| Protective Life Insurance Company | Dai-ichi Life | insurance violation | 2014 | SD-INS | $5,000 |
| General Casualty Company of Wisconsin | QBE Insurance | insurance violation | 2014 | SD-INS | $5,000 |
| New Hampshire Insurance Company | American International Group | insurance violation | 2014 | SD-INS | $5,000 |
| American Memorial Life Insurance Company | Assurant | insurance violation | 2016 | SD-INS | $5,000 |
| Indemnity Insurance Company of North America | Chubb Limited | insurance violation | 2016 | SD-INS | $5,000 |
| Old Republic Insurance Company | Old Republic International | insurance violation | 2017 | SD-INS | $5,000 |
| Genworth Life Insurance Company | Genworth Financial | insurance violation | 2019 | SD-INS | $5,000 |
| Sentry Insurance | Sentry Insurance | insurance violation | 2008 | TX-INS | $5,000 |
| A.G. Edwards & Sons Inc. | Wells Fargo | investor protection violation | 2008 | TX-SEC | $5,000 |
| LPL Financial Corporation | LPL Financial | investor protection violation | 2008 | TX-SEC | $5,000 |
| Wausau Business Insurance Company | Liberty Mutual Insurance | insurance violation | 2010 | TX-INS | $5,000 |
| Safeco Lloyds Insurance Co. | Liberty Mutual Insurance | insurance violation | 2010 | TX-INS | $5,000 |
| New Hampshire Insurance Company | American International Group | insurance violation | 2011 | TX-INS | $5,000 |
| Hartford Underwriters Insurance Company | Hartford Financial Services | insurance violation | 2012 | TX-INS | $5,000 |
| Liberty Insurance Corporation | Liberty Mutual Insurance | insurance violation | 2012 | TX-INS | $5,000 |
| Wausau Underwriters Insurance Company | Liberty Mutual Insurance | insurance violation | 2012 | TX-INS | $5,000 |
| Old Republic Insurance Company | Old Republic International | insurance violation | 2012 | TX-INS | $5,000 |
| Hartford Insurance Company of the Midwest | Hartford Financial Services | insurance violation | 2012 | TX-INS | $5,000 |
| Standard Fire Insurance Company | Travelers | insurance violation | 2013 | TX-INS | $5,000 |
| National Interstate Insurance Company | American Financial Group | insurance violation | 2014 | TX-INS | $5,000 |
| Safety National Casualty Corporation | Tokio Marine | insurance violation | 2015 | TX-INS | $5,000 |
| Old Republic Insurance Company | Old Republic International | insurance violation | 2015 | TX-INS | $5,000 |
| American Zurich Insurance Company | Zurich Insurance | insurance violation | 2016 | TX-INS | $5,000 |
| The Standard Fire Insurance Company | Travelers | insurance violation | 2016 | TX-INS | $5,000 |
| New Hampshire Insurance Company | American International Group | insurance violation | 2017 | TX-INS | $5,000 |
| Arch Insurance Company | Arch Capital | insurance violation | 2017 | TX-INS | $5,000 |
| Liberty Insurance Corporation | Liberty Mutual Insurance | insurance violation | 2018 | TX-INS | $5,000 |
| Accident Fund National Insurance Company | AF Group | insurance violation | 2019 | TX-INS | $5,000 |
| XL Insurance America, Inc. | AXA | insurance violation | 2019 | TX-INS | $5,000 |
| Safety National Casualty Corporation | Tokio Marine | insurance violation | 2019 | TX-INS | $5,000 |
| Ace American Insurance Company | Chubb Limited | insurance violation | 2019 | TX-INS | $5,000 |
| Travelers Indemnity Company | Travelers | insurance violation | 2019 | TX-INS | $5,000 |
| Liberty Mutual General Insurance Company | Liberty Mutual Insurance | insurance violation | 2016 | UT-INS | $5,000 |
