Ameriprise Financial Services, Inc. | Ameriprise Financial | investor protection violation | 2008 | MS-SEC | $150,000 |
Ameriprise Financial Services Inc. | Ameriprise Financial | consumer protection violation | 2013 | NE-DBF | $10,000 |
American Express Financial Advisors Inc. | Ameriprise Financial | investor protection violation | 2005 | NH-BSR | $7,375,000 |
Ameriprise Financial Services, Inc. | Ameriprise Financial | investor protection violation | 2008 | NH-BSR | $3,400,000 |
Ameriprise Financial Services, Inc. | Ameriprise Financial | investor protection violation | 2014 | NH-BSR | $90,000 |
Ameriprise Financial Services, Inc. | Ameriprise Financial | investor protection violation | 2016 | NH-BSR | $30,800 |
Investment Professionals Inc. | Ameriprise Financial | insurance violation | 2014 | NY-DFS | $10,000 |
Ameriprise Advisor Services Inc. | Ameriprise Financial | investor protection violation | 2009 | RI-FIN | $48,411 |
Ameriprise Financial Services Inc. | Ameriprise Financial | investor protection violation | 2018 | SC-SEC | $650,000 |
American Express Financial Advisors Inc. | Ameriprise Financial | investor protection violation | 2000 | TX-SEC | $9,000 |
AMERIPRISE FINANCIAL SERVICES | Ameriprise Financial | investor protection violation | 2008 | VA-SEC | $780,000 |
AMERIPRISE FINANCIAL SERVICES, INC. | Ameriprise Financial | investor protection violation | 2016 | VA-SEC | $14,000 |
Ameriprise Financial Services, Inc. | Ameriprise Financial | investor protection violation | 2016 | WA-FIN | $55,000 |
Ameriprise Financial Services Inc. | Ameriprise Financial | investor protection violation | 2009 | MULTI-FIN | $720,000 |
RiverSource Life Insurance Company | Ameriprise Financial | insurance violation | 2016 | MULTI-FIN | $1,500,000 |
Ameriprise Financial Services, Inc. | Ameriprise Financial | investor protection violation | 2016 | FINRA | $850,000 |
Ameriprise Financial Services, Inc. | Ameriprise Financial | investor protection violation | 2013 | FINRA | $750,000 |
Ameriprise Financial Services, Inc. | Ameriprise Financial | investor protection violation | 2005 | FINRA | $12,300,000 |
Ameriprise Financial Services, Inc. | Ameriprise Financial | investor protection violation | 2005 | FINRA | $1,250,000 |
American Express Financial Advisors | Ameriprise Financial | investor protection violation | 2005 | FINRA | $13,000,000 |
American Express Financial Advisors Inc. | Ameriprise Financial | investor protection violation | 2004 | FINRA | $700,000 |
American Express Financial Advisors, Inc. | Ameriprise Financial | investor protection violation | 2004 | FINRA | $300,000 |
American Express Financial Advisors Inc. | Ameriprise Financial | investor protection violation | 2002 | FINRA | $350,000 |
Riversource Life Insurance Company | Ameriprise Financial | insurance violation | 2023 | WA-INS | $59,613 |
Allied Home Mortgage Capital Corporation | Americus Mortgage | consumer protection violation | 2003 | HUD | $370,000 |
Allied Home Mortgage Capital Corporation | Americus Mortgage | wage and hour violation | 2006 | WHD | $14,479 |
Allied Home Mortgage Capital Corporation | Americus Mortgage | wage and hour violation | 2006 | WHD | $1,800,282 |
Allied Home Mortgage Capital Corporation | Americus Mortgage | wage and hour violation | 2006 | WHD | $30,928 |
Allied Home Mortgage Capital Corporation | Americus Mortgage | wage and hour violation | 2005 | WHD | $9,830 |
Allied Home Mortgage | Americus Mortgage | wage and hour violation | 2004 | WHD | $14,037 |
Allied Home Mortgage | Americus Mortgage | fraud | 2017 | USAO | $296,298,325 |
Allied Home Mortgage Capital Corp. | Americus Mortgage | investor protection violation | 2009 | AR-SEC | $10,000 |
Allied Home Mortgage Corp. | Americus Mortgage | consumer protection violation | 2012 | IL-BKG | $7,500 |
Allied Home Mortgage Capital Corp. | Americus Mortgage | consumer protection violation | 2009 | KY-FIN | $5,740 |
Allied Home Mortgage Capital Corporation | Americus Mortgage | consumer protection violation | 2009 | NY-DFS | $10,000 |
Allied Home Mortgage Capital Corporation | Americus Mortgage | consumer protection violation | 2009 | PA-BKG | $8,000 |
