Janney Montgomery Scott LLC |
Penn Mutual |
investor protection violation |
2005 |
CO-SEC |
$259,227 |
OppenheimerFunds Distributor, Inc. |
Invesco |
investor protection violation |
2007 |
CO-SEC |
$494,500 |
AllianceBernstein L.P. |
Equitable Holdings |
investor protection violation |
2013 |
CO-SEC |
$20,232 |
Solium Financial Services LLC |
Morgan Stanley |
investor protection violation |
2020 |
CO-SEC |
$69,338 |
American Express Centurion Bank |
American Express |
tax violations |
2012 |
CT-AG |
$14,970 |
Bank of America |
Bank of America |
privacy violation |
2009 |
CT-AG |
$350,000 |
Brown & Brown Insurance of Arizona, Inc. |
Brown & Brown |
tax violations |
2014 |
CT-AG |
$37,650 |
Citibank N.A. |
Citigroup |
privacy violation |
2013 |
CT-AG |
$55,000 |
Hartford Financial Services Group, Inc. |
Hartford Financial Services |
price-fixing or anti-competitive practices |
2009 |
CT-AG |
$1,300,000 |
Jackson National Life Insurance Co |
Prudential (UK) |
investor protection violation |
2008 |
CT-AG |
$484,000 |
John Hancock Assignment Co. |
Manulife Financial |
tax violations |
2014 |
CT-AG |
$38,910 |
Liberty Mutual Insurance Co. |
Liberty Mutual Insurance |
kickbacks and bribery |
2010 |
CT-AG |
$2,000,000 |
Marsh & McLennan Companies, Inc. |
Marsh & McLennan |
kickbacks and bribery |
2009 |
CT-AG |
$2,400,000 |
Metropolitan Life Insurance Co. |
MetLife |
privacy violation |
2012 |
CT-AG |
$10,000 |
MONY Life Insurance Co. |
Equitable Holdings |
consumer protection violation |
2000 |
CT-AG |
$250,000 |
Mutual of Omaha Insurance Co. |
Mutual of Omaha |
kickbacks and bribery |
2008 |
CT-AG |
$1,700,000 |
Pacific Resources Benefits Advisors, LLC |
Brown & Brown |
tax violations |
2014 |
CT-AG |
$5,400 |
Principal Financial Group |
Principal Financial |
kickbacks and bribery |
2007 |
CT-AG |
$5,000,000 |
Providian Financial Corp. |
JPMorgan Chase |
consumer protection violation |
2000 |
CT-AG |
$1,600,000 |
RBS Securities, Inc. |
Royal Bank of Scotland |
toxic securities abuses |
2016 |
CT-AG |
$120,000,000 |
Travelers Companies, Inc. |
Travelers |
consumer protection violation |
2018 |
CT-AG |
$5,000,000 |
United American Insurance Co. |
Globe Life Inc. |
consumer protection violation |
2003 |
CT-AG |
$45,000 |
United States Fidelity & Guaranty |
Travelers |
False Claims Act and related |
2007 |
CT-AG |
$17,500,000 |
Wells Fargo Bank |
Wells Fargo |
consumer protection violation |
2011 |
CT-AG |
$741,465 |
Freedom Mortgage Corp. |
Freedom Mortgage |
consumer protection violation |
2009 |
CT-BKG |
$43,000 |
PHH Mortgage Corp. dba Century Mortgage |
Ocwen Financial |
consumer protection violation |
2009 |
CT-BKG |
$6,000 |
Citigroup Global Markets Inc. |
Citigroup |
consumer protection violation |
2009 |
CT-BKG |
$75,000 |
Prospect Mortgage Company, LLC |
Homebridge Financial Services |
consumer protection violation |
2010 |
CT-BKG |
$33,000 |
PHH Mortgage Corp. dba Century Mortgage |
Ocwen Financial |
consumer protection violation |
2013 |
CT-BKG |
$29,000 |
CashCall, Inc. and Western Sky Financial L.L.C. |
CashCall Inc. |
payday lending violation |
2014 |
CT-BKG |
$400,000 |
Santander Consumer USA Inc. |
Banco Santander |
consumer protection violation |
2018 |
CT-BKG |
$100,000 |
Heartland Payment Systems, LLC dba HPS Heartland Payroll Solutions, Inc. |
Global Payments Inc. |
consumer protection violation |
2019 |
CT-BKG |
$12,450 |
Janney Montgomery Scott, LLC |
Penn Mutual |
investor protection violation |
2020 |
CT-BKG |
$150,000 |