| Liberty Mutual Insurance | Liberty Mutual Insurance | insurance violation | 2017 | UT-INS | $5,000 |
| Allstate Indemnity Company | Allstate | insurance violation | 2018 | UT-INS | $5,000 |
| MONUMENTAL LIFE INSURANCE CO | Aegon | insurance violation | 2001 | VA-INS | $5,000 |
| AMERICAN ZURICH INSURANCE CO | Zurich Insurance | insurance violation | 2004 | VA-INS | $5,000 |
| ALLSTATE LIFE INSURANCE CO. | Allstate | insurance violation | 2005 | VA-INS | $5,000 |
| UNITED AMERICAN INSURANCE CO. | Globe Life Inc. | insurance violation | 2005 | VA-INS | $5,000 |
| United Services Automobile Association | USAA | insurance violation | 2006 | VA-INS | $5,000 |
| Brown & Brown Insurance Agency of Virginia, Inc. | Brown & Brown | insurance violation | 2006 | VA-INS | $5,000 |
| Life Insurance Company of the Southwest | National Life Group | insurance violation | 2006 | VA-INS | $5,000 |
| Property & Casualty Insurance Company of Hartford | Hartford Financial Services | insurance violation | 2006 | VA-INS | $5,000 |
| BANNER LIFE INSURANCE COMPANY | Legal & General Group PLC | insurance violation | 2007 | VA-INS | $5,000 |
| AMERICAN HOME ASSURANCE ET AL. | American International Group | insurance violation | 2007 | VA-INS | $5,000 |
| Metropolitan Property and Casualty | Zurich Insurance | insurance violation | 2007 | VA-INS | $5,000 |
| SENTINEL INSURANCE COMPANY | Hartford Financial Services | insurance violation | 2007 | VA-INS | $5,000 |
| CHUBB INDEMNITY INSURANCE, ET AL. | Chubb Limited | insurance violation | 2007 | VA-INS | $5,000 |
| HARTFORD LIFE AND ANNUITY INSURANCE | Hartford Financial Services | insurance violation | 2008 | VA-INS | $5,000 |
| ALLIED HOME MORTGAGE CAPITAL | Americus Mortgage | consumer protection violation | 2008 | VA-FIN | $5,000 |
| American Guarantee and Liability Insurance Company | Zurich Insurance | insurance violation | 2011 | VA-INS | $5,000 |
| American Economy Insurance Co. | Liberty Mutual Insurance | insurance violation | 2012 | VA-INS | $5,000 |
| CAROLINA CASUALTY INSURANCE CO | W.R. Berkley | insurance violation | 2012 | VA-INS | $5,000 |
| AMERICAN AUTOMOBILE INSURANCE CORP | Allianz | insurance violation | 2012 | VA-INS | $5,000 |
| ALLSTATE INSURANCE COMPANY | Allstate | insurance violation | 2013 | VA-INS | $5,000 |
| PRUDENTIAL INSURANCE COMPANY | Prudential Financial | insurance violation | 2014 | VA-INS | $5,000 |
| OLD REPUBLIC NATIONAL TITLE INSURANCE CO | Old Republic International | insurance violation | 2015 | VA-INS | $5,000 |
| United States Fire Insurance Company | Fairfax Financial Holdings | insurance violation | 2019 | VA-INS | $5,000 |
| Next Financial Group, Inc. | Atria Wealth Solutions | investor protection violation | 2020 | VA-SEC | $5,000 |
| Old Republic Title Ltd | Old Republic International | insurance violation | 2011 | WA-INS | $5,000 |
| Victoria Fire & Casualty Company | Nationwide | insurance violation | 2011 | WA-INS | $5,000 |
| State Farm Mutual Automobile Insurance Company | State Farm Insurance | insurance violation | 2012 | WA-INS | $5,000 |
| Combined Insurance Company Of America | Chubb Limited | insurance violation | 2014 | WA-INS | $5,000 |
| United Of Omaha Life Insurance Company | Mutual of Omaha | insurance violation | 2015 | WA-INS | $5,000 |
| Ticor Title Company | Fidelity National Financial | insurance violation | 2015 | WA-INS | $5,000 |
| Permanent General Assurance Corporation | American Family Insurance | insurance violation | 2016 | WA-INS | $5,000 |
| Jefferson Insurance Company | Allianz | insurance violation | 2016 | WA-INS | $5,000 |
