Student Loan Xpress, Inc. |
CIT |
consumer protection violation |
2007 |
NY-AG |
$3,000,000 |
Strong Capital Management, Inc. |
Wells Fargo |
investor protection violation |
2004 |
SEC |
$80,000,000 |
Strong Capital Management, Inc. |
Wells Fargo |
investor protection violation |
2006 |
SEC |
$2,185,927 |
Strong Capital Management Co. |
Wells Fargo |
investor protection violation |
2004 |
MULTI-AG |
(*) $115,000,000 |
Stifel, Nicolaus & Company, Incorporated |
Stifel Financial |
investor protection violation |
2017 |
SEC |
$300,000 |
Stifel, Nicolaus & Company, Incorporated |
Stifel Financial |
investor protection violation |
2009 |
MULTI-FIN |
$525,000 |
Stifel, Nicolaus & Company, Inc. |
Stifel Financial |
investor protection violation |
2015 |
SEC |
$500,000 |
Stifel, Nicolaus & Company, Inc. |
Stifel Financial |
investor protection violation |
2011 |
IL-SEC |
$80,224 |
Stifel, Nicolaus & Company, Inc. |
Stifel Financial |
investor protection violation |
2010 |
MO-SEC |
$211,617 |
Stifel, Nicolaus & Company, Inc. |
Stifel Financial |
investor protection violation |
2012 |
MO-SEC |
$1,101,385 |
Stifel, Nicolaus & Company, Inc. |
Stifel Financial |
investor protection violation |
2017 |
MS-SEC |
$50,000 |
Stifel, Nicolaus & Company Inc. |
Stifel Financial |
investor protection violation |
2014 |
NE-DBF |
$61,000 |
Stifel, Nicolaus & Co., Inc. |
Stifel Financial |
investor protection violation |
2016 |
SEC |
$24,500,000 |
Stifel, Nicolaus & Co., Inc. |
Stifel Financial |
investor protection violation |
2019 |
SEC |
$2,700,000 |
Stifel Nicolaus & Company, Inc. |
Stifel Financial |
investor protection violation |
2010 |
NJ-BOS |
$5,415,381 |
Stifel Nicolaus & Co. |
Stifel Financial |
investor protection violation |
2014 |
SEC |
$60,000 |
Stifel and Nicolaus & Company, Incorporated |
Stifel Financial |
investor protection violation |
2019 |
SEC |
$6,037,175 |
Stewart Title of California, Inc. |
Stewart Information Services |
insurance violation |
2005 |
CA-INS |
$750,000 |
Stewart Title Guaranty Company |
Stewart Information Services |
insurance violation |
2009 |
OR-FIN |
$30,000 |
Stewart Title Guaranty Company |
Stewart Information Services |
insurance violation |
2009 |
TX-INS |
$55,000 |
Stewart Title Guaranty Company |
Stewart Information Services |
insurance violation |
2010 |
TX-INS |
$525,418 |
Stewart Title Guaranty Company |
Stewart Information Services |
insurance violation |
2019 |
WA-INS |
$10,050 |
Stewart Title Guaranty Co. and Electronic Closing Services, Inc. dba E-Title |
Stewart Information Services |
insurance violation |
2007 |
CA-INS |
$1,500,000 |
Stewart Title Guaranty Co. |
Stewart Information Services |
insurance violation |
2013 |
AR-INS |
$10,000 |
Stewart Title Guaranty Co. |
Stewart Information Services |
insurance violation |
2007 |
CA-INS |
$1,000,400 |
Stewart Title Guaranty Co. |
Stewart Information Services |
insurance violation |
2000 |
CO-INS |
$25,000 |
Stewart Title Guaranty Co. |
Stewart Information Services |
insurance violation |
2007 |
CO-INS |
$50,000 |
Stewart Title Guaranty Co. |
Stewart Information Services |
insurance violation |
2012 |
CO-INS |
$70,400 |
Stewart Title Guaranty Co. |
Stewart Information Services |
insurance violation |
2010 |
FL-OFR |
$165,000 |
Stewart Title Guaranty Co. |
Stewart Information Services |
insurance violation |
2014 |
MD-INS |
$18,000 |
Stewart Title Guaranty Co. |
Stewart Information Services |
insurance violation |
2006 |
MN-FIN |
$5,000 |
Stewart Title Guaranty Co. |
Stewart Information Services |
insurance violation |
2015 |
MN-FIN |
$17,500 |
Stewart Title Guaranty Co. |
Stewart Information Services |
insurance violation |
2010 |
WI-INS |
$7,500 |
Stewart Title Guaranty Co. |
Stewart Information Services |
insurance violation |
2020 |
CT-INS |
$47,000 |
Stewart Title Guaranty Co. |