Assurant Health |
Assurant |
insurance violation |
2008 |
CT-INS |
$2,100,000 |
Jackson National Life Insurance Co. |
Prudential (UK) |
insurance violation |
2008 |
CT-INS |
$483,000 |
Safeco |
Liberty Mutual Insurance |
insurance violation |
2009 |
CT-INS |
$434,000 |
Bankers Life & Casualty Co. |
CNO Financial |
insurance violation |
2009 |
CT-INS |
$100,000 |
Zurich Insurance Group |
Zurich Insurance |
insurance violation |
2010 |
CT-INS |
$235,000 |
Chicago Title Insurance Company, |
Fidelity National Financial |
insurance violation |
2010 |
CT-INS |
$62,000 |
Mid-Century Insurance Co. |
Zurich Insurance |
insurance violation |
2019 |
CT-INS |
$64,000 |
Massachusetts Mutual Life Insurance Company, Inc. |
Massachusetts Mutual Life Insurance |
insurance violation |
2019 |
CT-INS |
$61,000 |
Continental Western Insurance Co. |
W.R. Berkley |
insurance violation |
2019 |
CT-INS |
$23,000 |
Berkshire Life Insurance Company of America |
Guardian Life Insurance |
insurance violation |
2019 |
CT-INS |
$7,500 |
Ameritas Life Insurance Corp. |
Ameritas Mutual Holding Company |
insurance violation |
2019 |
CT-INS |
$5,000 |
AIG Property Casualty Co. |
American International Group |
insurance violation |
2019 |
CT-INS |
$120,000 |
Continental American Insurance Co. |
Aflac |
insurance violation |
2019 |
CT-INS |
$10,000 |
Nationwide Life and Annuity Insurance Co. |
Nationwide |
insurance violation |
2019 |
CT-INS |
$16,500 |
Hartford Casualty Insurance Co. |
Hartford Financial Services |
insurance violation |
2019 |
CT-INS |
$57,500 |
Hartford Accident and Indemnity Co. |
Hartford Financial Services |
insurance violation |
2019 |
CT-INS |
$43,000 |
Property Casualty Insurance Company of Hartford |
Hartford Financial Services |
insurance violation |
2019 |
CT-INS |
$14,000 |
Trumbull Insurance Co. |
Hartford Financial Services |
insurance violation |
2019 |
CT-INS |
$141,500 |
Sentinel Insurance Co. |
Hartford Financial Services |
insurance violation |
2019 |
CT-INS |
$84,000 |
Mutual of Omaha Insurance Co. |
Mutual of Omaha |
insurance violation |
2019 |
CT-INS |
$60,500 |
American Alternative Insurance Corp. |
Munich Re |
insurance violation |
2019 |
CT-INS |
$49,500 |
Lincoln Life & Annuity Company of New York |
Lincoln National |
insurance violation |
2019 |
CT-INS |
$7,500 |
The Lincoln National Life Insurance Co. |
Lincoln National |
insurance violation |
2019 |
CT-INS |
$65,000 |
Harleysville Insurance Co. |
Nationwide |
insurance violation |
2020 |
CT-INS |
$49,000 |
Allstate Indemnity Co. |
Allstate |
insurance violation |
2020 |
CT-INS |
$7,500 |
American Bankers Insurance Company of Florida |
Assurant |
insurance violation |
2020 |
CT-INS |
$198,000 |
Chicago Title Insurance Co. |
Fidelity National Financial |
insurance violation |
2020 |
CT-INS |
$28,000 |
American Family Life Assurance Company of Columbus |
Aflac |
insurance violation |
2020 |
CT-INS |
$8,500 |
National Union Fire Insurance Company of Pittsburgh, PA |
American International Group |
insurance violation |
2020 |
CT-INS |
$106,000 |
Nationwide Life Insurance Co. |
Nationwide |
insurance violation |
2020 |
CT-INS |
$10,000 |
Old Republic National Title Insurance Co. |
Old Republic International |
insurance violation |
2020 |
CT-INS |
$20,000 |
First American Title insurance Co. |
First American Financial |
insurance violation |
2020 |
CT-INS |
$40,000 |
Stewart Title Guaranty Co. |
Stewart Information Services |
insurance violation |
2020 |
CT-INS |
$47,000 |
