Dain Rauscher Incorporated |
Royal Bank of Canada |
investor protection violation |
2000 |
SEC |
$12,941,191 |
Goldman, Sachs & Co. |
Goldman Sachs |
investor protection violation |
2000 |
SEC |
$5,200,000 |
Lehman Brothers Inc. |
Lehman Brothers |
investor protection violation |
2000 |
SEC |
$4,950,000 |
Merrill Lynch, Pierce, Fenner & Smith Incorporated |
Bank of America |
investor protection violation |
2000 |
SEC |
$5,000,000 |
Morgan Stanley & Co. Incorporated |
Morgan Stanley |
investor protection violation |
2000 |
SEC |
$2,500,000 |
PaineWebber Incorporated |
UBS |
investor protection violation |
2000 |
SEC |
$26,200,000 |
Prudential Securities Incorporated |
Wells Fargo |
investor protection violation |
2000 |
SEC |
$5,880,000 |
Salomon Smith Barney Inc. |
Morgan Stanley |
investor protection violation |
2000 |
SEC |
$45,000,000 |
Warburg Dillon Read LLC |
UBS |
investor protection violation |
2000 |
SEC |
$6,680,000 |
Josephthal & Co. |
Oppenheimer Holdings |
employment discrimination |
2000 |
EEOC |
$330,000 |
Mortgage One Corporation |
HSBC |
wage and hour violation |
2000 |
WHD |
$18,912 |
First Union Bank |
Wells Fargo |
labor relations violation |
2000 |
NLRB |
$9,116 |
Fifth Third Bank |
Fifth Third Bancorp |
employment discrimination |
2000 |
OFCCP |
$440,000 |
Wachovia National Bank, N.A. |
Wells Fargo |
benefit plan administrator violation |
2000 |
EBSA |
$30,000,000 |
Liberty Mutual Insurance |
Liberty Mutual Insurance |
employment discrimination |
2000 |
private lawsuit-state |
$348,111 |
LOUIS DREYFUS CITRUS, INC. |
Louis Dreyfus |
environmental violation |
2000 |
EPA |
$14,150 |
WHEELABRATOR GLOU CO LP (SES GLOUCESTER) |
Macquarie |
environmental violation |
2000 |
EPA |
$10,000 |
WHEELABRATOR GLOU CO LP (SES GLOUCESTER) |
Macquarie |
environmental violation |
2000 |
EPA |
$11,600 |
LOUIS DREYFUS BEAUMONT GRAIN ELEVATOR |
Louis Dreyfus |
environmental violation |
2000 |
EPA |
$7,500 |
First Union Securities, Inc. |
Wells Fargo |
investor protection violation |
2000 |
SEC |
$408,931 |
Dean Witter Reynolds Inc. |
Morgan Stanley |
investor protection violation |
2000 |
SEC |
$476,702 |
Fahnestock & Co., Inc. |
Oppenheimer Holdings |
investor protection violation |
2000 |
SEC |
$20,000 |
Janney Montgomery Scott LLC |
Penn Mutual |
investor protection violation |
2000 |
SEC |
$100,000 |
Dreyfus Corporation |
Bank of New York Mellon |
investor protection violation |
2000 |
SEC |
$950,000 |
American Express Publishing Corporation |
American Express |
consumer protection violation |
2000 |
MULTI-AG |
$200,000 |
Dreyfus Corporation |
Bank of New York Mellon |
investor protection violation |
2000 |
NY-AG |
$2,000,000 |
Metropolitan Life Insurance Co. |
MetLife |
consumer protection violation |
2000 |
MA-AG |
$1,200,000 |
Metropolitan Property and Casualty Insurance Co. |
MetLife |
consumer protection violation |
2000 |
MA-AG |
$1,840,000 |
MONY Life Insurance Co. |
Equitable Holdings |
consumer protection violation |
2000 |
CT-AG |
$250,000 |
Providian Financial Corp. |
JPMorgan Chase |
consumer protection violation |
2000 |
CA-AG |
$305,500,000 |
Providian Financial Corp. |
JPMorgan Chase |
consumer protection violation |
2000 |
CT-AG |
$1,600,000 |
State Farm |
State Farm Insurance |
consumer protection violation |
2000 |
TX-AG |
$3,100,000 |
Union Security Life Insurance Co |
Assurant |
consumer protection violation |
2000 |
MA-AG |
$1,000,000 |
US Bank |
U.S. Bancorp |
