Morgan Stanley & Co. Inc. | Morgan Stanley | investor protection violation | 2000 | FINRA | $200,000 |
Merrill Lynch, Pierce, Fenner & Smith, Inc. | Bank of America | investor protection violation | 2000 | FINRA | $97,000 |
E-TRADE Securities, Inc. | Morgan Stanley | investor protection violation | 2000 | FINRA | $20,000 |
John Nuveen & Co., Inc. | TIAA | investor protection violation | 2000 | FINRA | $6,630,000 |
First Union Securities, Inc. | Wells Fargo | investor protection violation | 2000 | FINRA | $350,000 |
J. P. Morgan Securities Inc. | JPMorgan Chase | investor protection violation | 2000 | FINRA | $200,000 |
Kemper Distributors, Inc. | Kemper | investor protection violation | 2000 | FINRA | $100,000 |
E-TRADE Securities, Inc. | Morgan Stanley | investor protection violation | 2000 | FINRA | $20,000 |
A.G. Edwards & Sons, Inc. | Wells Fargo | investor protection violation | 2000 | FINRA | $5,890,000 |
Raymond James & Associates Inc. | Raymond James Financial | investor protection violation | 2000 | FINRA | $3,410,000 |
CS First Boston Corp. | UBS | investor protection violation | 2000 | FINRA | $1,240,000 |
Piper Jaffray Inc. | Piper Sandler | investor protection violation | 2000 | FINRA | $933,000 |
Southwest Securities Inc. | Hilltop Holdings | investor protection violation | 2000 | FINRA | $500,000 |
Prudential Securities, Inc. | Wells Fargo | investor protection violation | 2000 | FINRA | $100,000 |
Morgan Stanley & Co., Inc. | Morgan Stanley | investor protection violation | 2000 | FINRA | $495,000 |
Robinhood Financial LLC | Robinhood Markets | investor protection violation | 2021 | FINRA | $69,600,000 |
Merrill Lynch, Pierce, Fenner & Smith, Inc. | Bank of America | investor protection violation | 2021 | FINRA | $11,650,000 |
Credit Suisse Securities | UBS | investor protection violation | 2022 | FINRA | $9,000,000 |
Merrill Lynch, Pierce, Fenner & Smith, Inc. | Bank of America | investor protection violation | 2022 | FINRA | $15,200,000 |
UBS Securities LLC | UBS | investor protection violation | 2022 | FINRA | $2,500,000 |
BofA Securities, Inc. | Bank of America | investor protection violation | 2022 | FINRA | $5,000,000 |
Merrill Lynch, Pierce, Fenner & Smith Inc. | Bank of America | anti-money-laundering deficiencies | 2023 | FINRA | $6,000,000 |
BofA Securities, Inc. | Bank of America | investor protection violation | 2023 | FINRA | $24,000,000 |
Morgan Stanley Smith Barney LLC | Morgan Stanley | investor protection violation | 2024 | FINRA | $1,600,000 |
Aon Corp. | Aon | consumer protection violation | 2008 | FL-AG | $4,000,000 |
Bank of New York Mellon | Bank of New York Mellon | investor protection violation | 2013 | FL-AG | $28,000,000 |
Brown & Brown, Inc. | Brown & Brown | consumer protection violation | 2006 | FL-AG | $5,800,000 |
J.P. Morgan Securities LLC | JPMorgan Chase | investor protection violation | 2010 | FL-AG | $25,000,000 |
Morgan Stanley Capital Group Inc. | Morgan Stanley | consumer protection violation | 2009 | FL-AG | $2,275,000 |
Willis Group Holdings Ltd. | Willis Towers Watson | consumer protection violation | 2007 | FL-AG | $2,600,000 |
Ocwen Financial Corporation | Ocwen Financial | mortgage abuses | 2020 | FL-AG | $11,600,000 |