Pacific Indemnity Co. |
Chubb Limited |
insurance violation |
2020 |
CT-INS |
$16,000 |
The Standard Insurance Co. |
Meiji Yasuda Life Insurance |
insurance violation |
2020 |
CT-INS |
$7,500 |
Minnesota Life Insurance Co. |
Securian Financial |
insurance violation |
2020 |
CT-INS |
$9,000 |
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 |
Wachovia Capital Markets, LLC |
Wells Fargo |
investor protection violation |
2007 |
CT-SEC |
$258,728 |
UBS Financial Services Inc. |
UBS |
investor protection violation |
2007 |
CT-SEC |
$5,500,000 |
Prosper Marketplace, Inc. |
Prosper Marketplace |
investor protection violation |
2009 |
CT-SEC |
$12,602 |
Raymond James Financial Services, Inc. |
Raymond James Financial |
investor protection violation |
2010 |
CT-SEC |
$15,000 |
Prosper Marketplace, Inc. |
Prosper Marketplace |
investor protection violation |
2010 |
CT-SEC |
$5,000 |
Wachovia Securities, LLC nka Wells Fargo Advisors, LLC |
Wells Fargo |
investor protection violation |
2010 |
CT-SEC |
$75,000 |
Charles Schwab & Co., Inc. |
Charles Schwab Corp. |
investor protection violation |
2011 |
CT-SEC |
$2,800,000 |
Prosper Marketplace, Inc. |
Prosper Marketplace |
investor protection violation |
2012 |
CT-SEC |
$40,000 |
Morgan Stanley Smith Barney LLC |
Morgan Stanley |
investor protection violation |
2014 |
CT-SEC |
$5,000,000 |
J.P. Morgan Securities LLC |
JPMorgan Chase |
investor protection violation |
2014 |
CT-SEC |
$53,800 |
Citigroup Global Markets Inc. |
Citigroup |
investor protection violation |
2015 |
CT-SEC |
$35,000 |
ProEquities, Inc. |
Dai-ichi Life |
investor protection violation |
2018 |
CT-SEC |
$7,590 |
Voya Financial Advisors, Inc. fka ING Financial Partners, Inc. |
Voya Financial |
investor protection violation |
2019 |
CT-SEC |
$1,015,000 |
Solium Financial Services LLC |
Morgan Stanley |
investor protection violation |
2020 |
CT-SEC |
$51,136 |
Merrill Lynch, Pierce, Fenner & Smith Inc. |
Bank of America |
investor protection violation |
2020 |
CT-SEC |
$400,000 |
Bank of America |
Bank of America |
fraud |
2016 |
DC-AG |
$13,000,000 |
Bank of America |
Bank of America |
fraud |
2010 |
DC-AG |
$13,502,852 |
CareFirst BlueChoice |
CareFirst of Maryland |
consumer protection violation |
2018 |
DC-AG |
$50,000 |
CashCall Inc., WS Funding |
CashCall Inc. |
consumer protection violation |
2017 |
DC-AG |
$2,962,573 |
TitleMax of Virginia Inc. |
TMX Finance |
consumer protection violation |
2014 |
DC-AG |
$167,257 |
Group Hospitalization and Medical Services, Inc. |
CareFirst of Maryland |
insurance violation |
2000 |
DC-DISB |
$10,000 |
MetLife Securities, Inc. |
MetLife |
investor protection violation |
2012 |
DC-DISB |
$25,000 |
Merrill Lynch, Pierce, Fenner & Smith Inc. |
Bank of America |
investor protection violation |
2013 |
DC-DISB |
$15,000 |
J.P. Morgan Securities LLC |
JPMorgan Chase |
investor protection violation |
2018 |
DC-DISB |
$5,000 |
Citigroup Global Markets Inc. |
Citigroup |
investor protection violation |
2009 |
DE-AG |
$309,000 |
J.P. Morgan Securities |
JPMorgan Chase |
investor protection violation |
2014 |
DE-AG |
$51,400 |
Lender Processing Services, Inc. |
Fidelity National Financial |
mortgage abuses |
2012 |
DE-AG |
$250,000 |
Merrill Lynch |
Bank of America |
investor protection violation |
2009 |
DE-AG |
$459,000 |
Merrill Lynch |
Bank of America |
investor protection violation |
2002 |
DE-AG |
$500,000 |
Morgan Stanley DW |
Morgan Stanley |
investor protection violation |
2005 |
DE-AG |
$700,000 |