privacy violation |
2000 |
MULTI-AG |
$2,000,000 |
American Express Financial Advisors |
Ameriprise Financial |
investor protection violation |
2000 |
AZ-SEC |
$125,000 |
Stewart Title Guaranty Co. |
Stewart Information Services |
insurance violation |
2000 |
CO-INS |
$25,000 |
Commonwealth Land Title Insurance Co. |
Fidelity National Financial |
insurance violation |
2000 |
CO-INS |
$20,750 |
Group Hospitalization and Medical Services, Inc. |
CareFirst of Maryland |
insurance violation |
2000 |
DC-DISB |
$10,000 |
American Heritage Life Insurance Co. |
Allstate |
insurance violation |
2000 |
FL-OFR |
$12,750 |
Protective Life Insurance Co. |
Dai-ichi Life |
insurance violation |
2000 |
FL-OFR |
$8,750 |
Conseco Senior Health Insurance Co. |
CNO Financial |
insurance violation |
2000 |
FL-OFR |
$5,500 |
Allianz Life Insurance Company of North America |
Allianz |
insurance violation |
2000 |
FL-OFR |
$14,000 |
Conseco Life Insurance Co. |
CNO Financial |
insurance violation |
2000 |
FL-OFR |
$5,625 |
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 |
Scottsdale Insurance Company |
Nationwide |
insurance violation |
2000 |
MA-INS |
$26,208 |
National Casualty Company |
Nationwide |
insurance violation |
2000 |
MA-INS |
$6,500 |
Philadelphia Indemnity Insurance Company |
Tokio Marine |
insurance violation |
2000 |
MA-INS |
$7,040 |
United of Omaha Life Insurance Co. |
Mutual of Omaha |
insurance violation |
2000 |
ME-INS |
$6,000 |
Indiana Insurance Co. |
Liberty Mutual Insurance |
insurance violation |
2000 |
MN-FIN |
$25,000 |
Auto-Owners Insurance Co. |
Auto-Owners Insurance |
insurance violation |
2000 |
MN-FIN |
$15,000 |
Provident Life and Accident Insurance Co. |
Unum |
insurance violation |
2000 |
NC-INS |
$80,000 |
Guardian Life Insurance Company of America |
Guardian Life Insurance |
insurance violation |
2000 |
NY-DFS |
$250,000 |
Nationwide Mutual Insurance Company |
Nationwide |
insurance violation |
2000 |
OR-FIN |
$10,000 |
Merrill Lynch Life Insurance Company |
Bank of America |
insurance violation |
2000 |
SC-INS |
$5,000 |
Standard Fire Insurance Company |
Travelers |
insurance violation |
2000 |
SC-INS |
$10,000 |
Mid-Century Insurance Co. of Texas |
Zurich Insurance |
insurance violation |
2000 |
TX-INS |
$11,000,000 |
American Express Financial Advisors Inc. |
Ameriprise Financial |
investor protection violation |
2000 |
TX-SEC |
$9,000 |
Principal Life Insurance Co. |
Principal Financial |
insurance violation |
2000 |
WA-INS |
$100,000 |
Gerber Life Insurance Co. |
Western & Southern Financial Group |
insurance violation |
2000 |
WA-INS |
$350,000 |
AIG Warranty Guard, Inc. |
American International Group |
insurance violation |
2000 |
WI-INS |
$100,000 |
National Union Fire Insurance Company of Pittsburgh, PA |
American International Group |
insurance violation |
2000 |
WI-INS |
$15,000 |
American General |
American International Group |
insurance violation |
2000 |
MULTI-FIN |
$7,500,000 |
WHEELABRATOR SHASTA ENERGY CO. |
Macquarie |
workplace safety or health violation |
2000 |
OSHA |
$10,275 |
DEPOSITORY TRUST & CLEARING CORP. |
Depository Trust |
workplace safety or health violation |
2000 |
OSHA |
$13,000 |
Canyon Fuel Company LLC |
Trafigura |
workplace safety or health violation |
2000 |
MSHA |
$5,200 |
American General Life Insurance |
American International Group |
discriminatory practices (non-employment) |
2000 |
private lawsuit-federal |
