California Physicians' Service dba Blue Shield of California |
California Physicians' Service |
insurance violation |
2002 |
CA-MHC |
$5,000 |
American International Group et al. |
American International Group |
insurance violation |
2002 |
CA-INS |
$411,500 |
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 |
Conseco Finance Servicing Corp. |
CNO Financial |
consumer protection violation |
2002 |
KS-BKG |
$7,275,000 |
Bank of Louisville |
Truist Financial |
investor protection violation |
2002 |
KY-INS |
$27,000,000 |
New Hampshire Insurance Company |
American International Group |
insurance violation |
2002 |
MA-INS |
$639,576 |
Insurance Company of the State of PA |
American International Group |
insurance violation |
2002 |
MA-INS |
$124,532 |
AIU Insurance Company |
American International Group |
insurance violation |
2002 |
MA-INS |
$365,615 |
American Home Assurance Company |
American International Group |
insurance violation |
2002 |
MA-INS |
$64,546 |
Fireman's Fund Insurance Company |
Allianz |
insurance violation |
2002 |
MA-INS |
$20,000 |
Travelers Insurance Company |
Travelers |
insurance violation |
2002 |
MA-INS |
$8,600 |
Zurich Direct |
Zurich Insurance |
insurance violation |
2002 |
MA-INS |
$6,000 |
Zurich Life Insurance Company of America |
Zurich Insurance |
insurance violation |
2002 |
MA-INS |
$12,000 |
Harleysville Worcester Insurance Company |
Nationwide |
insurance violation |
2002 |
MA-INS |
$6,000 |
Valley Forge Life Insurance Company |
Prudential (UK) |
insurance violation |
2002 |
MA-INS |
$24,500 |
Ace Cash Express Inc. |
ACE Cash Express |
consumer protection violation |
2002 |
MD-FIN |
$164,000 |
Fortis Insurance Co. and John Alden Life Insurance Co. |
Assurant |
insurance violation |
2002 |
MN-FIN |
$10,000 |
American Express Financial Advisors, Inc. |
Ameriprise Financial |
investor protection violation |
2002 |
MN-FIN |
$5,000 |
Metropolitan Property and Casualty Insurance Co. |
MetLife |
insurance violation |
2002 |
MN-FIN |
$7,500 |
American Family Mutual Insurance Co. |
American Family Insurance |
insurance violation |
2002 |
MN-FIN |
$5,000 |
Austin Mutual Insurance Co. and Northern Mutual Insurance Co. |
American Family Insurance |
insurance violation |
2002 |
MN-FIN |
$12,500 |
Travelers Indemnity Co. |
Travelers |
insurance violation |
2002 |
MN-FIN |
$5,000 |
Harleysville Insurance Co. |
Nationwide |
insurance violation |
2002 |
MN-FIN |
$80,000 |
Illinois Union Insurance Co. |
Chubb Limited |
insurance violation |
2002 |
MN-FIN |
$5,000 |
American Family Mutual Insurance Co. |
American Family Insurance |
insurance violation |
2002 |
MN-FIN |
$10,000 |
Chubb Indemnity Insurance Co. |
Chubb Limited |
insurance violation |
2002 |
MN-FIN |
$5,000 |
Fortis Insurance Co. and John Alden Life Insurance Co. |
Assurant |
insurance violation |
2002 |
MN-FIN |
$75,000 |
American Income Life Insurance Co. |
Globe Life Inc. |
insurance violation |
2002 |
MS-INS |
$50,000 |
Trumbull Insurance Co. |
Hartford Financial Services |
insurance violation |
2002 |
MT-INS |
$5,000 |
U.S. Bancorp Piper Jaffray Inc. |
