California Physicians' Service dba Blue Shield of California |
California Physicians' Service |
insurance violation |
2007 |
CA-MHC |
$50,000 |
Jackson National Life Insurance Co. |
Prudential (UK) |
insurance violation |
2007 |
CO-INS |
$10,000 |
Auto-Owners Insurance Co. |
Auto-Owners Insurance |
insurance violation |
2007 |
CO-INS |
$5,000 |
OppenheimerFunds Distributor, Inc. |
Invesco |
investor protection violation |
2007 |
CO-SEC |
$494,500 |
American Family Mutual Insurance Co. |
American Family Insurance |
insurance violation |
2007 |
CO-INS |
$5,500 |
Nationwide Insurance Company of America |
Nationwide |
insurance violation |
2007 |
CO-INS |
$81,500 |
ING USA Annuity and Life Insurance Co. |
Voya Financial |
insurance violation |
2007 |
CO-INS |
$5,000 |
Stewart Title Guaranty Co. |
Stewart Information Services |
insurance violation |
2007 |
CO-INS |
$50,000 |
Nationwide Mutual Fire Insurance Co. |
Nationwide |
insurance violation |
2007 |
CO-INS |
$6,000 |
Nationwide Mutual Insurance Co. |
Nationwide |
insurance violation |
2007 |
CO-INS |
$8,500 |
Nationwide Property and Casualty Insurance Co. |
Nationwide |
insurance violation |
2007 |
CO-INS |
$6,000 |
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 |
CUNA Mutual Life Insurance Co. |
CUNA Mutual |
insurance violation |
2007 |
FL-OFR |
$7,500 |
USAA Life Insurance Co. |
USAA |
insurance violation |
2007 |
FL-OFR |
$22,500 |
Fortis Insurance Co. |
Assurant |
insurance violation |
2007 |
FL-OFR |
$11,000 |
Ace American Insurance Co. |
Chubb Limited |
insurance violation |
2007 |
FL-OFR |
$56,000 |
Cincinnati Insurance Co. |
Cincinnati Financial |
insurance violation |
2007 |
FL-OFR |
$65,000 |
American Home Assurance Co. |
American International Group |
insurance violation |
2007 |
FL-OFR |
$25,500 |
National Union Fire Insurance Company of Pittsburgh, PA |
American International Group |
insurance violation |
2007 |
FL-OFR |
$240,000 |
Mutual of Omaha Insurance Co. |
Mutual of Omaha |
insurance violation |
2007 |
FL-OFR |
$13,000 |
Fireman's Fund Insurance Co. |
Allianz |
insurance violation |
2007 |
FL-OFR |
$5,500 |
St. Paul Fire & Marine Insurance Co. |
Travelers |
insurance violation |
2007 |
FL-OFR |
$23,750 |
Conseco Life Insurance Co. |
CNO Financial |
insurance violation |
2007 |
IA-INS |
$750,000 |
Merrill Lynch, Pierce, Fenner & Smith Inc. |
Bank of America |
investor protection violation |
2007 |
IL-SEC |
$40,000 |
American Bankers Insurance Company of Florida |
Assurant |
insurance violation |
2007 |
IN-INS |
$87,500 |
United Insurance Co. of America |
Kemper |
insurance violation |
2007 |
IN-INS |
$6,500 |
Bankers Life and Casualty Co. |
CNO Financial |
insurance violation |
2007 |
IN-INS |
$6,569 |
Lawyers Title Insurance Corp. |
Fidelity National Financial |
insurance violation |
2007 |
IN-INS |
$9,000 |
Amica Mutual Insurance Co. |
Amica Mutual Insurance |
insurance violation |
2007 |
MA-INS |
$12,000 |
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 |
First American Title Insurance Co. |
First American Financial |
insurance violation |
2007 |
MN-FIN |
$500,000 |
AmerUS Life Insurance Co. |
Athene Holding |
insurance violation |
2007 |
MN-FIN |
$250,000 |
United Services Automobile Association et al. |
USAA |
insurance violation |
2007 |
MO-INS |
$6,000 |
