| Carolina Coastal Railway | 3i Infrastructure PLC | railroad safety violation | 2012 | FRA | $5,000 |
| Nyrstar Clarksville, Inc. | Trafigura | railroad safety violation | 2010 | FRA | $5,000 |
| Peter Cremer Company | Cremer | railroad safety violation | 2011 | FRA | $5,000 |
| GOODRICH AVIATION TECHNICAL SERVICES INC | Macquarie | aviation safety violation | 2005 | FAA | $5,000 |
| UBS (USA) Inc | UBS | economic sanction violation | 2003 | OFAC | $5,000 |
| TD Banknorth | Toronto-Dominion Bank | labor relations violation | 2006 | NLRB | $5,000 |
| CINCINNATI BELL TELEPHONE A DIVISION OF BROADWING | Macquarie | labor relations violation | 2005 | NLRB | $5,000 |
| NEOVIA LOGISTICS | Goldman Sachs | aviation safety violation | 2015 | FAA | $5,000 |
| East Penn Railroad LLC | 3i Infrastructure PLC | railroad safety violation | 2017 | FRA | $5,000 |
| Buckeye Partners | IFM Investors | railroad safety violation | 2018 | FRA | $5,000 |
| Bankers Life and Casualty Company | CNO Financial | privacy violation | 2002 | KY-AG | $5,000 |
| Discover Financial Services, Inc./Millenium Teleservices, Inc. | Discover Financial Services | privacy violation | 2002 | KY-AG | $5,000 |
| HealthNow New York | Highmark Inc. | consumer protection violation | 2005 | NY-AG | $5,000 |
| PNC Bank | PNC Financial Services | privacy violation | 2002 | KY-AG | $5,000 |
| Aon Risk Services Inc. of Washington | Aon | insurance violation | 2002 | AK-INS | $5,000 |
| Farmers Insurance Exchange et al. | Farmers Insurance Exchange | insurance violation | 2013 | AR-INS | $5,000 |
| Prospect Mortgage, LLC | Homebridge Financial Services | consumer protection violation | 2011 | AR-SEC | $5,000 |
| Solium Financial Services LLC | Morgan Stanley | investor protection violation | 2019 | AR-SEC | $5,000 |
| Accident Fund Insurance Company of America | AF Group | insurance violation | 2012 | AZ-DIFI | $5,000 |
| Oscar Health Plan of California | Oscar Health Inc. | insurance violation | 2019 | CA-MHC | $5,000 |
| Oscar Health Plan of California | Oscar Health Inc. | insurance violation | 2019 | CA-MHC | $5,000 |
| Auto-Owners Insurance Co. | Auto-Owners Insurance | insurance violation | 2007 | CO-INS | $5,000 |
| ING USA Annuity and Life Insurance Co. | Voya Financial | insurance violation | 2007 | CO-INS | $5,000 |
| Prosper Marketplace, Inc. | Prosper Marketplace | investor protection violation | 2010 | CT-SEC | $5,000 |
| Ameritas Life Insurance Corp. | Ameritas Mutual Holding Company | insurance violation | 2019 | CT-INS | $5,000 |
| J.P. Morgan Securities LLC | JPMorgan Chase | investor protection violation | 2018 | DC-DISB | $5,000 |
| New York Life Insurance and Annuity Corp. | New York Life Insurance | insurance violation | 2018 | DE-INS | $5,000 |
| AXA Equitable Life Insurance Co. | Equitable Holdings | insurance violation | 2018 | DE-INS | $5,000 |
| Illinois National Insurance Co. | American International Group | insurance violation | 2003 | FL-OFR | $5,000 |
| ProEquities, Inc. | Dai-ichi Life | investor protection violation | 2004 | FL-OFR | $5,000 |
| Scottsdale Insurance Co. | Nationwide | insurance violation | 2005 | FL-OFR | $5,000 |
| State Farm Florida Insurance Co. | State Farm Insurance | insurance violation | 2005 | FL-OFR | $5,000 |
| Travelers Casualty & Surety Company of America et al. | Travelers | insurance violation | 2011 | IA-INS | $5,000 |
