AMCO Insurance Co. | Nationwide | insurance violation | 2016 | MO-INS | $36,750 |
Depositors Insurance Co. | Nationwide | insurance violation | 2016 | MO-INS | $16,250 |
Nationwide Mutual Insurance Co. | Nationwide | insurance violation | 2016 | MO-INS | $51,250 |
Morgan Stanley Smith Barney LLC | Morgan Stanley | investor protection violation | 2016 | MS-SEC | $4,743,815 |
Unigard Insurance Co. | QBE Insurance | insurance violation | 2016 | MT-FIN | $25,000 |
AXA Equitable Life & Annuity Co. | Equitable Holdings | insurance violation | 2016 | MT-FIN | $5,000 |
Unigard Insurance Co. | QBE Insurance | insurance violation | 2016 | MT-FIN | $15,000 |
Hartford Life Insurance Co. and Hartford Life and Accident Insurance Co. | Hartford Financial Services | insurance violation | 2016 | MT-FIN | $50,000 |
Liberty Mutual Insurance Co. | Liberty Mutual Insurance | insurance violation | 2016 | MT-FIN | $5,000 |
Western Sky Financial LLC et al. | CashCall Inc. | consumer protection violation | 2016 | NC-BKG | $9,275,000 |
American Family Mutual Insurance Company | American Family Insurance | insurance violation | 2016 | NE-DOI | $15,000 |
Great Plains Specialty Finance, Inc., d/b/a Check 'n go | CNG Financial | consumer protection violation | 2016 | NE-DBF | $5,100 |
Wells Fargo Advisors Financial Network, LLC | Wells Fargo | investor protection violation | 2016 | NH-BSR | $35,000 |
Ameriprise Financial Services, Inc. | Ameriprise Financial | investor protection violation | 2016 | NH-BSR | $30,800 |
Prosper Funding LLC and Prosper Marketplace, Inc. | Prosper Marketplace | consumer protection violation | 2016 | NH-BKG | $39,000 |
Waddell & Reed, Inc. | Macquarie | investor protection violation | 2016 | NH-BSR | $900,000 |
Horizon Healthcare Services, Inc. | Horizon Healthcare Services | insurance violation | 2016 | NJ-DBI | $400,000 |
Transamerica Premier Life Insurance Company | Aegon | insurance violation | 2016 | NJ-DBI | $75,000 |
Allstate Fire and Casualty Insurance Company | Allstate | insurance violation | 2016 | NY-DFS | $50,000 |
HealthNow New York Inc. | Highmark Inc. | insurance violation | 2016 | NY-DFS | $750,000 |
Hartford Life Insurance Company | Hartford Financial Services | insurance violation | 2016 | NY-DFS | $50,000 |
TIAA-CREF Life Insurance Company | TIAA | insurance violation | 2016 | NY-DFS | $29,325 |
USAA Life Insurance Company of New York | USAA | insurance violation | 2016 | NY-DFS | $10,000 |
TIAA-CREF Life Insurance Company | TIAA | insurance violation | 2016 | NY-DFS | $139,940 |
Companion Life Insurance Company | BlueCross BlueShield of South Carolina | insurance violation | 2016 | NY-DFS | $146,485 |
Hartford Casualty Insurance Company | Hartford Financial Services | insurance violation | 2016 | NY-DFS | $15,000 |
Guardian Life Insurance Company of America | Guardian Life Insurance | insurance violation | 2016 | NY-DFS | $50,000 |
Agricultural Bank of China | Agricultural Bank of China | anti-money-laundering deficiencies | 2016 | NY-DFS | $215,000,000 |
PHH Mortgage Corporation | Ocwen Financial | mortgage abuses | 2016 | NY-DFS | $28,000,000 |
BCS Insurance Company | BCS Financial Corporation | insurance violation | 2016 | NY-DFS | $100,000 |
Intesa Sanpaolo S.p.A. | Intesa Sanpaolo | anti-money-laundering deficiencies | 2016 | NY-DFS | $235,000,000 |
Time Insurance Company | Haven Holdings | insurance violation | 2016 | OR-FIN | $178,948 |
Lincoln National Life Insurance Company | Lincoln National | insurance violation | 2016 | OR-FIN | $15,000 |