LOUIS DREYFUS CITRUS, INC. | Louis Dreyfus | environmental violation | 2010 | FL-DEP | $14,600 |
LOUIS DREYFUS CITRUS INC | Louis Dreyfus | environmental violation | 2008 | FL-DEP | $21,000 |
IFCO SYSTEMS NORTH AMERICA, INC. | Triton Investments Advisers | environmental violation | 2008 | FL-DEP | $15,000 |
LOUIS DREYFUS CITRUS, INC. | Louis Dreyfus | environmental violation | 2006 | FL-DEP | $7,200 |
THE FIFTH THIRD BANK | Fifth Third Bancorp | environmental violation | 2006 | FL-DEP | $16,000 |
WHEELABRATOR SOUTH BROWARD, INC. | Macquarie | environmental violation | 2005 | FL-DEP | $14,450 |
LOUIS DREYFUS CITRUS, INC. | Louis Dreyfus | environmental violation | 2005 | FL-DEP | $8,500 |
WHEELABRATOR RIDGE ENERGY, INC. | Macquarie | environmental violation | 2004 | FL-DEP | $19,000 |
Wheelabrator South Broward, Inc. | Macquarie | environmental violation | 2021 | FL-DEP | $78,000 |
American Heritage Life Insurance Co. | Allstate | insurance violation | 2000 | FL-OFR | $12,750 |
Protective Life Insurance Co. | Dai-ichi Life | insurance violation | 2000 | FL-OFR | $8,750 |
Conseco Senior Health Insurance Co. | CNO Financial | insurance violation | 2000 | FL-OFR | $5,500 |
Allianz Life Insurance Company of North America | Allianz | insurance violation | 2000 | FL-OFR | $14,000 |
Conseco Life Insurance Co. | CNO Financial | insurance violation | 2000 | FL-OFR | $5,625 |
COMMERCE AND INDUSTRY INSURANCE COMPANY | American International Group | insurance violation | 2001 | FL-OFR | $11,500 |
EMPLOYERS INSURANCE OF WAUSAU, A MUTUAL COMPANY | Liberty Mutual Insurance | insurance violation | 2001 | FL-OFR | $23,075 |
GREAT AMERICAN ALLIANCE INSURANCE COMPANY | American Financial Group | insurance violation | 2001 | FL-OFR | $5,500 |
GREAT AMERICAN ASSURANCE COMPANY | American Financial Group | insurance violation | 2001 | FL-OFR | $12,500 |
STANDARD GUARANTY INSURANCE COMPANY | Assurant | insurance violation | 2001 | FL-OFR | $6,000 |
T.H.E. INSURANCE COMPANY | AXA | insurance violation | 2001 | FL-OFR | $15,000 |
WAUSAU BUSINESS INSURANCE COMPANY | Liberty Mutual Insurance | insurance violation | 2001 | FL-OFR | $14,625 |
WAUSAU UNDERWRITERS INSURANCE COMPANY | Liberty Mutual Insurance | insurance violation | 2001 | FL-OFR | $26,325 |
ZENITH INSURANCE COMPANY | Fairfax Financial Holdings | insurance violation | 2001 | FL-OFR | $6,850 |
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 |
Principal Life Insurance Co. | Principal Financial | insurance violation | 2002 | FL-OFR | $6,500 |
Wausau Underwriters Insurance Co. | Liberty Mutual Insurance | insurance violation | 2002 | FL-OFR | $53,000 |
Fireman' Fund Insurance Co. | Allianz | insurance violation | 2002 | FL-OFR | $13,850 |
Progressive Express Insurance Co. et al. | Progressive | insurance violation | 2002 | FL-OFR | $5,750,000 |
New Hampshire Insurance Co. | American International Group | insurance violation | 2002 | FL-OFR | $5,400 |
Zurich American Insurance Co. | Zurich Insurance | insurance violation | 2002 | FL-OFR | $44,500 |
American Guarantee and Liability Insurance Co. | Zurich Insurance | insurance violation | 2002 | FL-OFR | $10,850 |
Allstate Financial Services, LLC | Allstate | investor protection violation | 2002 | FL-OFR | $21,300 |
Security National Insurance Co. | Zurich Insurance | insurance violation | 2002 | FL-OFR | $31,500 |