$214,000,000 |
Republic New York Securities Corporation |
HSBC |
investor protection violation |
2001 |
CFTC |
$5,000,000 |
U.S. Trust Corporation |
Bank of America |
banking violation |
2001 |
FED |
$5,000,000 |
Salomon Smith Barney |
Morgan Stanley |
employment discrimination |
2001 |
EEOC |
$635,000 |
CNG FINANCIAL CORPORATION |
CNG Financial |
labor relations violation |
2001 |
NLRB |
$6,000 |
Republic New York Securities |
HSBC |
fraud |
2001 |
USAO |
$569,000,000 |
Bank of America |
Bank of America |
wage and hour violation |
2001 |
private lawsuit-state |
$22,000,000 |
Farmers Insurance Exchange |
Farmers Insurance Exchange |
wage and hour violation |
2001 |
private lawsuit-state |
$90,009,208 |
WHEELABRATOR GLOU CO LP (SES GLOUCESTER) |
Macquarie |
environmental violation |
2001 |
EPA |
$11,200 |
WHEELABRATOR GLOU CO LP (SES GLOUCESTER) |
Macquarie |
environmental violation |
2001 |
EPA |
$10,400 |
CORPUS CHRISTI ALUMINA |
Glencore |
environmental violation |
2001 |
EPA |
$206,060 |
CORPUS CHRISTI ALUMINA |
Glencore |
environmental violation |
2001 |
EPA |
$206,060 |
CANYON FUEL CO., LLC - SKYLINE (Permit UT0023540) Cwa Penalty Ao |
Trafigura |
environmental violation |
2001 |
EPA |
$5,501 |
Western Asset Management Co. |
Franklin Resources |
investor protection violation |
2001 |
SEC |
$50,000 |
Legg Mason Fund Adviser, Inc. |
Franklin Resources |
investor protection violation |
2001 |
SEC |
$50,000 |
ABN AMRO Incorporated |
ABN AMRO |
investor protection violation |
2001 |
SEC |
$200,000 |
Legg Mason Wood Walker, Incorporated |
Franklin Resources |
investor protection violation |
2001 |
SEC |
$50,000 |
Prudential Securities Incorporated |
Wells Fargo |
investor protection violation |
2001 |
SEC |
$800,000 |
Bank of America |
Bank of America |
False Claims Act and related |
2001 |
AK-AG |
$35,600,000 |
Farmers Insurance Group |
Zurich Insurance |
discriminatory practices (non-employment) |
2001 |
OH-AG |
$4,300,000 |
FleetBoston Financial Corporation |
Bank of America |
privacy violation |
2001 |
NY-AG |
$100,000 |
H&R Block Financial Advisors |
H&R Block |
privacy violation |
2001 |
MO-AG |
$15,000 |
Progressive Insurance Company of Ohio |
Progressive |
consumer protection violation |
2001 |
IA-AG |
$127,500 |
Janney Montgomery Scott, Inc. |
Penn Mutual |
investor protection violation |
2001 |
DE-SEC |
$210,909 |
COMMERCE AND INDUSTRY INSURANCE COMPANY |
American International Group |
insurance violation |
2001 |
FL-OFR |
$11,500 |
EMPLOYERS INSURANCE OF WAUSAU, A MUTUAL COMPANY |
Liberty Mutual Insurance |
insurance violation |
2001 |
FL-OFR |
$23,075 |
GREAT AMERICAN ALLIANCE INSURANCE COMPANY |
American Financial Group |
insurance violation |
2001 |
FL-OFR |
$5,500 |
GREAT AMERICAN ASSURANCE COMPANY |
American Financial Group |
insurance violation |
2001 |
FL-OFR |
$12,500 |
STANDARD GUARANTY INSURANCE COMPANY |
Assurant |
insurance violation |
2001 |
FL-OFR |
$6,000 |
T.H.E. INSURANCE COMPANY |
AXA |
insurance violation |
2001 |
FL-OFR |
$15,000 |
WAUSAU BUSINESS INSURANCE COMPANY |
Liberty Mutual Insurance |
insurance violation |
2001 |
FL-OFR |
$14,625 |
WAUSAU UNDERWRITERS INSURANCE COMPANY |
Liberty Mutual Insurance |
insurance violation |
2001 |
FL-OFR |
$26,325 |
ZENITH INSURANCE COMPANY |
Fairfax Financial Holdings |
insurance violation |
2001 |
FL-OFR |
$6,850 |
Conseco Senior Health Insurance Co. |
CNO Financial |
insurance violation |
2001 |
FL-OFR |
$22,500 |