American Security Insurance Co. et al. |
Assurant |
insurance violation |
2017 |
MD-INS |
$25,000 |
John Alden Life Insurance Co. |
Assurant |
insurance violation |
2004 |
ME-INS |
$5,000 |
John Alden Life Insurance Co. |
Assurant |
insurance violation |
2004 |
ME-INS |
$5,000 |
John Alden Life Insurance Co. |
Assurant |
insurance violation |
2004 |
ME-INS |
$20,000 |
Fortis Insurance Co. and Fortis Benefits Insurance Co. |
Assurant |
insurance violation |
2001 |
MN-FIN |
$5,000 |
Fortis Insurance Co. and John Alden Life Insurance Co. |
Assurant |
insurance violation |
2002 |
MN-FIN |
$10,000 |
Fortis Insurance Co. and John Alden Life Insurance Co. |
Assurant |
insurance violation |
2002 |
MN-FIN |
$75,000 |
American Bankers Insurance Company of Florida |
Assurant |
insurance violation |
2003 |
MN-FIN |
$100,000 |
American Bankers Life Assurance Company of Florida |
Assurant |
insurance violation |
2003 |
MN-FIN |
$100,000 |
Fortis Insurance Co. |
Assurant |
insurance violation |
2004 |
MN-FIN |
$5,000 |
John Alden Life Insurance Co. |
Assurant |
insurance violation |
2004 |
MN-FIN |
$5,000 |
Fortis Insurance Co. |
Assurant |
insurance violation |
2005 |
MN-FIN |
$7,500 |
Fortis Insurance Co. |
Assurant |
insurance violation |
2005 |
MN-FIN |
$10,000 |
American Security Insurance Company |
Assurant |
insurance violation |
2013 |
MN-FIN |
$5,000 |
American Security Insurance Company et al. |
Assurant |
insurance violation |
2016 |
MN-FIN |
$5,000,000 |
American Bankers Life Assurance Company of Florida |
Assurant |
insurance violation |
2018 |
MO-INS |
$37,500 |
American Bankers Insurance Company of Florida |
Assurant |
insurance violation |
2018 |
MO-INS |
$37,500 |
Fortis Insurance Co. et al. |
Assurant |
insurance violation |
2004 |
MT-INS |
$70,000 |
Fortis Insurance Co. |
Assurant |
insurance violation |
2004 |
MT-INS |
$65,000 |
John Alden Life Insurance Co. |
Assurant |
insurance violation |
2010 |
MT-INS |
$175,000 |
John Alden Life Insurance Co. and Time Insurance Co. |
Assurant |
insurance violation |
2015 |
MT-INS |
$1,699,709 |
John Alden Life Insurance Company |
Assurant |
insurance violation |
2008 |
NH-INS |
$450,000 |
Virginia Surety Company Inc. |
Assurant |
insurance violation |
2010 |
NH-INS |
$20,000 |
American Security Insurance Co. et al. |
Assurant |
insurance violation |
2005 |
NJ-DBI |
$1,775,000 |
Assurant, Inc. |
Assurant |
insurance violation |
2013 |
NY-DFS |
$14,000,000 |
Virginia Surety Company, Inc. |
Assurant |
insurance violation |
2015 |
NY-DFS |
$10,000 |
Fortis Insurance Company |
Assurant |
insurance violation |
2002 |
OR-FIN |
$42,500 |
American Bankers Insurance Company of Florida |
Assurant |
insurance violation |
2002 |
OR-FIN |
$30,000 |
Fortis Insurance Company |
Assurant |
insurance violation |
2003 |
OR-FIN |
$20,000 |
John Alden Life Insurance Company |
Assurant |
insurance violation |
2007 |
OR-FIN |
$10,000 |
Virginia Surety Company, Inc. |
Assurant |
insurance violation |
2007 |
OR-FIN |
$6,100 |
Virginia Surety Company, Inc. |
Assurant |
insurance violation |
2008 |
OR-FIN |
$25,000 |
Virginia Surety Company, Inc. |
Assurant |
insurance violation |
2009 |
OR-FIN |
$10,000 |
Union Security Insurance Company |
Assurant |
insurance violation |
2015 |
SD-INS |
$7,500 |
American Memorial Life Insurance Company |
Assurant |
insurance violation |
2016 |
SD-INS |
$5,000 |