ACE Cash Express, Inc. dba ACE America's Cash Express | ACE Cash Express | consumer protection violation | 2002 | FL-OFR | $500,000 |
American International Insurance Co. and AIG National Insurance Company, Inc. | American International Group | insurance violation | 2003 | FL-OFR | $66,750 |
Travelers Indemnity Co. | Travelers | insurance violation | 2003 | FL-OFR | $8,000 |
Travelers Indemnity Company of Illinois | Travelers | insurance violation | 2003 | FL-OFR | $20,500 |
Waddell & Reed, Inc. | Macquarie | investor protection violation | 2003 | FL-OFR | $8,800 |
Ace American Insurance Co. | Chubb Limited | insurance violation | 2003 | FL-OFR | $6,000 |
Illinois National Insurance Co. | American International Group | insurance violation | 2003 | FL-OFR | $5,000 |
National Union Fire Insurance Company of Pittsburgh, PA | American International Group | insurance violation | 2003 | FL-OFR | $62,250 |
Kemper Auto and Home Insurance Co. | Kemper | insurance violation | 2003 | FL-OFR | $16,500 |
CitiFinancial, Inc. | Citigroup | consumer protection violation | 2003 | FL-OFR | $8,199 |
Alpha Property & Casualty Insurance Co. | Kemper | insurance violation | 2003 | FL-OFR | $32,500 |
The Equitable Life Assurance Society of the United States | Equitable Holdings | insurance violation | 2003 | FL-OFR | $1,600,000 |
American Alternative Insurance Corp. | Munich Re | insurance violation | 2003 | FL-OFR | $21,500 |
Bristol West Insurance Co. | Zurich Insurance | insurance violation | 2004 | FL-OFR | $26,500 |
Universal Property & Casualty Insurance Co. | Universal Insurance Holdings | insurance violation | 2004 | FL-OFR | $47,500 |
ProEquities, Inc. | Dai-ichi Life | investor protection violation | 2004 | FL-OFR | $5,000 |
Jackson National Life Insurance Co. | Jackson Financial | insurance violation | 2004 | FL-OFR | $5,500 |
Merrill Lynch, Pierce, Fenner & Smith, Inc. | Bank of America | investor protection violation | 2004 | FL-OFR | $10,000 |
Protective Life Insurance Co. | Dai-ichi Life | insurance violation | 2004 | FL-OFR | $5,950 |
Life Investors Insurance Company of America | Aegon | insurance violation | 2004 | FL-OFR | $11,000 |
Amex Assurance Co. | American Express | insurance violation | 2005 | FL-OFR | $12,500 |
Axa Re Property and Casualty Insurance Co. | AXA | insurance violation | 2005 | FL-OFR | $15,000 |
Scottsdale Insurance Co. | Nationwide | insurance violation | 2005 | FL-OFR | $5,000 |
Sentry Insurance A Mutual Company | Sentry Insurance | insurance violation | 2005 | FL-OFR | $7,500 |
State Farm Florida Insurance Co. | State Farm Insurance | insurance violation | 2005 | FL-OFR | $5,000 |
United Casualty Insurance Company of America | Kemper | insurance violation | 2005 | FL-OFR | $17,500 |
Chicago Title Insurance Co. | Fidelity National Financial | insurance violation | 2005 | FL-OFR | $50,000 |
Fidelity National Title Insurance Co. | Fidelity National Financial | insurance violation | 2005 | FL-OFR | $50,000 |
Safeco Insurance Company of America et al. | Liberty Mutual Insurance | insurance violation | 2005 | FL-OFR | $35,350 |
Ticor Title Insurance Co. | Fidelity National Financial | insurance violation | 2005 | FL-OFR | $50,000 |
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 |