AIG National Insurance Company | American International Group | insurance violation | 2008 | RI-FIN | $10,000 |
Allstate Texas Lloyd's | Allstate | insurance violation | 2008 | TX-INS | $71,300,000 |
Hartford Casualty Insurance Company et al. | Hartford Financial Services | insurance violation | 2008 | TX-INS | $21,000 |
Sentry Insurance | Sentry Insurance | insurance violation | 2008 | TX-INS | $5,000 |
Hartford Fire Insurance Company | Hartford Financial Services | insurance violation | 2008 | TX-INS | $6,000 |
A.G. Edwards & Sons Inc. | Wells Fargo | investor protection violation | 2008 | TX-SEC | $5,000 |
Morgan Stanley & Co. Inc. | Morgan Stanley | investor protection violation | 2008 | TX-SEC | $400,000 |
Ace American Insurance Company | Chubb Limited | insurance violation | 2008 | TX-INS | $17,500 |
Ace American Insurance Company | Chubb Limited | insurance violation | 2008 | TX-INS | $14,875 |
Indemnity Insurance Company of North America | Chubb Limited | insurance violation | 2008 | TX-INS | $18,000 |
Old Republic Insurance Company | Old Republic International | insurance violation | 2008 | TX-INS | $18,000 |
Virginia Surety Company, Inc. | Assurant | insurance violation | 2008 | TX-INS | $7,000 |
Ace American Insurance Company et al. | Chubb Limited | insurance violation | 2008 | TX-INS | $50,000 |
Ace American Insurance Company | Chubb Limited | insurance violation | 2008 | TX-INS | $37,500 |
Indemnity Insurance Company of North America | Chubb Limited | insurance violation | 2008 | TX-INS | $7,500 |
LPL Financial Corporation | LPL Financial | investor protection violation | 2008 | TX-SEC | $5,000 |
AIU INSURANCE COMPANY ET AL. | American International Group | insurance violation | 2008 | VA-INS | $100,000 |
AIG CASUALTY INSURANCE CO., ET AL. | American International Group | insurance violation | 2008 | VA-INS | $10,000 |
AMERIPRISE FINANCIAL SERVICES | Ameriprise Financial | investor protection violation | 2008 | VA-SEC | $780,000 |
ALLIED CASH ADVANCE VIRGINIA | CNG Financial | consumer protection violation | 2008 | VA-FIN | $38,000 |
HARTFORD LIFE AND ANNUITY INSURANCE | Hartford Financial Services | insurance violation | 2008 | VA-INS | $5,000 |
STATE FARM FIRE, ET AL. | State Farm Insurance | insurance violation | 2008 | VA-INS | $35,000 |
ALLIED HOME MORTGAGE CAPITAL | Americus Mortgage | consumer protection violation | 2008 | VA-FIN | $5,000 |
CITIGROUP GLOBAL MARKETS | Citigroup | investor protection violation | 2008 | VA-SEC | $22,000 |
Conseco Senior Health Insurance Co. | CNO Financial | insurance violation | 2008 | WI-INS | $100,000 |
Travelers Casualty & Surety Company of America | Travelers | insurance violation | 2008 | WI-INS | $30,000 |
Universal Underwriters Service Corp. | Zurich Insurance | insurance violation | 2008 | WI-INS | $10,000 |
Bank of America | Bank of America | investor protection violation | 2008 | MULTI-FIN | (*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $50,000,000 |
Conseco Senior Health Insurance Company and Bankers Life and Casualty Company | CNO Financial | insurance violation | 2008 | MULTI-FIN | $2,342,728 |
Credit Suisse Securities (USA) LLC | UBS | investor protection violation | 2008 | MULTI-FIN | $15,000,000 |
Deutsche Bank Securities Inc. | Deutsche Bank | investor protection violation | 2008 | MULTI-FIN | (*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $15,000,000 |
Goldman Sachs | Goldman Sachs | investor protection violation | 2008 | MULTI-FIN | (*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $22,500,000 |
JPMorgan Chase & Co. | JPMorgan Chase | investor protection violation | 2008 | MULTI-FIN | (*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $25,000,000 |
Merrill Lynch | Bank of America | investor protection violation | 2008 | MULTI-FIN | (*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $125,000,000 |
