Zurich American Insurance Company | Zurich Insurance | insurance violation | 2023 | TX-INS | $18,000 |
Ace American Insurance Company | Chubb Limited | insurance violation | 2023 | TX-INS | $17,500 |
American Zurich Insurance Company | Zurich Insurance | insurance violation | 2024 | TX-INS | $17,000 |
Ace American Insurance Company | Chubb Limited | insurance violation | 2024 | TX-INS | $17,000 |
Safety National Casualty Corporation | Tokio Marine | insurance violation | 2023 | TX-INS | $17,000 |
New Hampshire Insurance Company | American International Group | insurance violation | 2023 | TX-INS | $17,000 |
Travelers Property Casualty Company of America | Travelers | insurance violation | 2023 | TX-INS | $15,000 |
Everest Premier Insurance Company | Everest Re Group | insurance violation | 2023 | TX-INS | $13,500 |
AIU Insurance Company | American International Group | insurance violation | 2023 | TX-INS | $12,500 |
Phoenix Insurance Company | Travelers | insurance violation | 2023 | TX-INS | $12,500 |
American Zurich Insurance Company | Zurich Insurance | insurance violation | 2023 | TX-INS | $12,000 |
Hartford Underwriters Insurance Company | Hartford Financial Services | insurance violation | 2023 | TX-INS | $11,000 |
T.H.E. Insurance Company | AXA | insurance violation | 2024 | TX-INS | $10,000 |
Old Republic Insurance Company | Old Republic International | insurance violation | 2023 | TX-INS | $10,000 |
AIG Property Casualty Company | American International Group | insurance violation | 2023 | TX-INS | $9,000 |
John Hancock Life Insurance Company (U.S.A.) | Manulife Financial | insurance violation | 2023 | VA-INS | $8,800 |
Liberty Mutual Personal Insurance Company | Liberty Mutual Insurance | insurance violation | 2024 | MD-INS | $8,500 |
AIU Insurance Company | American International Group | insurance violation | 2024 | TX-INS | $8,000 |
American Zurich Insurance Company | Zurich Insurance | insurance violation | 2023 | TX-INS | $7,500 |
Ace American Insurance Company | Chubb Limited | insurance violation | 2024 | TX-INS | $6,200 |
Ace American Insurance Company | Chubb Limited | insurance violation | 2023 | TX-INS | $6,000 |
Farmers Insurance Exchange | Farmers Insurance Exchange | insurance violation | 2024 | MD-INS | $5,000 |
Allstate Indemnity Company | Allstate | insurance violation | 2024 | MD-INS | $5,000 |
Acadia Insurance Company | W.R. Berkley | insurance violation | 2024 | TX-INS | $5,000 |
QBE Insurance Corporation | QBE Insurance | insurance violation | 2023 | TX-INS | $5,000 |
United Wisconsin Insurance Co. | AF Group | insurance violation | 2023 | TX-INS | $5,000 |
AMERITAS LIFE INSURANCE CORP | Ameritas Mutual Holding Company | insurance violation | 2024 | WA-INS | $5,000 |
STANDARD INSURANCE COMPANY | Meiji Yasuda Life Insurance | insurance violation | 2024 | WA-INS | $5,000 |
SUN LIFE ASSURANCE COMPANY OF CANADA | Sun Life Financial | insurance violation | 2024 | WA-INS | $5,000 |
Barclays Capital Inc. | Barclays | investor protection violation | 2016 | SEC | $35,000,000 |
Credit Suisse Securities (USA) LLC | UBS | investor protection violation | 2016 | SEC | $54,300,000 |
Goldman Sachs & Co. | Goldman Sachs | investor protection violation | 2016 | SEC | $15,000,000 |
J.P. Morgan Securities LLC | JPMorgan Chase | investor protection violation | 2016 | SEC | $4,000,000 |
Morgan Stanley Investment Management | Morgan Stanley | investor protection violation | 2015 | SEC | $8,800,000 |