| Transamerica Life Insurance Company | Aegon | insurance violation | 2016 | WA-INS | $5,000 |
| American Modern Home Insurance Company | Munich Re | insurance violation | 2016 | WA-INS | $5,000 |
| American Modern Home Insurance Company | Munich Re | insurance violation | 2017 | WA-INS | $5,000 |
| Amco Insurance Company | Nationwide | insurance violation | 2017 | WA-INS | $5,000 |
| AGCS Marine Insurance Company | Allianz | insurance violation | 2017 | WA-INS | $5,000 |
| Fidelity & Guaranty Life Insurance Company | Fidelity National Financial | insurance violation | 2018 | WA-INS | $5,000 |
| Ticor Title Company | Fidelity National Financial | insurance violation | 2019 | WA-INS | $5,000 |
| National Union Fire Ins Co. of Pittsburgh | American International Group | insurance violation | 2003 | WI-INS | $5,000 |
| Great American Insurance Co. | American Financial Group | insurance violation | 2004 | WI-INS | $5,000 |
| Auto-Owners Insurance Co. | Auto-Owners Insurance | insurance violation | 2004 | WI-INS | $5,000 |
| Progressive Northern Ins Co. | Progressive | insurance violation | 2005 | WI-INS | $5,000 |
| Metropolitan Life Insurance Co. | MetLife | insurance violation | 2005 | WI-INS | $5,000 |
| Asurion Warranty Services, Inc. | Asurion | insurance violation | 2007 | WI-INS | $5,000 |
| Infinity Insurance Co. | Kemper | insurance violation | 2011 | WI-INS | $5,000 |
| Selective Insurance Company of the Southeast | Selective Insurance Group | insurance violation | 2011 | WI-INS | $5,000 |
| Thrivent Financial for Lutherans | Thrivent Financial | insurance violation | 2013 | WI-INS | $5,000 |
| The Hanover Insurance Co. | Hanover Insurance | insurance violation | 2014 | WI-INS | $5,000 |
| BOK Financial Securities, Inc. | BOK Financial | insurance violation | 2020 | CA-INS | $5,000 |
| Crestbrook Insurance Co. | Nationwide | insurance violation | 2020 | WA-INS | $5,000 |
| Cincinnati Insurance Co. | Cincinnati Financial | insurance violation | 2020 | WA-INS | $5,000 |
| Guardian Life Insurance Company of America | Guardian Life Insurance | insurance violation | 2020 | WA-INS | $5,000 |
| Security National Insurance Co. | Zurich Insurance | insurance violation | 2020 | WA-INS | $5,000 |
| Privilege Underwriters Reciprocal Exchange | Tokio Marine | insurance violation | 2020 | WA-INS | $5,000 |
| HORACE MANN INSURANCE COMPANY | Horace Mann Educators Corp. | insurance violation | 2020 | WA-INS | $5,000 |
| RR DONNELLEY | Chatham Asset Management | environmental violation | 2002 | PA-ENV | $5,000 |
| Oscar Health Plan of California | Oscar Health Inc. | insurance violation | 2020 | CA-MHC | $5,000 |
| John Hancock Life Insurance Co. | Manulife Financial | insurance violation | 2021 | DE-INS | $5,000 |
| RR DONNELLEY & SONS | Chatham Asset Management | environmental violation | 2013 | IL-ENV | $5,000 |
| THE HENNEGAN CO | Chatham Asset Management | environmental violation | 2016 | KY-ENV | $5,000 |
| E*Trade Securities LLC | Morgan Stanley | investor protection violation | 2021 | NH-BSR | $5,000 |
| BUCKEYE PIPE LINE CO LINDEN STATION | IFM Investors | environmental violation | 2014 | NJ-ENV | $5,000 |
| Liberty Northwest Insurance Corp. | Liberty Mutual Insurance | insurance violation | 2021 | OR-FIN | $5,000 |
| Safeco Insurance Company of Oregon | Liberty Mutual Insurance | insurance violation | 2021 | OR-FIN | $5,000 |
| Nyrstar Gordonsville LLC | Trafigura | environmental violation | 2013 | TN-ENV | $5,000 |