Morgan Stanley | Morgan Stanley | investor protection violation | 2008 | MULTI-FIN | (*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $35,000,000 |
Prosper Marketplace, Inc. | Prosper Marketplace | investor protection violation | 2008 | MULTI-FIN | $1,000,000 |
RBC Capital Markets Corporation | Royal Bank of Canada | investor protection violation | 2008 | MULTI-FIN | (*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $9,800,000 |
UBS Securities LLC and UBS Financial Services Inc. | UBS | investor protection violation | 2008 | MULTI-FIN | (*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $150,000,000 |
Wachovia Securities LLC | Wells Fargo | investor protection violation | 2008 | MULTI-FIN | (*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $50,000,000 |
LOUIS DREYFUS CITRUS INC | Louis Dreyfus | environmental violation | 2008 | FL-DEP | $21,000 |
IFCO SYSTEMS NORTH AMERICA, INC. | Triton Investments Advisers | environmental violation | 2008 | FL-DEP | $15,000 |
MANULIFE FINANCIAL | Manulife Financial | environmental violation | 2008 | MA-ENV | $18,030 |
SYNAGRO-PATAPSCO PELLETIZER | Goldman Sachs | environmental violation | 2008 | MD-ENV | $27,000 |
BUCKEYE PIPELINE CO LLP | IFM Investors | environmental violation | 2008 | NJ-ENV | $10,000 |
BROADRIDGE FINANCIAL SOLUTIONS INC | Broadridge Financial Solutions | environmental violation | 2008 | NJ-ENV | $6,500 |
E-Trade Securities, LLC | Morgan Stanley | investor protection violation | 2008 | FINRA | $500,000 |
CIBC World Markets Corp. | Canadian Imperial Bank of Commerce | investor protection violation | 2008 | FINRA | $350,000 |
Citigroup Global Markets, Inc. | Citigroup | investor protection violation | 2008 | FINRA | $300,000 |
BNY Mellon Capital Markets, LLC | Bank of New York Mellon | investor protection violation | 2008 | FINRA | $250,000 |
SunTrust Investment Services, Inc. | Truist Financial | investor protection violation | 2008 | FINRA | $700,000 |
SunTrust Robinson Humphrey, Inc. | Truist Financial | investor protection violation | 2008 | FINRA | $1,650,000 |
Comerica Securities, Inc. | Comerica | investor protection violation | 2008 | FINRA | $750,000 |
SunTrust Investment Services, Inc. | Truist Financial | investor protection violation | 2008 | FINRA | $300,000 |
Prudential Securities | Wells Fargo | investor protection violation | 2008 | FINRA | $1,050,000 |
UBS Financial Services, Inc. | UBS | investor protection violation | 2008 | FINRA | $1,000,000 |
Pruco Securities | Prudential Financial | investor protection violation | 2008 | FINRA | $100,000 |
Merrill Lynch | Bank of America | investor protection violation | 2008 | FINRA | $250,000 |
Oppenheimer & Co. | Oppenheimer Holdings | investor protection violation | 2008 | FINRA | $4,500,000 |
Banc One Securities Corporation | JPMorgan Chase | investor protection violation | 2008 | FINRA | $225,000 |
CIBC World Markets Corp. | Canadian Imperial Bank of Commerce | investor protection violation | 2008 | FINRA | $200,000 |
Merrill Lynch, Pierce, Fenner & Smith, Inc. | Bank of America | investor protection violation | 2008 | FINRA | $200,000 |
Thomas Weisel Partners, LLC | Stifel Financial | investor protection violation | 2008 | FINRA | $200,000 |
UBS Securities, LLC | UBS | investor protection violation | 2008 | FINRA | $200,000 |
Bear, Stearns & Co., Inc. | JPMorgan Chase | investor protection violation | 2008 | FINRA | $150,000 |
BMO Capital Markets Corp. | Bank of Montreal | investor protection violation | 2008 | FINRA | $150,000 |
Cowen and Company, LLC | Toronto-Dominion Bank | investor protection violation | 2008 | FINRA | $150,000 |
Deutsche Bank Securities, Inc., | Deutsche Bank | investor protection violation | 2008 | FINRA | $150,000 |
