Conseco Senior Health Insurance Co. |
CNO Financial |
insurance violation |
2001 |
FL-OFR |
$22,500 |
Bankers Life and Casualty Co. |
CNO Financial |
insurance violation |
2001 |
FL-OFR |
$10,500 |
Globe Life and Accident Insurance Co. |
Globe Life Inc. |
insurance violation |
2001 |
FL-OFR |
$6,000 |
Sagamore Insurance Co. |
Protective Insurance Corp. |
insurance violation |
2001 |
KS-INS |
$20,000 |
United Services Automobile Association |
USAA |
insurance violation |
2001 |
KS-INS |
$5,000 |
Hanover Insurance Company |
Hanover Insurance |
insurance violation |
2001 |
MA-INS |
$7,040 |
Fidelity & Guaranty Insurance Company |
Fidelity National Financial |
insurance violation |
2001 |
MA-INS |
$21,037 |
Valley Forge Life Insurance Company |
Prudential (UK) |
insurance violation |
2001 |
MA-INS |
$11,600 |
American Bankers Insurance Company of Florida |
Assurant |
insurance violation |
2001 |
MA-INS |
$65,000 |
Sentry Insurance A Mutual Company |
Sentry Insurance |
insurance violation |
2001 |
MA-INS |
$14,500 |
Fortis Insurance Co. and Fortis Benefits Insurance Co. |
Assurant |
insurance violation |
2001 |
MN-FIN |
$5,000 |
Metropolitan Property and Casualty Insurance Co. et al. |
MetLife |
insurance violation |
2001 |
MN-FIN |
$10,000 |
National Union Fire Insurance Company of Pittsburgh, Pa. |
American International Group |
insurance violation |
2001 |
MN-FIN |
$7,500 |
State Farm Mutual Automobile Insurance Co. and State Farm Fire and Casualty Co. |
State Farm Insurance |
insurance violation |
2001 |
MN-FIN |
$75,000 |
Allstate Insurance Co. |
Allstate |
insurance violation |
2001 |
MN-FIN |
$10,000 |
Hartford Accident and Indemnity Co. |
Hartford Financial Services |
insurance violation |
2001 |
MN-FIN |
$6,000 |
US Bancorp Piper Jaffray Inc. |
Piper Sandler |
investor protection violation |
2001 |
ND-SEC |
$23,250 |
Conseco Senior Health Insurance Company |
CNO Financial |
insurance violation |
2001 |
ND-INS |
$5,000 |
Prudential Insurance Company of America |
Prudential Financial |
insurance violation |
2001 |
NJ-DBI |
$25,100,000 |
Citigroup |
Citigroup |
discriminatory practices (non-employment) |
2001 |
NY-DFS |
$1,000,000 |
U.S. Trust Corporation |
Bank of America |
anti-money-laundering deficiencies |
2001 |
NY-DFS |
$5,000,000 |
Liberty Life Insurance Company |
Athene Holding |
insurance violation |
2001 |
SC-INS |
$10,000 |
DAIRYLAND INSURANCE CO |
Sentry Insurance |
insurance violation |
2001 |
VA-INS |
$8,500 |
AMERICAN GENERAL LIFE |
American International Group |
insurance violation |
2001 |
VA-INS |
$14,000 |
CONSECO HEALTH INSURANCE COMPANY |
CNO Financial |
insurance violation |
2001 |
VA-INS |
$19,000 |
HARTFORD FIRE INSURANCE CO. ET AL |
Hartford Financial Services |
insurance violation |
2001 |
VA-INS |
$30,000 |
PROGRESSIVE AMERICAN INSURANCE CO. |
Progressive |
insurance violation |
2001 |
VA-INS |
$23,000 |
Group Hospitalization and Medical Services, Inc. |
CareFirst of Maryland |
insurance violation |
2001 |
VA-INS |
$12,000 |
CAREFIRST BLUE CHOICE INC |
CareFirst of Maryland |
insurance violation |
2001 |
VA-INS |
$12,000 |
MONUMENTAL LIFE INSURANCE CO |
Aegon |
insurance violation |
2001 |
VA-INS |
$5,000 |
HARLEYSVILLE MUTUAL INSURANCE CO |
Nationwide |
insurance violation |
2001 |
VA-INS |
$21,000 |
AMERITAS LIFE INSURANCE CORP |
Ameritas Mutual Holding Company |
insurance violation |
2001 |
VA-INS |
$9,000 |
AMERICAN BANKERS LIFE ASSURANCE OF FLORIDA |
Assurant |
insurance violation |
2001 |