Piper Sandler |
investor protection violation |
2002 |
NE-DBF |
$5,000 |
Merrill Lynch |
Bank of America |
investor protection violation |
2002 |
NH-BSR |
$500,000 |
USAA |
USAA |
insurance violation |
2002 |
OH-INS |
$30,000 |
Western Union Financial Services, Inc. |
Western Union |
anti-money-laundering deficiencies |
2002 |
NY-DFS |
$8,000,000 |
Equitable Life and Casualty Insurance Company |
Equitable Holdings |
insurance violation |
2002 |
OR-FIN |
$25,000 |
Fortis Insurance Company |
Assurant |
insurance violation |
2002 |
OR-FIN |
$42,500 |
LifeWise, A Premera Health Plan, Inc. |
Premera Blue Cross |
insurance violation |
2002 |
OR-FIN |
$5,000 |
Great American Life Insurance Company |
American Financial Group |
insurance violation |
2002 |
OR-FIN |
$10,000 |
American Bankers Insurance Company of Florida |
Assurant |
insurance violation |
2002 |
OR-FIN |
$30,000 |
AIU Insurance Company |
American International Group |
insurance violation |
2002 |
OR-FIN |
$10,000 |
Jackson National Life Insurance Company |
Prudential (UK) |
insurance violation |
2002 |
OR-FIN |
$10,000 |
Globe Life And Accident Insurance Compan |
Globe Life Inc. |
insurance violation |
2002 |
OR-FIN |
$5,000 |
Farmers Insurance Group |
Zurich Insurance |
insurance violation |
2002 |
TX-INS |
$15,000,000 |
NEW YORK LIFE INSURANCE CO |
New York Life Insurance |
insurance violation |
2002 |
VA-INS |
$13,500 |
UNITED AMERICAN INSURANCE CO. |
Globe Life Inc. |
insurance violation |
2002 |
VA-INS |
$10,000 |
FIDELITY & GUARANTY LIFE INSURANCE |
Fidelity National Financial |
insurance violation |
2002 |
VA-INS |
$15,000 |
AMERICAN NATIONAL INSURANCE CO. et al. |
American National Insurance |
insurance violation |
2002 |
VA-INS |
$103,200 |
AVEMCO INSURANCE COMPANY |
Tokio Marine |
insurance violation |
2002 |
VA-INS |
$12,000 |
FORTIS INSURANCE CO., ET AL. |
Assurant |
insurance violation |
2002 |
VA-INS |
$27,000 |
NEW ENGLAND LIFE INSURANCE CO. |
Brighthouse Financial |
insurance violation |
2002 |
VA-INS |
$9,000 |
Combined Insurance Company of America |
Chubb Limited |
insurance violation |
2002 |
VA-INS |
$27,000 |
PRINCIPAL LIFE INSURANCE CO. |
Principal Financial |
insurance violation |
2002 |
VA-INS |
$12,000 |
SAFECO INSURANCE CO. ET AL. |
Liberty Mutual Insurance |
insurance violation |
2002 |
VA-INS |
$28,200 |
ALLSTATE INSURANCE COMPANY |
Allstate |
insurance violation |
2002 |
VA-INS |
$10,000 |
MUTUAL OF OMAHA INSURANCE CO. |
Mutual of Omaha |
insurance violation |
2002 |
VA-INS |
$25,800 |
AMERICAN HERITAGE LIFE INSURANCE CO |
Allstate |
insurance violation |
2002 |
VA-INS |
$15,000 |
AMICA MUTUAL INSURANCE COMPANY |
Amica Mutual Insurance |
insurance violation |
2002 |
VA-INS |
$14,000 |
PRUDENTIAL INSURANCE COMPANY |
Prudential Financial |
insurance violation |
2002 |
VA-INS |
$15,000 |
Life Insurance Company of Georgia and Southland Life Insurance Company |
Prudential (UK) |
insurance violation |
2002 |
MULTI-FIN |
$4,000,000 |
Unitrin Inc. |
Kemper |
insurance violation |
2002 |
MULTI-FIN |
$33,000,000 |
ALLSTATE |
Allstate |
workplace safety or health violation |