Allied Home Mortgage Corporation et al. | Americus Mortgage | consumer protection violation | 2012 | PA-BKG | $10,000 |
ALLIED HOME MORTGAGE CAPITAL | Americus Mortgage | consumer protection violation | 2008 | VA-FIN | $5,000 |
ALLIED HOME MORTGAGE CAPITAL | Americus Mortgage | consumer protection violation | 2010 | VA-FIN | $25,000 |
American-Amicable Life Insurance Company | American-Amicable Group | insurance violation | 2006 | MULTI-FIN | $60,000,000 |
American International Group, Inc. | American International Group | accounting fraud or deficiencies | 2006 | DOJ_CRIMINAL | $25,000,000 |
American International Group, Inc. | American International Group | accounting fraud or deficiencies | 2004 | DOJ_CRIMINAL | $80,000,000 |
American International Group, Inc. | American International Group | investor protection violation | 2006 | SEC | $800,000,000 |
American International Group, Inc. | American International Group | investor protection violation | 2004 | SEC | $46,000,000 |
American International Group, Inc. | American International Group | accounting fraud or deficiencies | 2003 | SEC | $10,000,000 |
AIG Federal Savings Bank and Wilmington Finance Inc. | American International Group | discriminatory practices (non-employment) | 2010 | DOJ_RIGHTS | $6,100,000 |
AMERICAN INTERNATIONAL GROUP INC GROUP LIFE & MEDICAL INSURANCE PLAN | American International Group | benefit plan administrator violation | 2005 | EBSA | $50,001 |
American International Group | American International Group | economic sanction violation | 2017 | OFAC | $148,698 |
American International Group, Inc. | American International Group | benefit plan administrator violation | 2015 | private lawsuit-federal | $40,000,000 |
American International Group, Inc. | American International Group | benefit plan administrator violation | 2008 | private lawsuit-federal | $24,200,000 |
American International Group | American International Group | wage and hour violation | 2009 | MA-AG | $900,000 |
American International Group | American International Group | False Claims Act and related | 2008 | MA-AG | $218,920 |
American International Group | American International Group | False Claims Act and related | 2007 | MA-AG | $58,500,000 |
American International Group | American International Group | price-fixing or anti-competitive practices | 2006 | NY-AG | (*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $1,619,000,000 |
American International Group | American International Group | investor protection violation | 2010 | OH-AG | $725,000,000 |
American International Group | American International Group | price-fixing or anti-competitive practices | 2010 | OH-AG | $9,000,000 |
American International Group Inc. | American International Group | investor protection violation | 2010 | OR-AG | $8,000,000 |
American International Group, Inc. | American International Group | price-fixing or anti-competitive practices | 2008 | MULTI-AG | $12,500,000 |
American International Group, Inc. | American International Group | tax violations | 2006 | MI-AG | $5,279,484 |
Insurance Company of the State of Pennsylvania | American International Group | False Claims Act and related | 2016 | NV-AG | $300,000 |
The Insurance Company of the State of Pennsylvania | American International Group | consumer protection violation | 2015 | MA-AG | $430,000 |
United States Life Insurance Company in the City of New York | American International Group | consumer protection violation | 2011 | MA-AG | $760,000 |
American International Group, Inc. | American International Group | economic sanction violation | 2014 | OFAC | $279,038 |
American General Life Insurance Company | American International Group | insurance violation | 2020 | MA-AG | $363,000 |
American International Group et al. | American International Group | insurance violation | 2002 | CA-INS | $411,500 |
New Hampshire Insurance Co. | American International Group | insurance violation | 2012 | CA-INS | $142,500 |
National Union Fire Insurance Co. | American International Group | insurance violation | 2013 | CA-INS | $5,991,132 |
Commerce and Industry Insurance Co. | American International Group | insurance violation | 2005 | CO-INS | $6,000 |