Berthel Fisher & Company Financial Services, Inc. |
Berthel Fisher |
investor protection violation |
2007 |
MO-SEC |
$230,469 |
Auto-Owners Insurance Co. and Owners Insurance Co. |
Auto-Owners Insurance |
insurance violation |
2007 |
MO-INS |
$28,704 |
Continental Western Insurance Co. |
W.R. Berkley |
insurance violation |
2007 |
MO-INS |
$7,708 |
Safeco Insurance Company of America et al. |
Liberty Mutual Insurance |
insurance violation |
2007 |
MO-INS |
$68,524 |
Farmers Insurance Exchange et al. |
Farmers Insurance Exchange |
insurance violation |
2007 |
MO-INS |
$16,272 |
Universal Underwriters Insurance Co. |
Zurich Insurance |
insurance violation |
2007 |
MO-INS |
$6,530 |
Investment Centers of America, Inc. |
LPL Financial |
investor protection violation |
2007 |
MO-SEC |
$1,031,618 |
UBS Financial Services, Inc. |
UBS |
investor protection violation |
2007 |
MO-SEC |
$697,210 |
First American Title Insurance Co. |
First American Financial |
insurance violation |
2007 |
MO-INS |
$150,344 |
Standard Insurance Co. |
Meiji Yasuda Life Insurance |
insurance violation |
2007 |
MO-INS |
$9,300 |
Morgan Keegan & Company, Inc. |
Raymond James Financial |
investor protection violation |
2007 |
MS-SEC |
$12,500 |
Chicago Title Insurance Co. |
Fidelity National Financial |
insurance violation |
2007 |
MT-INS |
$7,500 |
Wachovia Securities LLC |
Wells Fargo |
investor protection violation |
2007 |
ND-SEC |
$75,000 |
Farmers Insurance Exchange |
Farmers Insurance Exchange |
insurance violation |
2007 |
ND-INS |
$750,000 |
CitiFinancial, Inc. |
Citigroup |
consumer protection violation |
2007 |
NE-DBF |
$81,500 |
Great Plains Specialty Finance, Inc., d/b/a Check 'n Go |
CNG Financial |
consumer protection violation |
2007 |
NE-DBF |
$10,200 |
Berthel, Fisher & Company Financial Services, Inc. |
Berthel Fisher |
investor protection violation |
2007 |
NE-DBF |
$5,000 |
Universal Underwriters Insurance Company |
Zurich Insurance |
insurance violation |
2007 |
NH-INS |
$28,125 |
Moneygram International |
MoneyGram International |
consumer protection violation |
2007 |
NH-BKG |
$10,000 |
Smith Barney |
Morgan Stanley |
investor protection violation |
2007 |
NJ-BOS |
$5,000,000 |
Allstate Life Insurance Company of New York |
Allstate |
insurance violation |
2007 |
NY-DFS |
$18,250,000 |
John Alden Life Insurance Company |
Assurant |
insurance violation |
2007 |
OR-FIN |
$10,000 |
Time Insurance Company |
Haven Holdings |
insurance violation |
2007 |
OR-FIN |
$60,000 |
Farmers Insurance Company of Oregon |
Zurich Insurance |
insurance violation |
2007 |
OR-FIN |
$20,000 |
Mid-Century Insurance Company |
Zurich Insurance |
insurance violation |
2007 |
OR-FIN |
$20,000 |
Reliance Standard Life Insurance Company |
Tokio Marine |
insurance violation |
2007 |
OR-FIN |
$10,000 |
ACE American Insurance Company |
Chubb Limited |
insurance violation |
2007 |
OR-FIN |
$15,000 |
AIU Insurance Company et al. |
American International Group |
insurance violation |
2007 |
OR-FIN |
$1,000,000 |
Ticor Title Insurance Company |
Fidelity National Financial |
insurance violation |
2007 |
OR-FIN |
$6,000 |
Nationwide Mutual Insurance Company |
Nationwide |
insurance violation |
2007 |
OR-FIN |
$10,000 |
AIG Casualty Company |
American International Group |
insurance violation |
