | TX-INS | $19,000 |
Safety National Casualty Corporation | Tokio Marine | insurance violation | 2014 | TX-INS | $32,109 |
Safety National Casualty Corporation | Tokio Marine | insurance violation | 2015 | TX-INS | $5,000 |
Safety National Casualty Corporation | Tokio Marine | insurance violation | 2018 | TX-INS | $23,500 |
Safety National Casualty Corporation | Tokio Marine | insurance violation | 2019 | TX-INS | $5,000 |
Safety National Casualty Corporation | Tokio Marine | insurance violation | 2022 | TX-INS | $12,500 |
Safety National Casualty Corporation | Tokio Marine | insurance violation | 2022 | TX-INS | $9,000 |
Safety National Casualty Corporation | Tokio Marine | insurance violation | 2022 | TX-INS | $34,500 |
Safety National Casualty Corporation | Tokio Marine | insurance violation | 2022 | TX-INS | $22,000 |
Safety National Casualty Corporation | Tokio Marine | insurance violation | 2023 | TX-INS | $10,000 |
Safety National Casualty Corporation | Tokio Marine | insurance violation | 2023 | TX-INS | $17,000 |
Sagamore Insurance Co. | Progressive | insurance violation | 2001 | KS-INS | $20,000 |
Sagamore Insurance Co. | Progressive | insurance violation | 2021 | TX-INS | $20,000 |
Sallie Mae | SLM Corp. | consumer protection violation | 2007 | NY-AG | $2,000,000 |
Sallie Mae Bank | SLM Corp. | banking violation | 2014 | FDIC | $93,300,000 |
Sallie Mae Inc. | SLM Corp. | consumer protection violation | 2014 | DOJ_RIGHTS | $60,000,000 |
Sallie Mae Inc. | SLM Corp. | consumer protection violation | 2013 | private lawsuit-federal | $76,000,000 |
Salomon Smith Barney | Morgan Stanley | employment discrimination | 2001 | EEOC | $635,000 |
Salomon Smith Barney | Morgan Stanley | investor protection violation | 2002 | FINRA | $5,000,000 |
Salomon Smith Barney Inc. | Morgan Stanley | data submission deficiencies | 2002 | SEC | $1,650,000 |
Salomon Smith Barney Inc. | Morgan Stanley | investor protection violation | 2000 | SEC | $45,000,000 |
Salomon Smith Barney Inc. | Morgan Stanley | investor protection violation | 2002 | MULTI-AG | (*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $400,000,000 |
Salomon Smith Barney Inc. | Morgan Stanley | investor protection violation | 2002 | FINRA | (*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $1,650,000 |
Sanford C. Bernstein & Co. | Equitable Holdings | investor protection violation | 2006 | FINRA | $350,000 |
Santander | Banco Santander | consumer protection violation | 2021 | MS-AG | $3,700,000 |
Santander Bank & Trust (Bahamas) Ltd | Banco Santander | economic sanction violation | 2004 | OFAC | $20,000 |
Santander Bank, N.A. | Banco Santander | consumer protection violation | 2016 | CFPB | $10,000,000 |
Santander Bank, N.A. | Banco Santander | consumer protection violation | 2015 | NY-AG | $500,000 |
Santander Bank, N.A. | Banco Santander | wage and hour violation | 2022 | private lawsuit-federal | $4,250,000 |
Santander Bank, National Association | Banco Santander | banking violation | 2016 | OCC | $3,400,000 |
Santander Bank, National Association | Banco Santander | banking violation | 2015 | OCC | $6,000,000 |
Santander Consumer USA | Banco Santander | consumer protection violation | 2022 | MA-AG | $5,560,000 |
Santander Consumer USA Holdings Inc. | Banco Santander | investor protection violation | 2018 | SEC | $1,500,000 |
Santander Consumer USA Holdings Inc. | Banco Santander | consumer protection violation | 2017 | MA-AG | $22,000,000 |
Santander Consumer USA Holdings, Inc. | Banco Santander | consumer protection violation | 2017 | DE-AG | $3,875,000 |
Santander Consumer USA Inc, dba Chrysler Capital | Banco Santander | consumer protection violation | 2021 | DOJ_RIGHTS | $134,282 |
Santander Consumer USA Inc. | Banco Santander | consumer protection violation | 2015 | DOJ_RIGHTS | $9,350,000 |
Santander Consumer USA Inc. | Banco Santander | consumer protection violation | 2018 | CFPB | $11,790,000 |
Santander Consumer USA Inc. | Banco Santander | consumer protection violation | 2020 | MULTI-AG | $550,000,000 |
Santander Consumer USA Inc. | Banco Santander | consumer protection violation | 2018 | CT-BKG | $100,000 |
Santander Consumer USA Inc. | Banco Santander | consumer protection violation | 2015 | NH-BKG | $75,000 |
Santander Consumer USA Inc. | Banco Santander | consumer protection violation | 2020 | VT-AG | $105,000 |
Santander Consumer USA Inc. | Banco Santander | consumer protection violation | 2020 | CFPB | $4,750,000 |
Santander Consumer USA Inc. | Banco Santander | consumer protection violation | 2015 | private lawsuit-federal | $199,407,884 |
Santander Consumer USA, Inc. | Banco Santander | consumer protection violation | 2018 | CA-DFPI | $300,000 |