VA-INS |
$15,000 |
PACIFIC LIFE & ANNUITY COMPANY |
Pacific Life |
insurance violation |
2001 |
VA-INS |
$9,000 |
RELIASTAR LIFE INSURANCE CO |
Voya Financial |
insurance violation |
2001 |
VA-INS |
$9,000 |
FORTIS INSURANCE COMPANY |
Assurant |
insurance violation |
2001 |
VA-INS |
$57,000 |
Hartford Accident and Indemnity Co. |
Hartford Financial Services |
insurance violation |
2001 |
WI-INS |
$15,000 |
Progressive Northern Insurance Co. |
Progressive |
insurance violation |
2001 |
WI-INS |
$70,000 |
American Bankers Insurance Group Inc. |
Assurant |
insurance violation |
2001 |
MULTI-FIN |
$3,000,000 |
Sherwin Alumina Company, LLC |
Glencore |
workplace safety or health violation |
2001 |
MSHA |
$5,000 |
Prudential Securities, Inc. |
Wells Fargo |
data submission deficiencies |
2002 |
CFTC |
$65,000 |
THE COLUMBIA BANK |
Fulton Financial |
banking violation |
2002 |
FDIC |
$7,000 |
Dexia, S.A. |
Dexia |
banking violation |
2002 |
FED |
$50,000 |
Citigroup Inc. |
Citigroup |
consumer protection violation |
2002 |
FTC |
$215,000,000 |
General American Life Insurance Company, Inc. |
MetLife |
False Claims Act and related |
2002 |
DOJ_CIVIL |
$76,000,000 |
Bank of China |
Bank of China |
banking violation |
2002 |
OCC |
$10,000,000 |
Deutsche Bank Securities Inc. |
Deutsche Bank |
data submission deficiencies |
2002 |
SEC |
$1,650,000 |
Goldman, Sachs & Co. |
Goldman Sachs |
data submission deficiencies |
2002 |
SEC |
$1,650,000 |
Morgan Stanley & Co. Incorporated |
Morgan Stanley |
data submission deficiencies |
2002 |
SEC |
$1,650,000 |
Salomon Smith Barney Inc. |
Morgan Stanley |
data submission deficiencies |
2002 |
SEC |
$1,650,000 |
U.S. Bancorp Piper Jaffray Inc. |
Piper Sandler |
data submission deficiencies |
2002 |
SEC |
$1,650,000 |
Credit Suisse First Boston Corporation |
Credit Suisse |
investor protection violation |
2002 |
SEC |
$100,000,000 |
Conseco Finance Servicing Corp. |
CNO Financial |
wage and hour violation |
2002 |
WHD |
$145,512 |
MetLife Financial Services |
MetLife |
labor relations violation |
2002 |
NLRB |
$18,500 |
International Matex Tank Terminals |
Macquarie |
railroad safety violation |
2002 |
FRA |
$9,750 |
Ditech |
Ditech Holding Corporation |
wage and hour violation |
2002 |
private lawsuit-federal |
$6,150,000 |
Coast National Insurance |
Zurich Insurance |
wage and hour violation |
2002 |
private lawsuit-state |
$18,000,000 |
American Express Financial Advisors |
Ameriprise Financial |
employment discrimination |
2002 |
private lawsuit-federal |
$31,000,000 |
HANOVER INSURANCE GROUP |
Hanover Insurance |
environmental violation |
2002 |
EPA |
$10,000 |
IMTT BAYONNE 340171219400046 |
Macquarie |
environmental violation |
2002 |
EPA |
$6,000 |
CORPUS CHRISTI ALUMINA |
Glencore |
environmental violation |
2002 |
EPA |
$5,000 |
CORPUS CHRISTI ALUMINA |
Glencore |
environmental violation |
2002 |
EPA |
$5,000 |
U.S. Bancorp Piper Jaffray Inc. |
Piper Sandler |
investor protection violation |
2002 |
SEC |
$100,000 |
Dean Witter Reynolds Inc. |
Morgan Stanley |
investor protection violation |
2002 |
SEC |
$500,000 |
RBC Dain Rauscher Incorporated |
Royal Bank of Canada |
investor protection violation |
2002 |
SEC |
$500,000 |
Knight Securities, L.P. |
Virtu Financial |
investor protection violation |
2002 |
SEC |
$75,000 |
Josephthal & Co., Inc. |
Oppenheimer Holdings |
investor protection violation |
2002 |
SEC |
$75,000 |
Norwest Investment Services, Inc. |
Wells Fargo |