Union Security Insurance Company |
Assurant |
insurance violation |
2016 |
SD-INS |
$35,000 |
Virginia Surety Company, Inc. |
Assurant |
insurance violation |
2008 |
TX-INS |
$7,000 |
Virginia Surety Company Inc. |
Assurant |
insurance violation |
2011 |
TX-INS |
$200,000 |
American Bankers Insurance Company of Florida |
Assurant |
insurance violation |
2017 |
TX-INS |
$35,000 |
AMERICAN BANKERS LIFE ASSURANCE OF FLORIDA |
Assurant |
insurance violation |
2001 |
VA-INS |
$15,000 |
FORTIS INSURANCE COMPANY |
Assurant |
insurance violation |
2001 |
VA-INS |
$57,000 |
FORTIS INSURANCE CO., ET AL. |
Assurant |
insurance violation |
2002 |
VA-INS |
$27,000 |
AMERICAN BANKERS INSURANCE |
Assurant |
insurance violation |
2006 |
VA-INS |
$45,000 |
AMERICAN SECURITY INSURANCE CO |
Assurant |
insurance violation |
2006 |
VA-INS |
$45,000 |
STANDARD GUARANTY INSURANCE CO |
Assurant |
insurance violation |
2006 |
VA-INS |
$45,000 |
AMERICAN BANKERS LIFE |
Assurant |
insurance violation |
2007 |
VA-INS |
$97,000 |
UNION SECURITY LIFE INSURANCE |
Assurant |
insurance violation |
2007 |
VA-INS |
$27,000 |
Virginia Surety Company Inc |
Assurant |
insurance violation |
2010 |
WA-INS |
$12,000 |
American Bankers Insurance Company Of Florida |
Assurant |
insurance violation |
2011 |
WA-INS |
$170,000 |
American Bankers Insurance Group Inc. |
Assurant |
insurance violation |
2001 |
MULTI-FIN |
$3,000,000 |
Assurant Inc. |
Assurant |
insurance violation |
2016 |
MULTI-FIN |
$80,217,000 |
Virginia Surety Company Inc. |
Assurant |
insurance violation |
2013 |
MULTI-FIN |
$200,000 |
The Signal, LP, an Assurant Company |
Assurant |
insurance violation |
2020 |
NY-DFS |
$2,800,000 |
Asurion, LLC |
Asurion |
employment discrimination |
2019 |
EEOC |
$50,000 |
Asurion Insurance Services, Inc. and Asurion Protection Services LLC |
Asurion |
insurance violation |
2020 |
NY-DFS |
$4,000,000 |
Asurion Warranty Services, Inc. |
Asurion |
insurance violation |
2007 |
WI-INS |
$5,000 |
Aviva Life & Annuity Company |
Athene Holding |
insurance violation |
2013 |
MULTI-AG |
$4,000,000 |
Aviva Life and Annuity Co. |
Athene Holding |
insurance violation |
2011 |
CO-INS |
$25,300 |
AmerUS Life Insurance Co. |
Athene Holding |
insurance violation |
2007 |
MN-FIN |
$250,000 |
Athene Annuity and Life Co. |
Athene Holding |
insurance violation |
2019 |
MO-INS |
$5,000 |
Athene Life Insurance Company of New York |
Athene Holding |
insurance violation |
2016 |
NY-DFS |
$142,193 |
Athene Life Insurance Company of New York |
Athene Holding |
insurance violation |
2018 |
NY-DFS |
$15,000,000 |
Athene Holding Ltd. |
Athene Holding |
insurance violation |
2020 |
NY-DFS |
$45,000,000 |
Liberty Life Insurance Company |
Athene Holding |
insurance violation |
2001 |
SC-INS |
$10,000 |
Athene Annuity & Life Assurance Company Of New York |
Athene Holding |
insurance violation |
2011 |
WA-INS |
$5,000 |
Athene Annuity And Life Company |
Athene Holding |
insurance violation |
2018 |
WA-INS |
$10,000 |
Liberty Life Insurance Company of Greenville, S.C. |
Athene Holding |
insurance violation |
2005 |
MULTI-FIN |
$3,075,950 |
CompuCredit Corporation |
Atlanticus Holdings |
banking violation |
2008 |
FDIC |
$116,400,000 |
CompuCredit Corporation |
Atlanticus Holdings |
consumer protection violation |
2008 |
FTC |
$114,000,000 |
CompuCredit Corporation |
Atlanticus Holdings |
banking violation |