J.P. Morgan Securities LLC and JPMorgan Chase Bank N.A. | JPMorgan Chase | investor protection violation | 2015 | SEC | $267,000,000 |
ICBC Standard Bank Plc | Industrial and Commercial Bank of China | investor protection violation | 2015 | SEC | $4,200,000 |
UBS Willow Management LLC and UBS Fund Advisor LLC | UBS | investor protection violation | 2015 | SEC | $17,500,000 |
UBS AG | UBS | investor protection violation | 2015 | SEC | $19,500,000 |
UBS Financial Services Inc. of Puerto Rico | UBS | investor protection violation | 2015 | SEC | $15,000,000 |
Citigroup Global Markets | Citigroup | investor protection violation | 2015 | SEC | $15,000,000 |
Citigroup Global Markets Inc. and Citigroup Alternative Investments LLC | Citigroup | investor protection violation | 2015 | SEC | $180,000,000 |
Edward D. Jones & Co. LP | Jones Financial | investor protection violation | 2015 | SEC | $20,000,000 |
Goldman Sachs & Co. | Goldman Sachs | investor protection violation | 2015 | SEC | $7,000,000 |
Merrill Lynch | Bank of America | investor protection violation | 2015 | SEC | $10,900,000 |
Deutsche Bank AG | Deutsche Bank | investor protection violation | 2015 | SEC | $55,000,000 |
BlackRock Advisors LLC | BlackRock | investor protection violation | 2015 | SEC | $12,000,000 |
UBS Securities LLC | UBS | investor protection violation | 2015 | SEC | $14,400,000 |
Morgan Stanley & Co. LLC | Morgan Stanley | investor protection violation | 2014 | SEC | $4,000,000 |
HSBC Private Bank (Suisse) | HSBC | investor protection violation | 2014 | SEC | $12,500,000 |
Bank of America Corporation | Bank of America | investor protection violation | 2014 | SEC | $7,650,000 |
Barclays Capital Inc. | Barclays | investor protection violation | 2014 | SEC | $15,000,000 |
Wells Fargo Advisors LLC | Wells Fargo | investor protection violation | 2014 | SEC | $5,000,000 |
Credit Suisse Group AG | UBS | investor protection violation | 2014 | SEC | $196,000,000 |
Massachusetts Mutual Life Insurance Company | Massachusetts Mutual Life Insurance | investor protection violation | 2012 | SEC | $1,625,000 |
Mizuho Financial Group | Mizuho Financial | investor protection violation | 2012 | SEC | $127,500,000 |
OppenheimerFunds Inc. | Invesco | investor protection violation | 2012 | SEC | $35,000,000 |
UBS Financial Services Inc. of Puerto Rico | UBS | investor protection violation | 2012 | SEC | $26,600,000 |
Goldman Sachs & Co. | Goldman Sachs | investor protection violation | 2012 | SEC | $22,000,000 |
UBS Global Asset Management | UBS | investor protection violation | 2012 | SEC | $300,000 |
Morgan Stanley Investment Management | Morgan Stanley | investor protection violation | 2011 | SEC | $3,300,000 |
UBS Securities LLC | UBS | investor protection violation | 2011 | SEC | $8,000,000 |
RBC Capital Markets LLC | Royal Bank of Canada | investor protection violation | 2011 | SEC | $30,400,000 |
Janney Montgomery Scott LLC | Penn Mutual | investor protection violation | 2011 | SEC | $850,000 |
TD Ameritrade Inc. | Charles Schwab Corp. | investor protection violation | 2011 | SEC | $10,000,000 |
Charles Schwab Investment Management and Charles Schwab & Co., Inc. | Charles Schwab Corp. | investor protection violation | 2011 | SEC | $118,000,000 |
Bank of America | Bank of America | investor protection violation | 2010 | SEC | $150,000,000 |
Credit Suisse | UBS | investor protection violation | 2016 | CFTC | $665,000 |
