Next Financial Group, Inc. | Atria Wealth Solutions | investor protection violation | 2019 | MA-SEC | $150,000 |
NEXT Financial Group, Inc. | Atria Wealth Solutions | investor protection violation | 2010 | MT-FIN | $5,000 |
Next Financial Group, Inc. | Atria Wealth Solutions | investor protection violation | 2020 | TX-SEC | $600,000 |
NEXT FINANCIAL GROUP, INC. | Atria Wealth Solutions | investor protection violation | 2015 | VA-SEC | $18,000 |
NEXT FINANCIAL GROUP, INC. | Atria Wealth Solutions | investor protection violation | 2017 | VA-SEC | $60,000 |
Next Financial Group, Inc. | Atria Wealth Solutions | investor protection violation | 2020 | VA-SEC | $5,000 |
NEXT Financial Group, Inc. | Atria Wealth Solutions | investor protection violation | 2011 | FINRA | $2,050,000 |
NEXT Financial Group, Inc. | Atria Wealth Solutions | investor protection violation | 2009 | FINRA | $1,000,000 |
Noble Americas Corp. | Vitol | railroad safety violation | 2012 | FRA | $15,000 |
Noble Americas Corp. | Vitol | investor protection violation | 2010 | CFTC | $130,000 |
Noble Americas Corporation | Vitol | railroad safety violation | 2017 | FRA | $6,500 |
Nomura Asset Acceptance Corporation and Nomura Home Equity Loan, Inc. | Nomura | toxic securities abuses | 2016 | NCUA | $3,000,000 |
Nomura Securities | Nomura | investor protection violation | 2022 | CFTC | $50,000,000 |
Nomura Securities International | Nomura | fraud | 2023 | USAO | $35,000,000 |
Nomura Securities International Inc. | Nomura | investor protection violation | 2019 | SEC | $26,400,000 |
Nomura Securities International Inc. | Nomura | price-fixing or anti-competitive practices | 2018 | private lawsuit-federal | $8,750,000 |
Nomura Securities International Inc. | Nomura | price-fixing or anti-competitive practices | 2020 | private lawsuit-federal | $20,833,333 |
Nomura Securities International, Inc. | Nomura | investor protection violation | 2022 | SEC | $50,000,000 |
Norddeutsche Landesbank Girozentrale | Norddeutsche Landesbank | employment discrimination | 2008 | private lawsuit-federal | $2,618,600 |
Norinchukin Bank | Norinchukin Bank | price-fixing or anti-competitive practices | 2019 | private lawsuit-federal | $13,083,333 |
Norinchukin Bank | Norinchukin Bank | price-fixing or anti-competitive practices | 2023 | private lawsuit-federal | $449,000 |
Norinchukin Bank | Norinchukin Bank | price-fixing or anti-competitive practices | 2023 | private lawsuit-federal | $30,000,000 |
North Pointe Insurance Co. | QBE Insurance | insurance violation | 2012 | IN-INS | $75,575 |
North Pointe Insurance Co. | QBE Insurance | insurance violation | 2014 | MO-INS | $8,000 |
North River Insurance Co. | Fairfax Financial Holdings | insurance violation | 2012 | CO-INS | $62,700 |
North River Insurance Company et al. | Fairfax Financial Holdings | insurance violation | 2021 | WA-INS | $25,000 |
Northern Trust | Northern Trust | benefit plan administrator violation | 2006 | private lawsuit-federal | $37,500,000 |
Northern Trust Company | Northern Trust | investor protection violation | 2019 | CFTC | $1,000,000 |
Northern Trust Hedge Fund Services LLC | Northern Trust | investor protection violation | 2020 | SEC | $167,629 |
Northern Trust Investments, N.A. | Northern Trust | benefit plan administrator violation | 2015 | private lawsuit-federal | $36,000,000 |
Northern Trust Securities | Northern Trust | investor protection violation | 2011 | FINRA | $600,000 |
Northern Trust, IBC | Northern Trust | economic sanction violation | 2003 | OFAC | $18,027 |
Northern Trust, National Association | Northern Trust | banking violation | 2008 | OCC | $125,000 |
