HSBC North America Inc. |
HSBC |
wage and hour violation |
2006 |
WHD |
$11,489 |
HSBC North America Inc. |
HSBC |
wage and hour violation |
2006 |
WHD |
$12,685 |
HSBC North America Inc. |
HSBC |
wage and hour violation |
2006 |
WHD |
$8,273 |
AXA Equitable Life Insurance Company |
Equitable Holdings |
wage and hour violation |
2006 |
WHD |
$29,534 |
HSBC Bank |
HSBC |
wage and hour violation |
2006 |
WHD |
$7,599 |
Bank of America Corporation |
Bank of America |
wage and hour violation |
2006 |
WHD |
$265,774 |
Mercer HR Services, LLC |
Marsh & McLennan |
wage and hour violation |
2006 |
WHD |
$49,474 |
SunTrust Bank, Inc. |
Truist Financial |
wage and hour violation |
2006 |
WHD |
$350,875 |
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 |
Austin Mutual Insurance Company |
American Family Insurance |
wage and hour violation |
2006 |
WHD |
$16,245 |
Merrill Lynch, Pierce, Fenner & Smith, Inc. |
Bank of America |
wage and hour violation |
2006 |
WHD |
$7,060 |
Atlantic Credit and Finance, Inc. |
Encore Capital Group |
wage and hour violation |
2006 |
WHD |
$9,422 |
Brothers Property Corporation |
American Financial Group |
wage and hour violation |
2006 |
WHD |
$29,273 |
PNC Bank |
PNC Financial Services |
labor relations violation |
2006 |
NLRB |
$40,000 |
TD Banknorth |
Toronto-Dominion Bank |
labor relations violation |
2006 |
NLRB |
$5,000 |
J.P. Morgan Chase & Co. and Forum Temporary Services |
JPMorgan Chase |
labor relations violation |
2006 |
NLRB |
$60,760 |
Mercury Air Centers, Inc. |
Macquarie |
labor relations violation |
2006 |
NLRB |
$40,000 |
International Matex Tank Terminals |
Macquarie |
railroad safety violation |
2006 |
FRA |
$5,000 |
Citigroup |
Citigroup |
wage and hour violation |
2006 |
private lawsuit-federal |
$3,550,000 |
Morgan Stanley |
Morgan Stanley |
wage and hour violation |
2006 |
private lawsuit-federal |
$42,500,000 |
Bank of America |
Bank of America |
wage and hour violation |
2006 |
private lawsuit-federal |
$9,000,000 |
Merrill Lynch |
Bank of America |
wage and hour violation |
2006 |
private lawsuit-federal |
$37,000,000 |
Deutsche Bank Securities, Inc. |
Deutsche Bank |
investor protection violation |
2006 |
SEC |
$442,954 |
Deutsche Asset Management, Inc. and Deutsche Investment Management Americas, Inc. |
Deutsche Bank |
investor protection violation |
2006 |
SEC |
$17,200,000 |
Strong Capital Management, Inc. |
Wells Fargo |
investor protection violation |
2006 |
SEC |
$2,185,927 |
Deutsche Investment Management Americas, Inc. et al. |
Deutsche Bank |
investor protection violation |
2006 |
SEC |
$19,329,729 |
Waddell & Reed, Inc. |
Waddell & Reed Financial Inc. |
investor protection violation |
2006 |
SEC |
$50,000,000 |
Metropolitan Life Insurance Company |
MetLife |
investor protection violation |
2006 |
SEC |
$250,000 |
Morgan Keegan & Co., Inc. |
Raymond James Financial |
investor protection violation |
2006 |
SEC |
$558,806 |
Cincinnati Insurance Company |
Cincinnati Financial |
employment discrimination |
2006 |
private lawsuit-federal |
$537,500 |
New York Life Insurance |
New York Life Insurance |
employment discrimination |
2006 |
private lawsuit-federal |
$6,000,000 |
LOUIS DREYFUS CITRUS, INC. |
Louis Dreyfus |
environmental violation |
2006 |
EPA |
$7,200 |
Northern Trust |
Northern Trust |
benefit plan administrator violation |
2006 |
private lawsuit-federal |
$37,500,000 |
UBS Global Asset Management |
UBS |
benefit plan administrator violation |
2006 |
private lawsuit-federal |
$5,493,000 |
Nationwide Mutual Insurance Company |
Nationwide |
Fair Credit Reporting Act violation |
2006 |
