| Federal Insurance Company | Chubb Limited | insurance violation | 2017 | TX-INS | $22,500 |
| Liberty Insurance Corporation | Liberty Mutual Insurance | insurance violation | 2017 | TX-INS | $13,750 |
| Trumbull Insurance Company | Hartford Financial Services | insurance violation | 2017 | TX-INS | $9,000 |
| Arch Insurance Company | Arch Capital | insurance violation | 2017 | TX-INS | $5,000 |
| Zurich American Insurance Company | Zurich Insurance | insurance violation | 2017 | TX-INS | $32,400 |
| Ace American Insurance Company | Chubb Limited | insurance violation | 2017 | TX-INS | $5,255 |
| Travelers Lloyds of Texas Insurance Company | Travelers | insurance violation | 2017 | TX-INS | $10,000 |
| Employers Insurance Company of Wausau | Liberty Mutual Insurance | insurance violation | 2017 | TX-INS | $30,000 |
| Marsh & McLennan Agency LLC | Marsh & McLennan | insurance violation | 2017 | TX-INS | $6,825 |
| American Alternative Insurance Corporation | Munich Re | insurance violation | 2017 | TX-INS | $160,000 |
| State Farm Fire and Casualty Company | State Farm Insurance | insurance violation | 2017 | TX-INS | $11,000 |
| Liberty Mutual Insurance | Liberty Mutual Insurance | insurance violation | 2017 | UT-INS | $5,000 |
| United States Fire Insurance Company | Fairfax Financial Holdings | insurance violation | 2017 | UT-INS | $67,500 |
| ALLIED PROPERTY & CASUALTY INSURANCE CO. | Nationwide | insurance violation | 2017 | VA-INS | $678,398 |
| SELECTIVE INSURANCE COMPANY OF AMERICA | Selective Insurance Group | insurance violation | 2017 | VA-INS | $339,333 |
| STATE FARM MUTUAL INSURANCE CO | State Farm Insurance | insurance violation | 2017 | VA-INS | $50,600 |
| AMERICAN STRATEGIC INSURANCE | Progressive | insurance violation | 2017 | VA-INS | $41,962 |
| LIBERTY INSURANCE CORP et al. | Liberty Mutual Insurance | insurance violation | 2017 | VA-INS | $8,652 |
| FEDERAL INSURANCE COMPANY | Chubb Limited | insurance violation | 2017 | VA-INS | $6,261 |
| NEXT FINANCIAL GROUP, INC. | Atria Wealth Solutions | investor protection violation | 2017 | VA-SEC | $60,000 |
| PROGRESSIVE DIRECT INSURANCE | Progressive | insurance violation | 2017 | VA-INS | $9,839,379 |
| UNITED SERVICES AUTOMOBILE ASSOCIATION ET AL. | USAA | insurance violation | 2017 | VA-INS | $182,209 |
| HARTFORD ACCIDENT & INDEMNITY | Hartford Financial Services | insurance violation | 2017 | VA-INS | $39,488 |
| UNITED STATES FIRE INSURANCE CO | Fairfax Financial Holdings | insurance violation | 2017 | VA-INS | $25,000 |
| United Services Automobile Association (USAA) | USAA | insurance violation | 2017 | VT-FIN | $85,000 |
| Liberty Mutual Insurance | Liberty Mutual Insurance | insurance violation | 2017 | VT-FIN | $20,000 |
| State Farm Fire & Casualty Company | State Farm Insurance | insurance violation | 2017 | WA-INS | $10,000 |
| American Modern Home Insurance Company | Munich Re | insurance violation | 2017 | WA-INS | $5,000 |
| Farmers Insurance Exchange And Mid-Century Insurance Company | Farmers Insurance Exchange | insurance violation | 2017 | WA-INS | $50,000 |
| Amco Insurance Company | Nationwide | insurance violation | 2017 | WA-INS | $5,000 |
| AGCS Marine Insurance Company | Allianz | insurance violation | 2017 | WA-INS | $5,000 |
| Federal Insurance Company | Chubb Limited | insurance violation | 2017 | WA-INS | $30,000 |
| Farmers Insurance Company Of Washington | Zurich Insurance | insurance violation | 2017 | WA-INS | $10,000 |
| Farmers Insurance Exchange et al. | Farmers Insurance Exchange | insurance violation | 2017 | WA-INS | $25,000 |
| Hartford Insurance Company The Midwest | Hartford Financial Services | insurance violation | 2017 | WA-INS | $10,000 |