MLD Mortgage Inc. dba The Money Store | MLD Mortgage Inc. dba The Money Store | consumer protection violation | 2016 | PA-BKG | $55,000 |
Janney Montgomery Scott LLC | Penn Mutual | investor protection violation | 2016 | PA-BKG | $10,000 |
Edward D. Jones & Co. LP | Jones Financial | investor protection violation | 2016 | PA-BKG | $135,000 |
AGCS Marine Insurance Company | Allianz | insurance violation | 2016 | PA-INS | $10,000 |
USAA General Indemnity Company | USAA | insurance violation | 2016 | RI-FIN | $15,000 |
Allstate Insurance Company | Allstate | insurance violation | 2016 | RI-FIN | $10,000 |
Oppenheimer & Co. Inc. | Oppenheimer Holdings | investor protection violation | 2016 | SC-SEC | $175,000 |
National Union Fire Insurance Company of Pittsburgh, PA | American International Group | insurance violation | 2016 | SC-INS | $90,000 |
Auto-Owners Insurance Company | Auto-Owners Insurance | insurance violation | 2016 | SC-INS | $7,356 |
Branch Banking and Trust Company | Truist Financial | investor protection violation | 2016 | SC-SEC | $97,500 |
Transamerica Life Insurance Company | Aegon | insurance violation | 2016 | SD-INS | $15,000 |
Zurich American Insurance Company | Zurich Insurance | insurance violation | 2016 | SD-INS | $15,000 |
American Memorial Life Insurance Company | Assurant | insurance violation | 2016 | SD-INS | $5,000 |
Time Insurance Company | Haven Holdings | insurance violation | 2016 | SD-INS | $300,000 |
Union Security Insurance Company | Assurant | insurance violation | 2016 | SD-INS | $35,000 |
Indemnity Insurance Company of North America | Chubb Limited | insurance violation | 2016 | SD-INS | $5,000 |
Hartford Accident and Indemnity | Hartford Financial Services | insurance violation | 2016 | SD-INS | $10,000 |
Broadspire Services Inc. | Crawford & Co. | insurance violation | 2016 | TN-INS | $10,000 |
Wedbush Securities Inc. | Wedbush Securities | investor protection violation | 2016 | TN-SEC | $30,000 |
American Zurich Insurance Company | Zurich Insurance | insurance violation | 2016 | TX-INS | $5,000 |
The Travelers Indemnity Company | Travelers | insurance violation | 2016 | TX-INS | $9,000 |
The Travelers Indemnity Company of Connecticut | Travelers | insurance violation | 2016 | TX-INS | $7,000 |
New Hampshire Insurance Company | American International Group | insurance violation | 2016 | TX-INS | $12,500 |
LPL Financial LLC | LPL Financial | investor protection violation | 2016 | TX-SEC | $95,000 |
The Standard Fire Insurance Company | Travelers | insurance violation | 2016 | TX-INS | $5,000 |
Fidelity and Guaranty Insurance Company | Fidelity National Financial | insurance violation | 2016 | TX-INS | $12,000 |
Unitrin County Mutual Insurance Company | Kemper | insurance violation | 2016 | TX-INS | $10,000 |
Hartford Casualty Insurance Company | Hartford Financial Services | insurance violation | 2016 | TX-INS | $13,000 |
Twin City Fire Insurance Company | Hartford Financial Services | insurance violation | 2016 | TX-INS | $9,500 |
American Home Assurance Company | American International Group | insurance violation | 2016 | TX-INS | $20,000 |
Scottrade Inc. | Charles Schwab Corp. | investor protection violation | 2016 | TX-SEC | $100,000 |
American Zurich Insurance Company | Zurich Insurance | insurance violation | 2016 | TX-INS | $13,571 |
Fireman's Fund Insurance Company | Allianz | insurance violation | 2016 | TX-INS | $15,000 |
Commerce and Industry Insurance Company | American International Group | insurance violation | 2016 | TX-INS | $12,500 |
Liberty Mutual Fire Insurance Company | Liberty Mutual Insurance | insurance violation | 2016 | TX-INS | $21,500 |