2007 |
OR-FIN |
$7,500 |
American Home Assurance Company |
American International Group |
insurance violation |
2007 |
OR-FIN |
$10,000 |
Commerce and Industry Insurance Company |
American International Group |
insurance violation |
2007 |
OR-FIN |
$10,000 |
Granite State Insurance Company |
American International Group |
insurance violation |
2007 |
OR-FIN |
$5,000 |
The Insurance Company of the State of Pennsylvania |
American International Group |
insurance violation |
2007 |
OR-FIN |
$10,000 |
Reliance Standard Life Insurance Company |
Tokio Marine |
insurance violation |
2007 |
OR-FIN |
$5,000 |
Farmers Insurance Company of Oregon |
Zurich Insurance |
insurance violation |
2007 |
OR-FIN |
$10,000 |
Virginia Surety Company, Inc. |
Assurant |
insurance violation |
2007 |
OR-FIN |
$6,100 |
Seabury & Smith Inc. |
Marsh & McLennan |
insurance violation |
2007 |
PA-INS |
$25,000 |
Lincoln Financial Advisors Corp. |
Lincoln National |
investor protection violation |
2007 |
RI-FIN |
$5,000 |
Morgan Stanley & Co. Inc. |
Morgan Stanley |
investor protection violation |
2007 |
RI-FIN |
$250,000 |
AXA Insurance Company |
AXA |
insurance violation |
2007 |
SC-INS |
$8,000 |
A.G. Edwards & Sons Inc. |
Wells Fargo |
investor protection violation |
2007 |
SC-SEC |
$575,000 |
AMERICAN BANKERS LIFE |
Assurant |
insurance violation |
2007 |
VA-INS |
$97,000 |
LIBERTY INSURANCE CORP. ET AL. |
Liberty Mutual Insurance |
insurance violation |
2007 |
VA-INS |
$15,000 |
UBS FINANCIAL SERVICES, INC. |
UBS |
investor protection violation |
2007 |
VA-SEC |
$100,000 |
RELIASTAR LIFE INSURANCE CO. |
Voya Financial |
insurance violation |
2007 |
VA-INS |
$8,000 |
UNION SECURITY LIFE INSURANCE |
Assurant |
insurance violation |
2007 |
VA-INS |
$27,000 |
State Farm Mutual Automobile Insurance Company |
State Farm Insurance |
insurance violation |
2007 |
VA-INS |
$6,000 |
AMEX ASSURANCE CO. |
American Express |
insurance violation |
2007 |
VA-INS |
$26,400 |
Group Hospitalization and Medical Services, Inc. |
CareFirst of Maryland |
insurance violation |
2007 |
VA-INS |
$15,000 |
United Services Automobile Association |
USAA |
insurance violation |
2007 |
VA-INS |
$6,000 |
CAREFIRST BLUECHOICE, INC. |
CareFirst of Maryland |
insurance violation |
2007 |
VA-INS |
$120,000 |
UNITED AMERICAN INSURANCE CO. |
Globe Life Inc. |
insurance violation |
2007 |
VA-INS |
$15,000 |
CUNA MUTUAL INSURANCE SOCIETY |
CUNA Mutual |
insurance violation |
2007 |
VA-INS |
$30,000 |
AMERICAN HOME ASSURANCE ET AL. |
American International Group |
insurance violation |
2007 |
VA-INS |
$5,000 |
Metropolitan Property and Casualty |
MetLife |
insurance violation |
2007 |
VA-INS |
$5,000 |
SENTINEL INSURANCE COMPANY |
Hartford Financial Services |
insurance violation |
2007 |
VA-INS |
$5,000 |
Allstate Insurance Company and Allstate Indemnity Company |
Allstate |
insurance violation |
2007 |
VA-INS |
$8,000 |
CHUBB INDEMNITY INSURANCE, ET AL. |
Chubb Limited |
insurance violation |
2007 |
VA-INS |
$5,000 |
MERCURY CASUALTY COMPANY |
Mercury General Corporation |
insurance violation |
2007 |
VA-INS |
$25,600 |
OppenheimerFunds Distributor, Inc. |
Invesco |
investor protection violation |
2007 |
WA-FIN |
$669,500 |
Asurion Warranty Services, Inc. |
Asurion |
insurance violation |
2007 |
WI-INS |
$5,000 |