2008 |
FDIC |
$806,000 |
CompuCredit Corporation |
Atlanticus Holdings |
banking violation |
2008 |
FDIC |
$558,000 |
Cadaret, Grant & Co. Inc. |
Atria Wealth Solutions |
investor protection violation |
2018 |
SEC |
$513,194 |
Sorrento Pacific Financial, LLC |
Atria Wealth Solutions |
investor protection violation |
2019 |
SEC |
$49,162 |
CUSO Financial Services, L.P. |
Atria Wealth Solutions |
investor protection violation |
2019 |
SEC |
$296,750 |
Next Financial Group, Inc. |
Atria Wealth Solutions |
investor protection violation |
2019 |
SEC |
$1,405,349 |
Next Financial Group, Inc. |
Atria Wealth Solutions |
investor protection violation |
2012 |
AL-SEC |
$60,000 |
Next Financial Group, Inc. |
Atria Wealth Solutions |
investor protection violation |
2019 |
MA-SEC |
$150,000 |
NEXT Financial Group, Inc. |
Atria Wealth Solutions |
investor protection violation |
2010 |
MT-SEC |
$5,000 |
Cadaret, Grant & Co., Inc. |
Atria Wealth Solutions |
investor protection violation |
2008 |
NE-DBF |
$10,000 |
NEXT Financial Group, Inc |
Atria Wealth Solutions |
investor protection violation |
2014 |
NH-BSR |
$140,000 |
NEXT Financial Group, Inc |
Atria Wealth Solutions |
investor protection violation |
2019 |
NH-BSR |
$325,000 |
Cadaret Grant & Co. Inc. |
Atria Wealth Solutions |
investor protection violation |
2019 |
PA-BKG |
$90,000 |
Next Financial Group, Inc. |
Atria Wealth Solutions |
investor protection violation |
2020 |
TX-SEC |
$600,000 |
NEXT FINANCIAL GROUP, INC. |
Atria Wealth Solutions |
investor protection violation |
2015 |
VA-SEC |
$18,000 |
NEXT FINANCIAL GROUP, INC. |
Atria Wealth Solutions |
investor protection violation |
2017 |
VA-SEC |
$60,000 |
Next Financial Group, Inc. |
Atria Wealth Solutions |
investor protection violation |
2020 |
VA-SEC |
$5,000 |
Aurora Bank FSB |
Aurora Bank |
banking violation |
2013 |
OCC |
$242,418,293 |
Auto-Owners Insurance Co. |
Auto-Owners Insurance |
insurance violation |
2007 |
CO-INS |
$5,000 |
Auto Owners Insurance Co. |
Auto-Owners Insurance |
insurance violation |
2017 |
CO-INS |
$25,875 |
Auto-Owners (Mutual) Insurance Co. and Owners Insurance Co. |
Auto-Owners Insurance |
insurance violation |
2019 |
KS-INS |
$10,000 |
Auto-Owners Insurance Co. |
Auto-Owners Insurance |
insurance violation |
2000 |
MN-FIN |
$15,000 |
Auto-Owners Insurance Co. |
Auto-Owners Insurance |
insurance violation |
2003 |
MN-FIN |
$5,000 |
Auto-Owners Insurance Co. |
Auto-Owners Insurance |
insurance violation |
2016 |
MN-FIN |
$10,000 |
Auto-Owners Insurance Co. and Owners Insurance Co. |
Auto-Owners Insurance |
insurance violation |
2019 |
MN-FIN |
$35,000 |
Auto-Owners Insurance Co. and Owners Insurance Co. |
Auto-Owners Insurance |
insurance violation |
2007 |
MO-INS |
$28,704 |
Auto-Owners Insurance Co. |
Auto-Owners Insurance |
insurance violation |
2015 |
MO-INS |
$39,600 |
Auto-Owners Insurance Company |
Auto-Owners Insurance |
insurance violation |
2016 |
SC-INS |
$7,356 |
Auto-Owners Insurance Company and Owners Insurance Company |
Auto-Owners Insurance |
insurance violation |
2011 |
VA-INS |
$10,000 |
AUTO OWNERS INSURANCE COMPANY |
Auto-Owners Insurance |
insurance violation |
2015 |
VA-INS |
$114,217 |
Auto-Owners Insurance Co. |
Auto-Owners Insurance |
insurance violation |
2004 |
WI-INS |
$5,000 |
AXA Rosenberg |
AXA |
investor protection violation |
2011 |
SEC |
$242,000,000 |