| Ticor Title Company | Fidelity National Financial | insurance violation | 2017 | WA-INS | $6,000 |
| AIG Assurance Company et al. | American International Group | insurance violation | 2017 | WA-INS | $25,000 |
| United States Fire Insurance Company | Fairfax Financial Holdings | insurance violation | 2017 | WA-INS | $10,000 |
| Twin City Fire Insurance Company | Hartford Financial Services | insurance violation | 2017 | WA-INS | $30,000 |
| Ameritas Life Insurance Corp | Ameritas Mutual Holding Company | insurance violation | 2017 | WA-INS | $10,000 |
| Titan Indemnity Company; Victoria Fire & Casualty Company | Nationwide | insurance violation | 2017 | WA-INS | $60,000 |
| Depositors Insurance Company | Nationwide | insurance violation | 2017 | WA-INS | $10,000 |
| American Family Life Insurance Company of Columbus | Aflac | insurance violation | 2017 | MULTI-FIN | $350,000 |
| American Modern Home Insurance Company | Munich Re | insurance violation | 2017 | MULTI-FIN | $255,000 |
| Arch Insurance Company | Arch Capital | insurance violation | 2017 | MULTI-FIN | $1,017,000 |
| BCS Insurance Company | BCS Financial Corporation | insurance violation | 2017 | MULTI-FIN | $1,000,000 |
| Generali U.S. Branch | Assicurazioni Generali | insurance violation | 2017 | MULTI-FIN | $492,000 |
| Jefferson Insurance Company | Allianz | insurance violation | 2017 | MULTI-FIN | $1,800,000 |
| Old Republic Insurance Company | Old Republic International | insurance violation | 2017 | MULTI-FIN | $298,958 |
| QBE Holdings Inc. | QBE Insurance | insurance violation | 2017 | MULTI-FIN | $21,164,000 |
| State Farm Life Insurance Company et al. | State Farm Insurance | insurance violation | 2017 | MULTI-FIN | $250,000 |
| Transamerica Casualty Insurance Company | Aegon | insurance violation | 2017 | MULTI-FIN | $3,000,000 |
| United States Fire Insurance Company | Fairfax Financial Holdings | insurance violation | 2017 | MULTI-FIN | $1,914,370 |
| Wells Fargo Bank, N.A. | Wells Fargo | privacy violation | 2017 | private lawsuit-federal | $30,446,022 |
| Iberiabank Corp | First Horizon National | environmental violation | 2017 | LA-ENV | $14,213 |
| WHEELABRATOR GLOUCESTER COMPANY L P | Macquarie | environmental violation | 2017 | NJ-ENV | $6,000 |
| Regions Bank | Regions Financial | environmental violation | 2017 | TN-ENV | $20,750 |
| Nyrstar Tennessee Mines - Gordonsville, LLC | Trafigura | environmental violation | 2017 | TN-ENV | $41,760 |
| Buckeye Terminals, LLC | IFM Investors | environmental violation | 2017 | VA-ENV | $9,537 |
| Navy Federal Credit Union | Navy Federal Credit Union | environmental violation | 2017 | VA-ENV | $7,426 |
| Citigroup Global Markets Inc. | Citigroup | investor protection violation | 2017 | FINRA | $11,500,000 |
| J.P. Morgan Securities | JPMorgan Chase | investor protection violation | 2017 | FINRA | $2,800,000 |
| Raymond James Financial Services, Inc. | Raymond James Financial | investor protection violation | 2017 | FINRA | $2,000,000 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Bank of America | investor protection violation | 2017 | FINRA | $1,400,000 |
| J.P. Morgan Securities, LLC | JPMorgan Chase | investor protection violation | 2017 | FINRA | $1,250,000 |
| Wells Fargo Clearing Services, LLC and Wells Fargo Advisors Financial Network, LLC | Wells Fargo | investor protection violation | 2017 | FINRA | $3,400,000 |
| Morgan Stanley Smith Barney LLC | Morgan Stanley | investor protection violation | 2017 | FINRA | $13,030,000 |
| Deutsche Bank Securities Inc. | Deutsche Bank | investor protection violation | 2017 | FINRA | $2,500,000 |
