Hartford Fire Insurance Company | Hartford Financial Services | insurance violation | 2013 | SD-INS | $5,000 |
Hartford Accident and Indemnity | Hartford Financial Services | insurance violation | 2013 | SD-INS | $5,000 |
Hartford Fire Insurance Company | Hartford Financial Services | insurance violation | 2013 | SD-INS | $5,000 |
Sentinel Insurance Company Ltd. | Hartford Financial Services | insurance violation | 2013 | SD-INS | $5,000 |
Twin City Fire Insurance Company | Hartford Financial Services | insurance violation | 2013 | SD-INS | $5,000 |
Property & Casualty Insurance Company of Hartford | Hartford Financial Services | insurance violation | 2013 | SD-INS | $5,000 |
Protective Life Insurance Company | Dai-ichi Life | insurance violation | 2014 | SD-INS | $5,000 |
Protective Insurance Company | Progressive | insurance violation | 2014 | SD-INS | $7,500 |
American General Life Insurance Company | American International Group | insurance violation | 2014 | SD-INS | $15,000 |
General Casualty Company of Wisconsin | QBE Insurance | insurance violation | 2014 | SD-INS | $5,000 |
Hartford Accident and Indemnity | Hartford Financial Services | insurance violation | 2014 | SD-INS | $10,000 |
New Hampshire Insurance Company | American International Group | insurance violation | 2014 | SD-INS | $5,000 |
Union Security Insurance Company | Assurant | insurance violation | 2015 | SD-INS | $7,500 |
Foremost Insurance Group et al. | Zurich Insurance | insurance violation | 2015 | SD-INS | $750,000 |
Sentry Insurance Group | Sentry Insurance | insurance violation | 2015 | SD-INS | $125,000 |
Nationwide Life Insurance Company | Nationwide | insurance violation | 2015 | SD-INS | $10,000 |
Zurich American Insurance Company | Zurich Insurance | insurance violation | 2015 | SD-INS | $100,000 |
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 |
Old Republic Insurance Company | Old Republic International | insurance violation | 2017 | SD-INS | $5,000 |
Companion Life Insurance Company | BlueCross BlueShield of South Carolina | insurance violation | 2017 | SD-INS | $40,000 |
Hartford Life and Accident Insurance Company | Hartford Financial Services | insurance violation | 2018 | SD-INS | $10,000 |
Transamerica Life Insurance Company | Aegon | insurance violation | 2018 | SD-INS | $10,000 |
American Family Life Assurance Company | Aflac | insurance violation | 2019 | SD-INS | $100,000 |
Genworth Life Insurance Company | Genworth Financial | insurance violation | 2019 | SD-INS | $5,000 |
Transamerica Life Insurance Company | Aegon | insurance violation | 2019 | SD-INS | $30,000 |
Edward D. Jones & Co. L.P. | Jones Financial | investor protection violation | 2019 | SD-INS | $10,000 |
Federal Insurance Co. | Chubb Limited | insurance violation | 2020 | SD-INS | $25,000 |
Farmers Insurance Exchange | Farmers Insurance Exchange | insurance violation | 2020 | SD-INS | $85,000 |
Producers Agriculture Insurance Company | Tokio Marine | insurance violation | 2022 | SD-INS | $45,000 |
Highmark, Inc. | Highmark Inc. | insurance violation | 2023 | SD-INS | $5,000 |
American Memorial Life Insurance Company | Assurant | insurance violation | 2023 | SD-INS | $5,000 |
Washington National Insurance Co. | CNO Financial | insurance violation | 2023 | SD-INS | $15,000 |
Solium Financial Services LLC | Morgan Stanley | investor protection violation | 2020 | SD-SEC | $5,750 |
Ameritas Investment Corp. | Ameritas Mutual Holding Company | investor protection violation | 2021 | SD-SEC | $20,000 |
Barclays Capital Inc. | Barclays | investor protection violation | 2016 | SEC | $35,000,000 |
Credit Suisse Securities (USA) LLC | UBS | investor protection violation | 2016 | SEC | $54,300,000 |
Goldman Sachs & Co. | Goldman Sachs | investor protection violation | 2016 | SEC | $15,000,000 |
J.P. Morgan Securities LLC | JPMorgan Chase | investor protection violation | 2016 | SEC | $4,000,000 |
Morgan Stanley Investment Management | Morgan Stanley | investor protection violation | 2015 | SEC | $8,800,000 |
J.P. Morgan Securities LLC and JPMorgan Chase Bank N.A. | JPMorgan Chase | investor protection violation | 2015 | SEC | $267,000,000 |
ICBC Standard Bank Plc | Industrial and Commercial Bank of China | investor protection violation | 2015 | SEC | $4,200,000 |
UBS Willow Management LLC and UBS Fund Advisor LLC | UBS | investor protection violation | 2015 | SEC | $17,500,000 |
UBS AG | UBS | investor protection violation | 2015 | SEC | $19,500,000 |
UBS Financial Services Inc. of Puerto Rico | UBS | investor protection violation | 2015 | SEC | $15,000,000 |
Credit Suisse Securities (USA) LLC | UBS | data submission deficiencies | 2015 | SEC | $4,250,000 |
Citigroup Global Markets | Citigroup | investor protection violation | 2015 | SEC | $15,000,000 |