BNP Paribas Securities | BNP Paribas | investor protection violation | 2015 | CFTC | $140,000 |
Morgan Stanley | Morgan Stanley | investor protection violation | 2015 | CFTC | $300,000 |
Royal Bank of Canada | Royal Bank of Canada | investor protection violation | 2014 | CFTC | $35,000,000 |
Morgan Stanley Smith Barney | Morgan Stanley | investor protection violation | 2014 | CFTC | $280,000 |
Merrill Lynch | Bank of America | investor protection violation | 2014 | CFTC | $1,200,000 |
Morgan Stanley Smith Barney | Morgan Stanley | investor protection violation | 2014 | CFTC | $490,000 |
Morgan Stanley Capital Group | Morgan Stanley | investor protection violation | 2014 | CFTC | $200,000 |
JPMorgan Chase | JPMorgan Chase | investor protection violation | 2013 | CFTC | $100,000,000 |
ABN AMRO Clearing Chicago LLC | ABN AMRO | investor protection violation | 2013 | CFTC | $1,000,000 |
Goldman Sachs | Goldman Sachs | investor protection violation | 2012 | CFTC | $1,500,000 |
Morgan Stanley Smith Barney | Morgan Stanley | investor protection violation | 2012 | CFTC | $200,000 |
JPMorgan Chase Bank | JPMorgan Chase | investor protection violation | 2012 | CFTC | $600,000 |
Citigroup | Citigroup | investor protection violation | 2012 | CFTC | $525,000 |
Morgan Stanley | Morgan Stanley | investor protection violation | 2012 | CFTC | $5,000,000 |
Goldman Sachs Execution & Clearing LP | Goldman Sachs | investor protection violation | 2012 | CFTC | $7,000,000 |
J.P. Morgan Securities LLC | JPMorgan Chase | investor protection violation | 2012 | CFTC | $140,000 |
BlackRock Institutional Trust Company NA | BlackRock | investor protection violation | 2012 | CFTC | $250,000 |
Merrill Lynch | Bank of America | investor protection violation | 2011 | CFTC | $350,000 |
State Street Bank and Trust Company | State Street Corp. | investor protection violation | 2016 | SEC | $382,400,000 |
Merrill Lynch | Bank of America | investor protection violation | 2016 | SEC | $10,000,000 |
Merrill Lynch | Bank of America | investor protection violation | 2016 | SEC | $415,000,000 |
Morgan Stanley Smith Barney LLC | Morgan Stanley | investor protection violation | 2016 | SEC | $1,000,000 |
J.P. Morgan Investment Management Inc. | JPMorgan Chase | investor protection violation | 2015 | SEC | $1,084,210 |
Omega Advisors, Inc. | Omega Advisors | investor protection violation | 2015 | SEC | $134,026 |
Guggenheim Partners Investment Management LLC | Guggenheim Partners | investor protection violation | 2015 | SEC | $20,000,000 |
BMO Capital Markets GKST Inc. | Piper Sandler | investor protection violation | 2015 | SEC | $250,000 |
BNY Mellon Capital Markets, LLC | Bank of New York Mellon | investor protection violation | 2015 | SEC | $120,000 |
Citigroup Global Markets Inc. | Citigroup | investor protection violation | 2015 | SEC | $500,000 |
Goldman, Sachs & Co. | Goldman Sachs | investor protection violation | 2015 | SEC | $500,000 |
Hutchinson, Shockey, Erley & Co. | Huntington Bancshares | investor protection violation | 2015 | SEC | $220,000 |
J.P. Morgan Securities LLC | JPMorgan Chase | investor protection violation | 2015 | SEC | $500,000 |
Merrill Lynch, Pierce, Fenner & Smith Incorporated | Bank of America | investor protection violation | 2015 | SEC | $500,000 |
Morgan Stanley & Co. LLC | Morgan Stanley | investor protection violation | 2015 | SEC | $500,000 |
The Northern Trust Company | Northern Trust | investor protection violation | 2015 | SEC | $60,000 |