| National Union Fire Insurance Company of Pittsburgh, Pa. | American International Group | insurance violation | 2009 | ID-INS | $5,000 |
| Time Insurance Co. | Haven Holdings | insurance violation | 2014 | ID-INS | $5,000 |
| Nationwide Life Insurance Co. | Nationwide | insurance violation | 2015 | ID-INS | $5,000 |
| Zurich American Insurance Co. | Zurich Insurance | insurance violation | 2015 | ID-INS | $5,000 |
| Transamerica Life Insurance Co. | Aegon | insurance violation | 2017 | ID-INS | $5,000 |
| Arch Insurance Co. | Arch Capital | insurance violation | 2019 | ID-INS | $5,000 |
| Janney Montgomery Scott LLC | Penn Mutual | investor protection violation | 2004 | IL-SEC | $5,000 |
| Victoria Fire & Casualty Co. | Nationwide | insurance violation | 2003 | IN-INS | $5,000 |
| Safeco Insurance Co. of America | Liberty Mutual Insurance | insurance violation | 2005 | IN-INS | $5,000 |
| Liberty Mutual Insurance Co. | Liberty Mutual Insurance | insurance violation | 2009 | IN-INS | $5,000 |
| Safeco Insurance Company of America | Liberty Mutual Insurance | insurance violation | 2010 | IN-INS | $5,000 |
| Mid-Century Insurance Co. | Zurich Insurance | insurance violation | 2012 | IN-INS | $5,000 |
| Liberty Mutual Insurance | Liberty Mutual Insurance | insurance violation | 2019 | IN-INS | $5,000 |
| United Services Automobile Association | USAA | insurance violation | 2001 | KS-INS | $5,000 |
| Metropolitan Property and Casualty Co. | Zurich Insurance | insurance violation | 2006 | KS-INS | $5,000 |
| St. Paul Fire & Marine Insurance Co. | Travelers | insurance violation | 2006 | KS-INS | $5,000 |
| Old Republic Insurance Co. | Old Republic International | insurance violation | 2009 | KS-INS | $5,000 |
| Progressive Direct Insurance Co. | Progressive | insurance violation | 2009 | KS-INS | $5,000 |
| Safeco Insurance Company of America | Liberty Mutual Insurance | insurance violation | 2012 | KS-INS | $5,000 |
| Seneca Insurance Co. | Fairfax Financial Holdings | insurance violation | 2014 | KS-INS | $5,000 |
| Mortgage Access Corp. dba Weichert Financial Services | Weichert Financial Services | consumer protection violation | 2009 | KY-FIN | $5,000 |
| PHH Mortgage Corp. | Ocwen Financial | consumer protection violation | 2011 | KY-FIN | $5,000 |
| Stonegate Mortgage Corp. | Home Point Capital | consumer protection violation | 2013 | KY-FIN | $5,000 |
| AmeriSave Mortgage Corp. | AmeriSave Mortgage | consumer protection violation | 2019 | KY-FIN | $5,000 |
| Progressive Paloverde Insurance Co. | Progressive | insurance violation | 2019 | LA-INS | $5,000 |
| American Modern Home Insurance Co. | Munich Re | insurance violation | 2010 | MD-INS | $5,000 |
| Travelers Casualty and Surety Company of America | Travelers | insurance violation | 2011 | MD-INS | $5,000 |
| Gerber Life Insurance Co. | Western & Southern Financial Group | insurance violation | 2011 | MD-INS | $5,000 |
| Transamerica Life Insurance Co. | Aegon | insurance violation | 2011 | MD-INS | $5,000 |
| United States Life Insurance Company In the City of New York | American International Group | insurance violation | 2011 | MD-INS | $5,000 |
| Metropolitan Life Insurance Co. | MetLife | insurance violation | 2012 | MD-INS | $5,000 |
| Peerless Indemnity Insurance Co. et al. | Liberty Mutual Insurance | insurance violation | 2013 | MD-INS | $5,000 |
| Allstate Indemnity Co. | Allstate | insurance violation | 2014 | MD-INS | $5,000 |