AIG Property Casualty Co. | American International Group | insurance violation | 2019 | CT-INS | $120,000 |
American General Life Insurance Co. | American International Group | insurance violation | 2019 | DE-INS | $85,000 |
COMMERCE AND INDUSTRY INSURANCE COMPANY | American International Group | insurance violation | 2001 | FL-OFR | $11,500 |
New Hampshire Insurance Co. | American International Group | insurance violation | 2002 | FL-OFR | $5,400 |
American International Insurance Co. and AIG National Insurance Company, Inc. | American International Group | insurance violation | 2003 | FL-OFR | $66,750 |
Illinois National Insurance Co. | American International Group | insurance violation | 2003 | FL-OFR | $5,000 |
National Union Fire Insurance Company of Pittsburgh, PA | American International Group | insurance violation | 2003 | FL-OFR | $62,250 |
American General Life and Accident Insurance Co. | American International Group | insurance violation | 2006 | FL-OFR | $1,568,324 |
National Union Fire Insurance Company of Pittsburgh, PA | American International Group | insurance violation | 2006 | FL-OFR | $12,100 |
American Home Assurance Co. | American International Group | insurance violation | 2007 | FL-OFR | $25,500 |
National Union Fire Insurance Company of Pittsburgh, PA | American International Group | insurance violation | 2007 | FL-OFR | $240,000 |
American General Life Insurance Co. | American International Group | insurance violation | 2008 | FL-OFR | $260,000 |
American General Life Insurance Co. | American International Group | insurance violation | 2018 | FL-OFR | $210,000 |
National Union Fire Insurance Company of Pittsburgh, Pa. | American International Group | insurance violation | 2009 | ID-INS | $5,000 |
National Union Fire Insurance Company of Pittsburgh, Pa. | American International Group | insurance violation | 2010 | ID-INS | $15,000 |
National Union Fire Insurance Company of Pittsburgh, PA | American International Group | insurance violation | 2010 | IN-INS | $200,000 |
American General Life and Accident Insurance Co. | American International Group | insurance violation | 2000 | KS-INS | $23,400 |
New Hampshire Insurance Co. | American International Group | insurance violation | 2000 | KS-INS | $10,375 |
National Union Fire Insurance Company of Pittsburgh, Pennsylvania | American International Group | insurance violation | 2000 | KS-INS | $10,375 |
American General Life Insurance Co. | American International Group | insurance violation | 2016 | KS-INS | $15,000 |
AIG Claims, Inc. | American International Group | insurance violation | 2018 | LA-INS | $11,000 |
New Hampshire Insurance Company | American International Group | insurance violation | 2002 | MA-INS | $639,576 |
Insurance Company of the State of PA | American International Group | insurance violation | 2002 | MA-INS | $124,532 |
AIU Insurance Company | American International Group | insurance violation | 2002 | MA-INS | $365,615 |
American Home Assurance Company | American International Group | insurance violation | 2002 | MA-INS | $64,546 |
American Home Assurance Company | American International Group | insurance violation | 2003 | MA-INS | $12,500 |
American General Life and Accident Insurance Co. | American International Group | insurance violation | 2011 | MD-INS | $7,000 |
United States Life Insurance Company In the City of New York | American International Group | insurance violation | 2011 | MD-INS | $5,000 |
The United States Life Insurance Company In the City of New York | American International Group | insurance violation | 2012 | MD-INS | $75,000 |
United States Life Insurance Company In the City of New York | American International Group | insurance violation | 2014 | MD-INS | $25,000 |
AIG Property Casualty Co. | American International Group | insurance violation | 2015 | MD-INS | $22,500 |
National Union Fire Insurance Company of Pittsburgh, PA | American International Group | insurance violation | 2015 | MD-INS | $20,000 |
National Union Fire Insurance Company of Pittsburgh, PA | American International Group | insurance violation | 2016 | MD-INS | $18,000 |