investor protection violation |
2002 |
SEC |
$153,245 |
ACE Cash Express, Inc. |
ACE Cash Express |
consumer protection violation |
2002 |
CO-AG |
$1,300,000 |
Bankers Life and Casualty Company |
CNO Financial |
privacy violation |
2002 |
KY-AG |
$5,000 |
Bear Stearns & Co. LLC |
JPMorgan Chase |
investor protection violation |
2002 |
MULTI-AG |
(*) $80,000,000 |
Citibank |
Citigroup |
consumer protection violation |
2002 |
MULTI-AG |
$1,600,000 |
Citibank |
Citigroup |
consumer protection violation |
2002 |
CA-AG |
$1,600,000 |
Citibank |
Citigroup |
illegal gambling business |
2002 |
NY-AG |
$100,000 |
Credit Suisse First Boston Corp. |
Credit Suisse |
investor protection violation |
2002 |
MULTI-AG |
(*) $200,000,000 |
Deutsche Bank |
Deutsche Bank |
investor protection violation |
2002 |
MULTI-AG |
$80,000,000 |
Discover Financial Services, Inc./Millenium Teleservices, Inc. |
Discover Financial Services |
privacy violation |
2002 |
KY-AG |
$5,000 |
First American Title Insurance Company |
First American Financial |
consumer protection violation |
2002 |
CA-AG |
$7,000,000 |
First USA |
JPMorgan Chase |
consumer protection violation |
2002 |
MULTI-AG |
$1,300,000 |
Goldman Sachs |
Goldman Sachs |
investor protection violation |
2002 |
MULTI-AG |
(*) $110,000,000 |
Household Finance Corp. |
HSBC |
mortgage abuses |
2002 |
MULTI-AG |
$484,000,000 |
J.P. Morgan Chase & Co. |
JPMorgan Chase |
investor protection violation |
2002 |
MULTI-AG |
(*) $80,000,000 |
Lehman Brothers Inc. |
Lehman Brothers |
investor protection violation |
2002 |
MULTI-AG |
(*) $80,000,000 |
Merrill Lynch |
Bank of America |
investor protection violation |
2002 |
DE-AG |
$500,000 |
Merrill Lynch |
Bank of America |
investor protection violation |
2002 |
NY-AG |
$100,000,000 |
Merrill Lynch & Co. Inc. |
Bank of America |
investor protection violation |
2002 |
MULTI-AG |
(*) $100,000,000 |
Morgan Stanley |
Morgan Stanley |
investor protection violation |
2002 |
MULTI-AG |
(*) $125,000,000 |
Mutual of Omaha |
Mutual of Omaha |
consumer protection violation |
2002 |
NY-AG |
$10,000 |
PayPal |
PayPal Holdings |
consumer protection violation |
2002 |
NY-AG |
$200,000 |
PNC Bank |
PNC Financial Services |
privacy violation |
2002 |
KY-AG |
$5,000 |
Salomon Smith Barney Inc. |
Morgan Stanley |
investor protection violation |
2002 |
MULTI-AG |
(*) $400,000,000 |
Stewart Title Company of California |
Stewart Information Services |
consumer protection violation |
2002 |
CA-AG |
$2,500,000 |
UBS Warburg LLC |
UBS |
investor protection violation |
2002 |
MULTI-AG |
(*) $80,000,000 |
Old Republic Title Co. |
Old Republic International |
consumer protection violation |
2002 |
CA-MULTI |
$5,096,963 |
H&R Block |
H&R Block |
consumer protection violation |
2002 |
NY-NYCDCWP |
$4,000,000 |
Principal Life Insurance Co. |
Principal Financial |
insurance violation |
2002 |
AK-INS |
$16,095 |
Aon Risk Services Inc. of Washington |
Aon |
insurance violation |
2002 |
AK-INS |
$5,000 |
Household Finance Corp. of California and Beneficial California, Inc. |
HSBC |
mortgage abuses |
2002 |
CA-DFPI |
$8,900,000 |
California Physicians' Service dba Blue Shield of California |
California Physicians' Service |
insurance violation |
2002 |
CA-MHC |
$5,000 |
Harleysville Mutual Insurance Co. |
Nationwide |
insurance violation |
2002 |
CA-INS |
$200,000 |
California Physicians' Service dba Blue Shield of California |
California Physicians' Service |
insurance violation |
2002 |
CA-MHC |
$5,000 |