Citigroup Global Markets Inc. and Citigroup Alternative Investments LLC | Citigroup | investor protection violation | 2015 | SEC | $180,000,000 |
Edward D. Jones & Co. LP | Jones Financial | investor protection violation | 2015 | SEC | $20,000,000 |
Goldman Sachs & Co. | Goldman Sachs | investor protection violation | 2015 | SEC | $7,000,000 |
Merrill Lynch | Bank of America | investor protection violation | 2015 | SEC | $10,900,000 |
Deutsche Bank AG | Deutsche Bank | investor protection violation | 2015 | SEC | $55,000,000 |
BlackRock Advisors LLC | BlackRock | investor protection violation | 2015 | SEC | $12,000,000 |
UBS Securities LLC | UBS | investor protection violation | 2015 | SEC | $14,400,000 |
Morgan Stanley & Co. LLC | Morgan Stanley | investor protection violation | 2014 | SEC | $4,000,000 |
HSBC Private Bank (Suisse) | HSBC | investor protection violation | 2014 | SEC | $12,500,000 |
Bank of America Corporation | Bank of America | investor protection violation | 2014 | SEC | $7,650,000 |
Barclays Capital Inc. | Barclays | investor protection violation | 2014 | SEC | $15,000,000 |
Wells Fargo Advisors LLC | Wells Fargo | investor protection violation | 2014 | SEC | $5,000,000 |
Morgan Stanley | Morgan Stanley | toxic securities abuses | 2014 | SEC | $275,000,000 |
Credit Suisse Group AG | UBS | investor protection violation | 2014 | SEC | $196,000,000 |
Merrill Lynch | Bank of America | toxic securities abuses | 2013 | SEC | $131,800,000 |
Fifth Third Bancorp | Fifth Third Bancorp | accounting fraud or deficiencies | 2013 | SEC | $6,500,000 |
RBS Securities Inc. | NatWest Group PLC | toxic securities abuses | 2013 | SEC | $153,700,000 |
JPMorgan & Co. | JPMorgan Chase | accounting fraud or deficiencies | 2013 | SEC | $200,000,000 |
UBS Securities | UBS | toxic securities abuses | 2013 | SEC | $50,000,000 |
Capital One Financial Corporation | Capital One Financial | accounting fraud or deficiencies | 2013 | SEC | $3,500,000 |
J.P. Morgan Securities LLC | JPMorgan Chase | toxic securities abuses | 2012 | SEC | $296,900,000 |
Credit Suisse Securities (USA) | UBS | toxic securities abuses | 2012 | SEC | $120,000,000 |
Massachusetts Mutual Life Insurance Company | Massachusetts Mutual Life Insurance | investor protection violation | 2012 | SEC | $1,625,000 |
Goldman Sachs & Co. | Goldman Sachs | illicit political contributions | 2012 | SEC | $12,000,000 |
Wells Fargo | Wells Fargo | toxic securities abuses | 2012 | SEC | $6,500,000 |
Mizuho Financial Group | Mizuho Financial | investor protection violation | 2012 | SEC | $127,500,000 |
OppenheimerFunds Inc. | Invesco | investor protection violation | 2012 | SEC | $35,000,000 |
UBS Financial Services Inc. of Puerto Rico | UBS | investor protection violation | 2012 | SEC | $26,600,000 |
Option One Mortgage Corporation | Ocwen Financial | toxic securities abuses | 2012 | SEC | $28,200,000 |
Goldman Sachs & Co. | Goldman Sachs | investor protection violation | 2012 | SEC | $22,000,000 |
UBS Global Asset Management | UBS | investor protection violation | 2012 | SEC | $300,000 |
Morgan Stanley Investment Management | Morgan Stanley | investor protection violation | 2011 | SEC | $3,300,000 |
UBS Securities LLC | UBS | investor protection violation | 2011 | SEC | $8,000,000 |
Citigroup | Citigroup | toxic securities abuses | 2011 | SEC | $285,000,000 |
RBC Capital Markets LLC | Royal Bank of Canada | investor protection violation | 2011 | SEC | $30,400,000 |
Janney Montgomery Scott LLC | Penn Mutual | investor protection violation | 2011 | SEC | $850,000 |
Morgan Keegan & Company | Raymond James Financial | toxic securities abuses | 2011 | SEC | $200,000,000 |
J.P. Morgan Securities LLC | JPMorgan Chase | toxic securities abuses | 2011 | SEC | $153,600,000 |
Wells Fargo Securities LLC | Wells Fargo | toxic securities abuses | 2011 | SEC | $11,000,000 |
TD Ameritrade Inc. | Charles Schwab Corp. | investor protection violation | 2011 | SEC | $10,000,000 |
Charles Schwab Investment Management and Charles Schwab & Co., Inc. | Charles Schwab Corp. | investor protection violation | 2011 | SEC | $118,000,000 |
Citigroup Inc. | Citigroup | toxic securities abuses | 2010 | SEC | $75,000,000 |
Goldman Sachs & Co. | Goldman Sachs | toxic securities abuses | 2010 | SEC | $550,000,000 |
Bank of America | Bank of America | investor protection violation | 2010 | SEC | $150,000,000 |
BNY Mellon | Bank of New York Mellon | Foreign Corrupt Practices Act | 2015 | SEC | $14,800,000 |
Allianz SE | Allianz | Foreign Corrupt Practices Act | 2012 | SEC | $12,396,423 |
Aon Corporation | Aon | Foreign Corrupt Practices Act | 2011 | SEC | $14,545,020 |
State Street Bank and Trust Company | State Street Corp. | investor protection violation | 2016 | SEC | $382,400,000 |
Citigroup Global Markets | Citigroup | data submission deficiencies | 2016 | SEC | $7,000,000 |