Sentry Insurance | Sentry Insurance | insurance violation | 2016 | TX-INS | $12,000 |
The Insurance Company of the State of Pennsylvania | American International Group | insurance violation | 2016 | TX-INS | $18,000 |
Liberty Mutual Fire Insurance Company | Liberty Mutual Insurance | insurance violation | 2016 | TX-INS | $8,000 |
Zurich American Insurance Company | Zurich Insurance | insurance violation | 2016 | TX-INS | $35,012 |
Berkley National Insurance Company | W.R. Berkley | insurance violation | 2016 | TX-INS | $8,000 |
National Interstate Insurance Company | American Financial Group | insurance violation | 2016 | TX-INS | $17,000 |
Granite State Insurance Company | American International Group | insurance violation | 2016 | TX-INS | $10,200 |
LM Insurance Corporation | Liberty Mutual Insurance | insurance violation | 2016 | TX-INS | $70,000 |
LM Insurance Corporation | Liberty Mutual Insurance | insurance violation | 2016 | TX-INS | $6,500 |
Lincoln National Life Insurance Company | Lincoln National | insurance violation | 2016 | TX-INS | $100,000 |
Liberty Insurance Corporation | Liberty Mutual Insurance | insurance violation | 2016 | TX-INS | $5,500 |
Illinois National Insurance Co | American International Group | insurance violation | 2016 | TX-INS | $24,250 |
QBE Insurance Corporation | QBE Insurance | insurance violation | 2016 | TX-INS | $21,565 |
The Travelers Indemnity Co. of Connecticut | Travelers | insurance violation | 2016 | TX-INS | $18,000 |
Old Republic Insurance Co | Old Republic International | insurance violation | 2016 | TX-INS | $28,921 |
Liberty Insurance Corporation | Liberty Mutual Insurance | insurance violation | 2016 | TX-INS | $8,000 |
Farmers Insurance Exchange | Farmers Insurance Exchange | insurance violation | 2016 | TX-INS | $117,500,000 |
American Fire and Casualty Co | Liberty Mutual Insurance | insurance violation | 2016 | TX-INS | $20,000 |
AIG Assurance Company | American International Group | insurance violation | 2016 | TX-INS | $51,750 |
AIG Property Casualty Company | American International Group | insurance violation | 2016 | TX-INS | $55,800 |
AIU Insurance Company | American International Group | insurance violation | 2016 | TX-INS | $27,180 |
American Home Assurance Company | American International Group | insurance violation | 2016 | TX-INS | $9,000 |
New Hampshire Insurance Company | American International Group | insurance violation | 2016 | TX-INS | $6,000 |
Charles Schwab & Co. Inc. | Charles Schwab Corp. | investor protection violation | 2016 | TX-SEC | $125,000 |
American States Insurance Company | Liberty Mutual Insurance | insurance violation | 2016 | TX-INS | $27,500 |
Federal Insurance Company | Chubb Limited | insurance violation | 2016 | TX-INS | $16,000 |
Travelers Property Casualty Company of America | Travelers | insurance violation | 2016 | TX-INS | $62,000 |
Old Republic National Title Insurance Company | Old Republic International | insurance violation | 2016 | TX-INS | $7,500 |
Marsh USA, Inc. | Marsh & McLennan | insurance violation | 2016 | TX-INS | $6,500 |
Bannockburn Global Forex, LLC | First Financial Bancorp. | consumer protection violation | 2016 | TX-FIN | $23,608 |
Arch Insurance Company | Arch Capital | insurance violation | 2016 | TX-INS | $32,500 |
Hartford Casualty Insurance Company | Hartford Financial Services | insurance violation | 2016 | TX-INS | $19,000 |
Hartford Underwriters Insurance Company | Hartford Financial Services | insurance violation | 2016 | TX-INS | $45,000 |