Northwestern Mutual | Northwestern Mutual | wage and hour violation | 2016 | MI-LEO | $34,371 |
Northwestern Mutual | Northwestern Mutual | wage and hour violation | 2016 | MI-LEO | $68,815 |
NORTHWESTERN MUTUAL | Northwestern Mutual | wage and hour violation | 2023 | IL-DOL | $9,000 |
NORTHWESTERN MUTUAL | Northwestern Mutual | wage and hour violation | 2023 | IL-DOL | $9,000 |
NORTHWESTERN MUTUAL | Northwestern Mutual | wage and hour violation | 2023 | IL-DOL | $7,000 |
NORTHWESTERN MUTUAL | Northwestern Mutual | wage and hour violation | 2023 | IL-DOL | $7,000 |
Northwestern Mutual Investment Services | Northwestern Mutual | insurance violation | 2006 | PA-INS | $10,000 |
Northwestern Mutual Investment Services LLC | Northwestern Mutual | investor protection violation | 2024 | ME-SEC | $5,000 |
Northwestern Mutual Investment Services, LLC | Northwestern Mutual | investor protection violation | 2009 | FINRA | $200,000 |
Northwestern Mutual Investment Services, LLC | Northwestern Mutual | investor protection violation | 2007 | FINRA | $100,000 |
Northwestern Mutual Investment Services, LLC | Northwestern Mutual | investor protection violation | 2023 | NH-BSR | $200,000 |
Northwestern Mutual Investment Services LLC | Northwestern Mutual | investor protection violation | 2024 | SEC | $16,500,000 |
Northwestern Mutual Life Insurance Co. | Northwestern Mutual | insurance violation | 2019 | NY-DFS | $57,937 |
Northwestern Mutual Life Insurance Co. | Northwestern Mutual | insurance violation | 2020 | WA-INS | $50,000 |
Northwestern Mutual Life Insurance Co. | Northwestern Mutual | insurance violation | 2021 | VT-FIN | $287,000 |
Northwestern Mutual Life Insurance Company | Northwestern Mutual | insurance violation | 2023 | NH-INS | $200,000 |
Norwest Investment Services, Inc. | Wells Fargo | investor protection violation | 2002 | SEC | $153,245 |
Nuveen Investments, LLC | TIAA | investor protection violation | 2011 | FINRA | $3,000,000 |
Nuveen Securities LLC | TIAA | investor protection violation | 2023 | SEC | $8,500,000 |
Nuveen Services LLC | TIAA | wage and hour violation | 2018 | IL-DOL | $27,983 |
NYLIFE Securities LLC | New York Life Insurance | investor protection violation | 2019 | ME-SEC | $50,000 |
NYLIFE Securities LLC | New York Life Insurance | investor protection violation | 2017 | NH-BSR | $7,500 |
NYLIFE Securities LLC | New York Life Insurance | investor protection violation | 2007 | FINRA | $354,000 |
NYLife Securities, Inc. | New York Life Insurance | investor protection violation | 2004 | FINRA | $350,000 |
NYLIFE Securities, LLC | New York Life Insurance | investor protection violation | 2017 | IN-SEC | $275,000 |
Nyrstar Clarksville | Trafigura | environmental violation | 2019 | TN-ENV | $181,482 |
Nyrstar Clarksville | Trafigura | environmental violation | 2019 | TN-ENV | $622,389 |
Nyrstar Clarksville Inc. | Trafigura | environmental violation | 2023 | TN-ENV | $17,500 |
NYRSTAR CLARKSVILLE INC. | Trafigura | workplace safety or health violation | 2022 | OSHA | $14,400 |
Nyrstar Clarksville, Inc. | Trafigura | railroad safety violation | 2010 | FRA | $5,000 |
NYRSTAR CLARKSVILLE, INC. | Trafigura | railroad safety violation | 2009 | FRA | $10,000 |
NYRSTAR CLARKSVILLE, INC. | Trafigura | workplace safety or health violation | 2020 | OSHA | $28,916 |
NYRSTAR CLARKSVILLE, INC. | Trafigura | environmental violation | 2010 | EPA | $45,524 |
Nyrstar Gordonsville LLC | Trafigura | environmental violation | 2013 | TN-ENV | $5,000 |
Nyrstar Gordonsville, LLC | Trafigura | workplace safety or health violation | 2019 | MSHA | $72,600 |