| Elephant Insurance Co. | Admiral Group | insurance violation | 2014 | MD-INS | $5,000 |
| USAA Casualty Insurance Co. et al. | USAA | insurance violation | 2014 | MD-INS | $5,000 |
| SAFECO Insurance Company of America et al. | Liberty Mutual Insurance | insurance violation | 2014 | MD-INS | $5,000 |
| Elephant Insurance Co. | Admiral Group | insurance violation | 2014 | MD-INS | $5,000 |
| Allstate Insurance Co. | Allstate | insurance violation | 2015 | MD-INS | $5,000 |
| Homesite Insurance Company of the Midwest | American Family Insurance | insurance violation | 2015 | MD-INS | $5,000 |
| Unitrin Direct Property & Casualty Co. et al. | Kemper | insurance violation | 2015 | MD-INS | $5,000 |
| American Automobile Insurance Co. | Allianz | insurance violation | 2015 | MD-INS | $5,000 |
| Fireman's Fund Insurance Co. | Allianz | insurance violation | 2015 | MD-INS | $5,000 |
| Erie Insurance Exchange | Erie Indemnity | insurance violation | 2016 | MD-INS | $5,000 |
| Chicago Title Insurance Co. | Fidelity National Financial | insurance violation | 2016 | MD-INS | $5,000 |
| Safety National Casualty Corp. | Tokio Marine | insurance violation | 2017 | MD-INS | $5,000 |
| Allied Property And Casualty Insurance Co. et al. | Nationwide | insurance violation | 2017 | MD-INS | $5,000 |
| Bankers Life & Casualty Co. | CNO Financial | insurance violation | 2003 | 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 | $5,000 |
| Hartford Fire Insurance Co. | Hartford Financial Services | insurance violation | 2007 | ME-INS | $5,000 |
| Hartford Accident and Indemnity Co. | Hartford Financial Services | insurance violation | 2007 | ME-INS | $5,000 |
| Hartford Casualty Insurance Co. | Hartford Financial Services | insurance violation | 2007 | ME-INS | $5,000 |
| Hartford Underwriters Insurance Co. | Hartford Financial Services | insurance violation | 2007 | ME-INS | $5,000 |
| Twin City Fire Insurance Co. | Hartford Financial Services | insurance violation | 2007 | ME-INS | $5,000 |
| Prosper Marketplace, Inc. | Prosper Marketplace | investor protection violation | 2011 | ME-SEC | $5,000 |
| Solium Financial Services, LLC | Morgan Stanley | investor protection violation | 2020 | ME-SEC | $5,000 |
| Fortis Insurance Co. and Fortis Benefits Insurance Co. | Assurant | insurance violation | 2001 | MN-FIN | $5,000 |
| American Express Financial Advisors, Inc. | Ameriprise Financial | investor protection violation | 2002 | MN-FIN | $5,000 |
| American Family Mutual Insurance Co. | American Family Insurance | insurance violation | 2002 | MN-FIN | $5,000 |
| Travelers Indemnity Co. | Travelers | insurance violation | 2002 | MN-FIN | $5,000 |
| Illinois Union Insurance Co. | Chubb Limited | insurance violation | 2002 | MN-FIN | $5,000 |
| Chubb Indemnity Insurance Co. | Chubb Limited | insurance violation | 2002 | MN-FIN | $5,000 |
| Auto-Owners Insurance Co. | Auto-Owners Insurance | insurance violation | 2003 | MN-FIN | $5,000 |
| Foremost Insurance Co. | Zurich Insurance | insurance violation | 2003 | MN-FIN | $5,000 |
| Conseco Senior Health Insurance Co. | CNO Financial | insurance violation | 2004 | MN-FIN | $5,000 |
| Conseco Health Insurance Co. | CNO Financial | insurance violation | 2004 | MN-FIN | $5,000 |
| Fortis Insurance Co. | Assurant | insurance violation | 2004 | MN-FIN | $5,000 |
| John Alden Life Insurance Co. | Assurant | insurance violation | 2004 | MN-FIN | $5,000 |