Santander Consumer USA, Inc. | Banco Santander | consumer protection violation | 2021 | CO-AG | $3,065,000 |
Santander Mortgage Corporation | Banco Santander | wage and hour violation | 2004 | WHD | $62,895 |
Santander Securities LLC | Banco Santander | investor protection violation | 2019 | SEC | $270,539 |
Santander Securities LLC | Banco Santander | consumer protection violation | 2019 | MA-AG | $100,000 |
Santander Securities LLC | Banco Santander | investor protection violation | 2015 | FINRA | $6,421,000 |
Santander Securities of Puerto Rico | Banco Santander | investor protection violation | 2011 | FINRA | $2,000,000 |
Santander Securities, LLC | Banco Santander | investor protection violation | 2018 | NH-BSR | $31,562 |
Santander Securities, LLC | Banco Santander | investor protection violation | 2019 | NH-BSR | $50,000 |
Santander USA Holdings Inc. | Banco Santander | consumer protection violation | 2015 | MA-AG | $5,400,000 |
Saxon Mortgage Services | Ocwen Financial | consumer protection violation | 2010 | MD-FIN | $71,000 |
Saxon Mortgage Services Inc. | Ocwen Financial | mortgage abuses | 2011 | DOJ_CIVIL | $2,350,000 |
Saxon Mortgage Services, Inc. | Ocwen Financial | consumer protection violation | 2012 | FL-OFR | $15,000 |
Schupp & Grochmal, LLC | Schupp & Grochmal | investor protection violation | 2020 | CT-BKG | $10,510 |
Schupp & Grochmal, LLC | Schupp & Grochmal | investor protection violation | 2020 | CT-SEC | $7,500 |
Schwab Capital Markets | UBS | investor protection violation | 2001 | FINRA | $12,000 |
Schwab Capital Markets, L.P. | UBS | investor protection violation | 2004 | FINRA | $70,000 |
SCOR Global Life U.S. Re Insurance Company | SCOR | insurance violation | 2011 | TX-INS | $99,000 |
SCOR Global Life U.S. Re Insurance Company of Texas | SCOR | insurance violation | 2011 | TX-INS | $90,000 |
Scor Reinsurance Company | SCOR | insurance violation | 2009 | PA-INS | $5,000 |
Scotia Capital (USA) Inc. | Scotiabank | investor protection violation | 2023 | SEC | $7,500,000 |
Scotia Capital Inc. | Scotiabank | investor protection violation | 2010 | CFTC | $250,000 |
Scott Danahy Naylon Co. Inc. | Financial Institutions Inc. | wage and hour violation | 2005 | WHD | $5,495 |
Scottrade | Charles Schwab Corp. | data submission deficiencies | 2014 | SEC | $2,500,000 |
Scottrade | Charles Schwab Corp. | anti-money-laundering deficiencies | 2009 | FINRA | $600,000 |
Scottrade Inc. | Charles Schwab Corp. | investor protection violation | 2016 | TX-SEC | $100,000 |
Scottrade, Inc. | Charles Schwab Corp. | investor protection violation | 2008 | SEC | $950,000 |
Scottrade, Inc. | Charles Schwab Corp. | investor protection violation | 2015 | FINRA | $2,600,000 |
Scottrade, Inc. | Charles Schwab Corp. | investor protection violation | 2015 | FINRA | $300,000 |
Scottrade, Inc. | Charles Schwab Corp. | investor protection violation | 2010 | FINRA | $200,000 |
Scottrade, Inc. | Charles Schwab Corp. | investor protection violation | 2005 | FINRA | $250,000 |
Scottrade, Inc. | Charles Schwab Corp. | investor protection violation | 2004 | FINRA | $16,000 |
Scottsdale Insurance Co. | Nationwide | insurance violation | 2010 | AZ-DIFI | $37,500 |
Scottsdale Insurance Co. | Nationwide | insurance violation | 2005 | FL-OFR | $5,000 |
Scottsdale Insurance Co. | Nationwide | insurance violation | 2021 | NH-INS | $10,579 |
Scottsdale Insurance Company | Nationwide | insurance violation | 2000 | MA-INS | $26,208 |
Seabury & Smith Inc. | Marsh & McLennan | economic sanction violation | 2005 | OFAC | $46,341 |
Seabury & Smith Inc. | Marsh & McLennan | insurance violation | 2007 | PA-INS | $25,000 |
Seabury & Smith, Inc. | Marsh & McLennan | insurance violation | 2006 | AK-INS | $6,530 |
Seabury & Smith, Inc. | Marsh & McLennan | insurance violation | 2009 | AK-INS | $39,378 |
Seacoast National Bank | Seacoast Banking Corporation of Florida | banking violation | 2013 | OCC | $26,950 |
Seacoast National Bank | Seacoast Banking Corporation of Florida | banking violation | 2006 | OCC | $16,500 |
Securian Financial | Securian Financial | wage and hour violation | 2022 | MI-LEO | $12,530 |
Securian Financial Services Inc. | Securian Financial | investor protection violation | 2009 | TX-SEC | $50,000 |
Securian Financial Services, Inc. | Securian Financial | investor protection violation | 2020 | AK-DBS | $10,000 |
Securian Financial Services, Inc. | Securian Financial | investor protection violation | 2009 | MO-SEC | $79,445 |
Securian Financial Services, Inc. | Securian Financial | consumer protection violation | 2013 | NE-DBF | $5,500 |
Security National Insurance Co. | Zurich Insurance | insurance violation | 2002 | FL-OFR | $31,500 |
Security National Insurance Co. | Zurich Insurance | insurance violation | 2015 | MO-INS | $16,090 |