private lawsuit-federal |
$19,250,000 |
ACE, Ltd |
Chubb Limited |
price-fixing or anti-competitive practices |
2006 |
MULTI-AG |
$80,000,000 |
American Bankers Insurance Co. |
Assurant |
consumer protection violation |
2006 |
MA-AG |
$20,000 |
American International Group |
American International Group |
price-fixing or anti-competitive practices |
2006 |
NY-AG |
(*) $1,619,000,000 |
American International Group, Inc. |
American International Group |
tax violations |
2006 |
MI-AG |
$5,279,484 |
Ameriquest Mortgage |
Citigroup |
consumer protection violation |
2006 |
MULTI-AG |
$325,000,000 |
Bank of America |
Bank of America |
discriminatory practices (non-employment) |
2006 |
MA-AG |
$50,000 |
BB&T Leasing Corporation |
Truist Financial |
consumer protection violation |
2006 |
MULTI-AG |
$6,000,000 |
Brown & Brown, Inc. |
Brown & Brown |
consumer protection violation |
2006 |
FL-AG |
$5,800,000 |
Chase Bank |
JPMorgan Chase |
consumer protection violation |
2006 |
MULTI-AG |
$3,850,000 |
Chubb |
Chubb Limited |
price-fixing or anti-competitive practices |
2006 |
MULTI-AG |
$17,000,000 |
Countrywide Home Loans, Inc., |
Bank of America |
consumer protection violation |
2006 |
NY-AG |
$3,200,000 |
Deutsche Bank AG |
Deutsche Bank |
investor protection violation |
2006 |
NY-AG |
(*) $208,000,000 |
ING |
Voya Financial |
investor protection violation |
2006 |
MULTI-AG |
$33,000,000 |
Metropolitan Life Insurance Company |
MetLife |
consumer protection violation |
2006 |
NY-AG |
$19,000,000 |
National City Commercial Capital Corporation |
PNC Financial Services |
consumer protection violation |
2006 |
NY-AG |
$817,700 |
PayPal, Inc. |
PayPal Holdings |
consumer protection violation |
2006 |
MULTI-AG |
$1,700,000 |
Prudential Equity Group |
Prudential Financial |
investor protection violation |
2006 |
MULTI-AG |
(*) $270,000,000 |
Prudential Equity Group |
Prudential Financial |
investor protection violation |
2006 |
NY-AG |
(*) $270,000,000 |
St. Paul Travelers |
Travelers |
price-fixing or anti-competitive practices |
2006 |
MULTI-AG |
$77,000,000 |
The Hartford Financial Services Group |
Hartford Financial Services |
investor protection violation |
2006 |
MULTI-AG |
$20,000,000 |
UBS Financial Services Inc. |
UBS |
investor protection violation |
2006 |
NJ-AG |
$24,750,000 |
UnumProvident Corporation |
Unum |
consumer protection violation |
2006 |
NY-AG |
$17,400,000 |
Wachovia Capital Markets LLC |
Wells Fargo |
investor protection violation |
2006 |
MULTI-AG |
$25,000,000 |
Waddell & Reed, Inc. |
Waddell & Reed Financial Inc. |
investor protection violation |
2006 |
NY-AG |
(*) $75,000,000 |
Zurich American Insurance Company |
Zurich Insurance |
price-fixing or anti-competitive practices |
2006 |
MULTI-AG |
$171,700,000 |
Zurich American Insurance Company |
Zurich Insurance |
price-fixing or anti-competitive practices |
2006 |
OH-AG |
$7,000,000 |
Mellon Bank N.A. |
Bank of New York Mellon |
False Claims Act and related |
2006 |
USAO |
$18,130,405 |
Bank of America Corp. |
Bank of America |
anti-money-laundering deficiencies |
2006 |
NY-MANDA |
$7,500,000 |
Zenith Insurance Co. |
Fairfax Financial Holdings |
employment discrimination |
2006 |
EEOC |
$180,000 |
Morgan Stanley DW Inc. |
Morgan Stanley |
investor protection violation |
2006 |
NY-AG |
$1,040,964 |
Seabury & Smith, Inc. |
Marsh & McLennan |
insurance violation |
2006 |
AK-INS |
$6,530 |
Titan Insurance Co. |
Nationwide |
insurance violation |
2006 |
AZ-INS |
$40,000 |
Ameriprise Financial Services, Inc. |
Ameriprise Financial |
investor protection violation |
2006 |
AZ-SEC |
$1,250,000 |