Nyrstar Gordonsville, LLC | Trafigura | workplace safety or health violation | 2019 | MSHA | $11,041 |
Nyrstar Gordonsville, LLC | Trafigura | workplace safety or health violation | 2019 | MSHA | $7,401 |
Nyrstar Gordonsville, LLC | Trafigura | workplace safety or health violation | 2019 | MSHA | $8,016 |
Nyrstar Gordonsville, LLC | Trafigura | workplace safety or health violation | 2014 | MSHA | $10,437 |
Nyrstar Gordonsville, LLC | Trafigura | workplace safety or health violation | 2014 | MSHA | $5,080 |
Nyrstar Gordonsville, LLC | Trafigura | workplace safety or health violation | 2014 | MSHA | $13,268 |
Nyrstar Gordonsville, LLC | Trafigura | workplace safety or health violation | 2014 | MSHA | $6,500 |
Nyrstar Gordonsville, LLC | Trafigura | workplace safety or health violation | 2014 | MSHA | $8,209 |
Nyrstar Gordonsville, LLC | Trafigura | workplace safety or health violation | 2014 | MSHA | $8,209 |
Nyrstar Gordonsville, LLC | Trafigura | workplace safety or health violation | 2014 | MSHA | $33,400 |
Nyrstar Gordonsville, LLC | Trafigura | workplace safety or health violation | 2014 | MSHA | $14,743 |
Nyrstar Gordonsville, LLC | Trafigura | workplace safety or health violation | 2014 | MSHA | $8,893 |
Nyrstar Gordonsville, LLC | Trafigura | workplace safety or health violation | 2014 | MSHA | $8,000 |
Nyrstar Gordonsville, LLC | Trafigura | workplace safety or health violation | 2014 | MSHA | $8,600 |
Nyrstar Gordonsville, LLC | Trafigura | workplace safety or health violation | 2014 | MSHA | $8,000 |
Nyrstar Gordonsville, LLC | Trafigura | workplace safety or health violation | 2014 | MSHA | $11,500 |
Nyrstar Gordonsville, LLC | Trafigura | workplace safety or health violation | 2010 | MSHA | $38,925 |
Nyrstar Gordonsville, LLC | Trafigura | workplace safety or health violation | 2010 | MSHA | $38,925 |
Nyrstar Gordonsville, LLC | Trafigura | workplace safety or health violation | 2010 | MSHA | $5,000 |
Nyrstar Gordonsville, LLC | Trafigura | workplace safety or health violation | 2014 | MSHA | $5,000 |
Nyrstar Tennessee Mines - Gordonsville, LLC | Trafigura | environmental violation | 2017 | TN-ENV | $41,760 |
Nyrstar Tennessee Mines - Gordonsville, LLC | Trafigura | workplace safety or health violation | 2012 | MSHA | $7,115 |
Nyrstar Tennessee Mines - Gordonsville, LLC | Trafigura | workplace safety or health violation | 2014 | MSHA | $8,209 |
Nyrstar Tennessee Mines - Gordonsville, LLC | Trafigura | workplace safety or health violation | 2014 | MSHA | $8,209 |
Nyrstar Tennessee Mines - Gordonsville, LLC | Trafigura | workplace safety or health violation | 2014 | MSHA | $8,209 |
Nyrstar Tennessee Mines - Gordonsville, LLC | Trafigura | workplace safety or health violation | 2020 | MSHA | $5,332 |
Nyrstar Tennessee Mines - Gordonsville, LLC | Trafigura | workplace safety or health violation | 2015 | MSHA | $5,080 |
Nyrstar Tennessee Mines - Gordonsville, LLC | Trafigura | workplace safety or health violation | 2011 | MSHA | $13,268 |
Nyrstar Tennessee Mines - Gordonsville, LLC | Trafigura | workplace safety or health violation | 2023 | MSHA | $9,979 |
Nyrstar Tennessee Mines - Gordonsville, LLC | Trafigura | workplace safety or health violation | 2013 | MSHA | $6,351 |
Nyrstar Tennessee Mines - Gordonsville, LLC | Trafigura | workplace safety or health violation | 2012 | MSHA | $6,996 |
Nyrstar Tennessee Mines - Gordonsville, LLC | Trafigura | workplace safety or health violation | 2019 | MSHA | $36,151 |
Nyrstar Tennessee Mines - Gordonsville, LLC | Trafigura | workplace safety or health violation | 2010 | MSHA | $6,200 |