2002 |
OSHA |
$69,500 |
VITOL SA, INC |
Vitol |
environmental violation |
2002 |
EPA |
$95,000 |
Morgan Stanley Capital Group, Inc. |
Morgan Stanley |
environmental violation |
2002 |
EPA |
$7,500 |
Sherwin Alumina Company, LLC |
Glencore |
workplace safety or health violation |
2002 |
MSHA |
$25,000 |
MetLife |
MetLife |
discriminatory practices (non-employment) |
2002 |
NY-DFS |
$160,000,000 |
A.G. Edwards & Sons, Inc. |
Wells Fargo |
data submission deficiencies |
2003 |
CFTC |
$45,000 |
SCOTIABANK DE PUERTO RICO |
Scotiabank |
banking violation |
2003 |
FDIC |
$8,000 |
Cleco Corporation |
Macquarie |
energy market violation |
2003 |
FERC |
$2,850,000 |
Crawford Healthcare Management of Norfolk & Baltimore |
Crawford & Co. |
fraud |
2003 |
DOJ_CRIMINAL |
$8,000,000 |
PNC ICLC Corp. |
PNC Financial Services |
accounting fraud or deficiencies |
2003 |
DOJ_CRIMINAL |
$115,000,000 |
Bank of America |
Bank of America |
economic sanction violation |
2003 |
OFAC |
$158,038 |
Bank of New York |
Bank of New York Mellon |
economic sanction violation |
2003 |
OFAC |
$24,750 |
Barclays Bank PLC |
Barclays |
economic sanction violation |
2003 |
OFAC |
$10,107 |
Credit Lyonnais, NY |
Credit Agricole |
economic sanction violation |
2003 |
OFAC |
$5,500 |
Deutsche Bank A.G. |
Deutsche Bank |
economic sanction violation |
2003 |
OFAC |
$5,500 |
Guy Carpenter & Company, Inc |
Marsh & McLennan |
economic sanction violation |
2003 |
OFAC |
$50,000 |
HSBC Bank USA |
HSBC |
economic sanction violation |
2003 |
OFAC |
$5,500 |
HSBC Bank USA |
HSBC |
economic sanction violation |
2003 |
OFAC |
$11,000 |
National City Bank |
PNC Financial Services |
economic sanction violation |
2003 |
OFAC |
$5,500 |
Northern Trust, IBC |
Northern Trust |
economic sanction violation |
2003 |
OFAC |
$18,027 |
Societe Generale |
Societe Generale |
economic sanction violation |
2003 |
OFAC |
$6,600 |
Societe Generale |
Societe Generale |
economic sanction violation |
2003 |
OFAC |
$11,000 |
State Street Bank & Trust Co |
State Street Corp. |
economic sanction violation |
2003 |
OFAC |
$22,000 |
UBS (USA) Inc |
UBS |
economic sanction violation |
2003 |
OFAC |
$14,750 |
UBS (USA) Inc |
UBS |
economic sanction violation |
2003 |
OFAC |
$5,000 |
Wells Fargo Bank |
Wells Fargo |
economic sanction violation |
2003 |
OFAC |
$5,500 |
National City Bank |
PNC Financial Services |
banking violation |
2003 |
OCC |
$56,800 |
Canadian Imperial Bank of Commerce |
Canadian Imperial Bank of Commerce |
accounting fraud or deficiencies |
2003 |
SEC |
$80,000,000 |
Alliance Capital Management L.P. |
Equitable Holdings |
investor protection violation |
2003 |
SEC |
$250,000,000 |
Morgan Stanley DW Inc. |
Morgan Stanley |
investor protection violation |
2003 |
SEC |
$50,000,000 |
J.P. Morgan Securities Inc. |
JPMorgan Chase |
investor protection violation |
2003 |
SEC |
$25,000,000 |
American International Group, Inc. |
American International Group |
accounting fraud or deficiencies |
2003 |
SEC |
$10,000,000 |
Goldman Sachs |
Goldman Sachs |
investor protection violation |
2003 |
SEC |
$9,305,382 |