California Physicians' Service dba Blue Shield of California |
California Physicians' Service |
insurance violation |
2006 |
CA-MHC |
$5,000 |
California Physicians' Service dba Blue Shield of California |
California Physicians' Service |
insurance violation |
2006 |
CA-MHC |
$5,000 |
Farmers Insurance Exchange et al. |
Farmers Insurance Exchange |
insurance violation |
2006 |
CA-INS |
$1,000,000 |
Mercury Insurance Co. |
Mercury General Corporation |
insurance violation |
2006 |
CA-INS |
$9,000 |
Zurich American Insurance Co. |
Zurich Insurance |
insurance violation |
2006 |
CA-INS |
$15,000 |
Commonwealth Land Title Insurance Co. et al. |
Fidelity National Financial |
insurance violation |
2006 |
CA-INS |
$4,499,997 |
Amex Assurance Co. |
American Express |
insurance violation |
2006 |
CA-INS |
$170,000 |
Workmen's Auto Insurance Co. |
Mercury General Corporation |
insurance violation |
2006 |
CA-INS |
$100,000 |
California Physicians' Service dba Blue Shield of California |
California Physicians' Service |
insurance violation |
2006 |
CA-MHC |
$50,000 |
Mercury Insurance Group |
Mercury General Corporation |
insurance violation |
2006 |
CA-INS |
$300,000 |
California Physicians' Service dba Blue Shield of California |
California Physicians' Service |
insurance violation |
2006 |
CA-MHC |
$50,000 |
California Physicians' Service dba Blue Shield of California |
California Physicians' Service |
insurance violation |
2006 |
CA-MHC |
$7,500 |
California Physicians' Service dba Blue Shield of California |
California Physicians' Service |
insurance violation |
2006 |
CA-MHC |
$5,000 |
California Physicians' Service dba Blue Shield of California |
California Physicians' Service |
insurance violation |
2006 |
CA-MHC |
$7,500 |
The Prudential Insurance Company of America |
Prudential Financial |
insurance violation |
2006 |
CA-INS |
$700,000 |
UnumProvident Corp. et al. |
Unum |
insurance violation |
2006 |
CA-INS |
$700,000 |
Hartford Fire Insurance Co. et al. |
Hartford Financial Services |
insurance violation |
2006 |
CA-INS |
$125,000 |
Old Republic Insurance Co. |
Old Republic International |
insurance violation |
2006 |
CO-INS |
$6,000 |
Unitrin Auto and Home Insurance Co. |
Kemper |
insurance violation |
2006 |
CO-INS |
$7,500 |
American Family Mutual Insurance Co. |
American Family Insurance |
insurance violation |
2006 |
CO-INS |
$6,000 |
Farmers Insurance Exchange and Truck Insurance Exchange and Mid-Century Insurance Co. |
Farmers Insurance Exchange |
insurance violation |
2006 |
CO-INS |
$49,500 |
New England Life Insurance Co. |
Brighthouse Financial |
insurance violation |
2006 |
CO-INS |
$32,000 |
Allianz Life Insurance Company of North America |
Allianz |
insurance violation |
2006 |
CO-INS |
$34,800 |
Thomas Weisel Partners LLC |
Stifel Financial |
investor protection violation |
2006 |
CT-SEC |
$52,480 |
Merrill Lynch, Pierce, Fenner & Smith Inc. |
Bank of America |
investor protection violation |
2006 |
CT-SEC |
$3,500,000 |
American General Life and Accident Insurance Co. |
American International Group |
insurance violation |
2006 |
FL-OFR |
$1,568,324 |
Combined Insurance Company of America |
Chubb Limited |
insurance violation |
2006 |
FL-OFR |
$9,750 |
Pacific Life & Annuity Co. |
Pacific Life |
insurance violation |
2006 |
FL-OFR |
$38,000 |
National Union Fire Insurance Company of Pittsburgh, PA |
American International Group |
insurance violation |
2006 |
FL-OFR |
$12,100 |
Life Investors Insurance Company of America |
Aegon |
insurance violation |
2006 |
FL-OFR |
$53,000 |
Morgan Stanley DW Inc. |
Morgan Stanley |
investor protection violation |
2006 |
ID-SEC |
$415,000 |