Stewart Information Services |
insurance violation |
2020 |
MO-INS |
$100,000 |
Stewart Title Guarantee Co. |
Stewart Information Services |
insurance violation |
2006 |
MO-INS |
$75,087 |
Stewart Title Guarantee Co. |
Stewart Information Services |
insurance violation |
2012 |
MO-INS |
$128,000 |
Stewart Title Company of California |
Stewart Information Services |
consumer protection violation |
2002 |
CA-AG |
$2,500,000 |
Stewart Title Company |
Stewart Information Services |
insurance violation |
2015 |
TX-INS |
$50,000 |
Stewart Title Co. |
Stewart Information Services |
insurance violation |
2015 |
IN-INS |
$59,400 |
Sterling Financial Corporation |
Umpqua Holdings |
benefit plan administrator violation |
2013 |
private lawsuit-federal |
$3,025,000 |
State Street Global Advisors |
State Street Corp. |
investor protection violation |
2012 |
MA-SEC |
$5,000,000 |
State Street Corporation |
State Street Corp. |
fraud |
2017 |
DOJ_CRIMINAL |
$32,300,000 |
State Street Corporation |
State Street Corp. |
employment discrimination |
2017 |
OFCCP |
$4,492,174 |
State Street Corporation |
State Street Corp. |
benefit plan administrator violation |
2014 |
private lawsuit-federal |
$10,000,000 |
State Street Corporation |
State Street Corp. |
benefit plan administrator violation |
2016 |
private lawsuit-federal |
$60,000,000 |
State Street Corp. |
State Street Corp. |
consumer protection violation |
2019 |
MA-AG |
$53,500,000 |
State Street Bank and Trust Company |
State Street Corp. |
investor protection violation |
2016 |
SEC |
$382,400,000 |
State Street Bank and Trust Company |
State Street Corp. |
illicit political contributions |
2016 |
SEC |
$12,000,000 |
State Street Bank and Trust Company |
State Street Corp. |
investor protection violation |
2010 |
SEC |
$313,300,000 |
State Street Bank and Trust Company |
State Street Corp. |
investor protection violation |
2017 |
SEC |
$35,300,000 |
State Street Bank and Trust Company |
State Street Corp. |
investor protection violation |
2019 |
SEC |
$88,780,000 |
State Street Bank and Trust Company |
State Street Corp. |
investor protection violation |
2018 |
NH-BSR |
$325,000 |
State Street Bank And Trust Co. |
State Street Corp. |
benefit plan administrator violation |
2010 |
private lawsuit-federal |
$89,750,000 |
State Street Bank and Trust Co. |
State Street Corp. |
investor protection violation |
2016 |
MA-AG |
(*) $75,500,000 |
State Street Bank & Trust Co. |
State Street Corp. |
investor protection violation |
2010 |
MA-AG |
(*) $300,000,000 |
State Street Bank & Trust Co |
State Street Corp. |
economic sanction violation |
2003 |
OFAC |
$22,000 |
State Street Bank |
State Street Corp. |
investor protection violation |
2010 |
WA-AG |
$11,700,000 |
State Farm VP Management Corp. |
State Farm Insurance |
investor protection violation |
2013 |
PA-BKG |
$75,000 |
STATE FARM MUTUAL, ET AL. |
State Farm Insurance |
insurance violation |
2011 |
VA-INS |
$60,000 |
State Farm Mutual Insurance Company |
State Farm Insurance |
employment discrimination |
2013 |
private lawsuit-state |
$657,403 |
State Farm Mutual Insurance Company |
State Farm Insurance |
consumer protection violation |
2005 |
MULTI-AG |
$41,000,000 |
STATE FARM MUTUAL INSURANCE CO |
State Farm Insurance |
insurance violation |
2017 |
VA-INS |
$50,600 |
State Farm Mutual Automobile Insurance Company |
State Farm Insurance |
insurance violation |
2019 |
MD-INS |
$23,863 |
State Farm Mutual Automobile Insurance Company |
State Farm Insurance |
insurance violation |
2007 |
VA-INS |
$6,000 |
State Farm Mutual Automobile Insurance Company |
State Farm Insurance |
insurance violation |
2010 |
WA-INS |
$6,500 |
State Farm Mutual Automobile Insurance Company |
State Farm Insurance |
insurance violation |
2010 |
WA-INS |
$12,000 |
State Farm Mutual Automobile Insurance Company |