| Citigroup Global Markets Inc. | Citigroup | investor protection violation | 2017 | FINRA | $1,000,000 |
| J.P. Morgan Securities LLC | JPMorgan Chase | investor protection violation | 2017 | FINRA | $800,000 |
| Interactive Brokers LLC | Interactive Brokers Group | investor protection violation | 2017 | FINRA | $450,000 |
| Wells Fargo | Wells Fargo | workplace whistleblower retaliation | 2017 | OSHA | $577,500 |
| Wells Fargo Bank N.A | Wells Fargo | workplace whistleblower retaliation | 2017 | OSHA | $5,400,000 |
| R. R. Donnelley & Sons Co | Chatham Asset Management | environmental violation | 2017 | CA-SCAQMD | $27,500 |
| Credit Suisse Energy LLC | UBS | utility service violation | 2017 | TX-PUC | $7,500 |
| Deutsche Bank AG | Deutsche Bank | price-fixing or anti-competitive practices | 2017 | private lawsuit-federal | $77,000,000 |
| JPMorgan Chase & Co. | JPMorgan Chase | price-fixing or anti-competitive practices | 2017 | private lawsuit-federal | $71,000,000 |
| Assurant Inc. | Assurant | consumer protection violation | 2017 | private lawsuit-federal | $3,350,000 |
| Bank of America N.A. | Bank of America | consumer protection violation | 2017 | private lawsuit-federal | $29,000,000 |
| CashCall Inc. and Delbert Service Corporation | CashCall Inc. | consumer protection violation | 2017 | private lawsuit-federal | $14,435,000 |
| JPMorgan Chase & Co. | JPMorgan Chase | consumer protection violation | 2017 | private lawsuit-federal | $2,295,000 |
| Massachusetts Mutual Life Insurance Company | Massachusetts Mutual Life Insurance | consumer protection violation | 2017 | private lawsuit-federal | $37,500,000 |
| Ocwen Loan Servicing, LLC | Ocwen Financial | consumer protection violation | 2017 | private lawsuit-federal | $600,000 |
| PayPal, Inc. | PayPal Holdings | consumer protection violation | 2017 | private lawsuit-federal | $4,000,000 |
| TD Bank, N.A. | Toronto-Dominion Bank | consumer protection violation | 2017 | private lawsuit-federal | $500,000 |
| Branch Banking & Trust Co. | Truist Financial | consumer protection violation | 2017 | private lawsuit-federal | $3,350,000 |
| United Services Automobile Association | USAA | consumer protection violation | 2017 | private lawsuit-federal | $53,200,000 |
| Wells Fargo Bank N.A. | Wells Fargo | consumer protection violation | 2017 | private lawsuit-federal | $750,000 |
| Wells Fargo Bank N.A. | Wells Fargo | consumer protection violation | 2017 | private lawsuit-federal | $880,000 |
| Wells Fargo N.A. | Wells Fargo | consumer protection violation | 2017 | private lawsuit-federal | $50,000,000 |
| Citizens Bank | Citizens Financial Group | wage and hour violation | 2017 | MI-LEO | $5,719 |
| New York Life Insurance Company | New York Life Insurance | wage and hour violation | 2017 | MI-LEO | $8,000 |
| Allstate Insurance | Allstate | wage and hour violation | 2017 | MI-LEO | $5,000 |
| Allstate Insurance Company | Allstate | wage and hour violation | 2017 | MI-LEO | $5,000 |
| Bankers Life & Casualty | CNO Financial | wage and hour violation | 2017 | MI-LEO | $16,190 |
| WELLS FARGO BANK, NA | Wells Fargo | workplace safety or health violation | 2017 | OSHA | $9,000 |
| IAC ALBEMARLE, LLC | Invesco | workplace safety or health violation | 2017 | OSHA | $7,000 |
| BUCKEYE PARTNERS, L.P. | IFM Investors | workplace safety or health violation | 2017 | OSHA | $7,000 |
| WHEELABRATOR SAUGUS, INC. | Macquarie | workplace safety or health violation | 2017 | OSHA | $17,600 |
| FITTJE BROS. PRINTING CO. | Chatham Asset Management | workplace safety or health violation | 2017 | OSHA | $5,000 |
| CLECO CORPORATION | Macquarie | workplace safety or health violation | 2017 | OSHA | $8,626 |