RBC Capital Markets Corp. | Royal Bank of Canada | investor protection violation | 2008 | FINRA | $150,000 |
Friedman, Billings, Ramsey & Co., Inc. | Arlington Asset Investment Corp. | investor protection violation | 2008 | FINRA | $50,000 |
Piper Jaffray & Co. | Piper Sandler | investor protection violation | 2008 | FINRA | $100,000 |
COUNTRYWIDE FINANCIAL CORPORATION, | Bank of America | wage and hour violation | 2008 | CA-LCO | $5,164 |
IFCO SYSTEMS NORTH AMERICA INC | Triton Investments Advisers | workplace safety or health violation | 2008 | OSHA | $5,400 |
IMPERIAL SUGAR COMPANY; IMPERIAL-SAVANNAH, L.P. | Louis Dreyfus | workplace safety or health violation | 2008 | OSHA | $4,050,000 |
IMPERIAL SUGAR COMPANY; IMPERIAL-SAVANNAH, L.P.: I | Louis Dreyfus | workplace safety or health violation | 2008 | OSHA | $2,000,000 |
SYNAGRO A RESIDUALS MANAGEMENT COMPANY | Goldman Sachs | workplace safety or health violation | 2008 | OSHA | $13,000 |
INTERNATIONAL AUTOMOTIVE COMPONENTS GROUP N.A. INC | Invesco | workplace safety or health violation | 2008 | OSHA | $59,000 |
IFCO SYSTEMS | Triton Investments Advisers | workplace safety or health violation | 2008 | OSHA | $18,500 |
IFCO SYSTEMS | Triton Investments Advisers | workplace safety or health violation | 2008 | OSHA | $7,500 |
SYNAGRO TECHNOLOGIES INC. | Goldman Sachs | workplace safety or health violation | 2008 | OSHA | $10,000 |
Merrill Lynch Investment Managers, LLC and Merrill Lynch Alternative Investments, LLC | Bank of America | data submission deficiencies | 2007 | CFTC | $500,000 |
Interactive Brokers LLC | Interactive Brokers Group | investor protection violation | 2007 | CFTC | $175,000 |
GOODRICH AVIATION TECHNICAL SERVICES INC | Macquarie | aviation safety violation | 2007 | FAA | $7,000 |
Cleco Power, LLC | Macquarie | energy market violation | 2007 | FERC | $2,000,000 |
Capital City Bank | Capital City Bank Group | banking violation | 2007 | FED | $85,045 |
Hanmi Bank | Hanmi Financial Corp. | banking violation | 2007 | FED | $8,835 |
East West Bank | East West Bancorp | banking violation | 2007 | FED | $16,245 |
Mellon Bank, N.A. | Bank of New York Mellon | False Claims Act and related | 2007 | DOJ_CIVIL | $16,500,000 |
Compass Bank | PNC Financial Services | discriminatory practices (non-employment) | 2007 | DOJ_RIGHTS | $1,750,000 |
Union Bank of California, N.A. | U.S. Bancorp | anti-money-laundering deficiencies | 2007 | DOJ_CRIMINAL | $21,600,000 |
American Express Bank International | American Express | anti-money-laundering deficiencies | 2007 | DOJ_CRIMINAL | $55,000,000 |
BB&T | Truist Financial | economic sanction violation | 2007 | OFAC | $10,000 |
American Express Travel Related Services Co., Inc. | American Express | economic sanction violation | 2007 | OFAC | $16,625 |
National Australia Bank Ltd. | National Australia Bank | economic sanction violation | 2007 | OFAC | $100,000 |
Wachovia Bank | Wells Fargo | economic sanction violation | 2007 | OFAC | $11,000 |
Associated Bank, National Association | Associated Banc-Corp | banking violation | 2007 | OCC | $125,000 |
Keybank National Association | KeyCorp | banking violation | 2007 | OCC | $27,750 |
First Tennessee Bank National Association | First Horizon National | banking violation | 2007 | OCC | $125,000 |
Lasalle Bank MidWest National Association | Bank of America | banking violation | 2007 | OCC | $125,000 |
Lasalle Bank National Association | Bank of America | banking violation | 2007 | OCC | $79,524 |
Federal Home Loan Mortgage Corporation (Freddie Mac) | Freddie Mac (Federal Home Loan Mortgage Corporation) | investor protection violation | 2007 | SEC | $50,000,000 |
Evergreen Investment Management Company | Wells Fargo | investor protection violation | 2007 | SEC | $32,500,000 |