State Farm Insurance |
insurance violation |
2012 |
WA-INS |
$5,000 |
State Farm Mutual Automobile Insurance Compan |
State Farm Insurance |
Family and Medical Leave Act |
2010 |
WHD |
$27,787 |
State Farm Mutual Automobile Insurance Co. et al. |
State Farm Insurance |
insurance violation |
2009 |
IN-INS |
$275,000 |
State Farm Mutual Automobile Insurance Co. et al. |
State Farm Insurance |
insurance violation |
2011 |
MD-INS |
$10,000 |
State Farm Mutual Automobile Insurance Co. and State Farm Fire and Casualty Co. |
State Farm Insurance |
insurance violation |
2011 |
IL-INS |
$50,000 |
State Farm Mutual Automobile Insurance Co. and State Farm Fire and Casualty Co. |
State Farm Insurance |
insurance violation |
2001 |
MN-FIN |
$75,000 |
State Farm Mutual Automobile Insurance Co. |
State Farm Insurance |
consumer protection violation |
2005 |
TX-AG |
$10,000,000 |
State Farm Mutual Automobile Insurance Co. |
State Farm Insurance |
insurance violation |
2003 |
CA-INS |
$250,000 |
State Farm Mutual Automobile Insurance Co. |
State Farm Insurance |
insurance violation |
2013 |
MD-INS |
$15,000 |
State Farm Mutual Automobile Insurance Co. |
State Farm Insurance |
insurance violation |
2016 |
MN-FIN |
$5,000 |
State Farm Mutual Automobile Insurance Co. |
State Farm Insurance |
insurance violation |
2017 |
MN-FIN |
$50,000 |
State Farm Mutual Automobile Insurance Co. |
State Farm Insurance |
insurance violation |
2014 |
MT-INS |
$38,638 |
State Farm Lloyds |
State Farm Insurance |
insurance violation |
2015 |
TX-INS |
$352,500,000 |
State Farm Life Insurance Company et al. |
State Farm Insurance |
insurance violation |
2017 |
MULTI-FIN |
$250,000 |
State Farm Life Insurance Company |
State Farm Insurance |
insurance violation |
2018 |
WA-INS |
$10,000 |
State Farm Life Insurance Co. |
State Farm Insurance |
insurance violation |
2017 |
MULTI-AG |
$250,000 |
State Farm Life Insurance Co. |
State Farm Insurance |
insurance violation |
2019 |
DE-INS |
$18,000 |
State Farm Life Insurance Co. |
State Farm Insurance |
insurance violation |
2008 |
FL-OFR |
$10,500 |
State Farm Life Insurance Co. |
State Farm Insurance |
insurance violation |
2010 |
FL-OFR |
$10,500 |
State Farm Life Insurance Co. |
State Farm Insurance |
insurance violation |
2012 |
FL-OFR |
$10,500 |
State Farm Life Insurance Co. |
State Farm Insurance |
insurance violation |
2014 |
FL-OFR |
$10,500 |
State Farm Life Insurance Co. |
State Farm Insurance |
insurance violation |
2020 |
VT-FIN |
$204,000 |
State Farm Insurance Group |
State Farm Insurance |
insurance violation |
2020 |
NY-DFS |
$10,443,700 |
STATE FARM INSURANCE |
State Farm Insurance |
workplace safety or health violation |
2012 |
OSHA |
$8,160 |
State Farm Indemnity Co. |
State Farm Insurance |
insurance violation |
2004 |
NJ-DBI |
$35,000 |
State Farm General Insurance Company |
State Farm Insurance |
insurance violation |
2010 |
TX-INS |
$40,000 |
State Farm Florida Insurance Co. |
State Farm Insurance |
insurance violation |
2005 |
FL-OFR |
$5,000 |
STATE FARM FIRE, ET AL. |
State Farm Insurance |
insurance violation |
2008 |
VA-INS |
$35,000 |
State Farm Fire and Casualty Company |
State Farm Insurance |
insurance violation |
2015 |
TX-INS |
$5,500 |
State Farm Fire and Casualty Company |
State Farm Insurance |
insurance violation |
2017 |
TX-INS |
$11,000 |
State Farm Fire and Casualty Co. |
State Farm Insurance |
insurance violation |
2015 |
KS-INS |
$10,000 |
State Farm Fire and Casualty Co. |
State Farm Insurance |
insurance violation |
2015 |
MD-INS |
$26,020 |
State Farm Fire and Casualty Co. |
State Farm Insurance |
insurance violation |
2012 |
MN-FIN |
$5,000 |
State Farm Fire & Casualty Insurance Co. and State Farm Mutual Automobile Insurance Co. |
State Farm Insurance |
insurance violation |
2016 |
DE-INS |
$28,000 |