AXA Financial | Equitable Holdings | wage and hour violation | 2009 | private lawsuit-federal | $6,500,000 |
A.G. Edwards | Wells Fargo | wage and hour violation | 2009 | private lawsuit-federal | $12,000,000 |
MetLife | MetLife | wage and hour violation | 2009 | private lawsuit-federal | $7,400,000 |
Janney Montgomery Scott | Penn Mutual | wage and hour violation | 2009 | private lawsuit-federal | $2,880,000 |
Morgan Stanley | Morgan Stanley | wage and hour violation | 2009 | private lawsuit-federal | $50,000,000 |
HSBC Auto Finance | HSBC | wage and hour violation | 2009 | private lawsuit-federal | $420,000 |
Banco Popular | Popular Inc. | wage and hour violation | 2009 | private lawsuit-federal | $1,050,000 |
Champion Mortgage and KeyBank | KeyCorp | wage and hour violation | 2009 | private lawsuit-federal | $1,200,000 |
Home Loan Center Inc. | LendingTree | wage and hour violation | 2009 | private lawsuit-federal | $2,500,000 |
Hewitt Associates | Aon | wage and hour violation | 2009 | private lawsuit-federal | $4,900,000 |
Banc of America Investment Services, Inc. | Bank of America | investor protection violation | 2009 | SEC | $150,000 |
AXA Advisors, LLC | Equitable Holdings | investor protection violation | 2009 | SEC | $50,000 |
New York Life Investment Management LLC | New York Life Insurance | investor protection violation | 2009 | SEC | $6,100,784 |
American Skandia Investment Services, Inc. | Prudential Financial | investor protection violation | 2009 | SEC | $68,000,000 |
TD Options LLC | Toronto-Dominion Bank | investor protection violation | 2009 | SEC | $1,000,000 |
Goldman Sachs Execution & Clearing, L.P. and SLK-Hull Derivatives LLC | Goldman Sachs | investor protection violation | 2009 | SEC | $7,200,000 |
Knight Financial Products, LLC | Virtu Financial | investor protection violation | 2009 | SEC | $2,040,000 |
RBC Capital Markets Corporation | Royal Bank of Canada | investor protection violation | 2009 | SEC | $125,000 |
Oppenheimer & Co. Inc | Oppenheimer Holdings | investor protection violation | 2009 | SEC | $850,000 |
SG Americas Securities, LLC | Societe Generale | investor protection violation | 2009 | SEC | $8,384,932 |
Ferris, Baker Watts, Inc. | Royal Bank of Canada | investor protection violation | 2009 | SEC | $800,656 |
Gabelli Funds, LLC | Gamco Investors Inc. | investor protection violation | 2009 | SEC | $450,000 |
Bank of Hawaii | Bank of Hawaii | benefit plan administrator violation | 2009 | EBSA | $2,500,000 |
Banc of America Investment Services | Bank of America | employment discrimination | 2009 | private lawsuit-federal | $7,200,000 |
Merrill Lynch & Co., Inc. | Bank of America | benefit plan administrator violation | 2009 | private lawsuit-federal | $75,000,000 |
Countrywide Financial Corporation | Bank of America | benefit plan administrator violation | 2009 | private lawsuit-federal | $55,000,000 |
Wachovia Securities | Wells Fargo | benefit plan administrator violation | 2009 | private lawsuit-federal | $1,005,000 |
Bank of New York Mellon Corporation | Bank of New York Mellon | benefit plan administrator violation | 2009 | private lawsuit-federal | $2,200,000 |
MBNA Corp. | Bank of America | benefit plan administrator violation | 2009 | private lawsuit-federal | $4,500,000 |
American International Group | American International Group | wage and hour violation | 2009 | MA-AG | $900,000 |
Ameriprise Financial Services, Inc. | Ameriprise Financial | consumer protection violation | 2009 | MA-AG | $200,000 |
Bank of America | Bank of America | privacy violation | 2009 | CT-AG | $350,000 |
Chase Bank USA, N.A. | JPMorgan Chase | consumer protection violation | 2009 | NY-AG | $4,400,000 |
Citigroup Global Markets Inc. | Citigroup | investor protection violation | 2009 | DE-AG | $309,000 |
Citigroup Global Markets Inc. | Citigroup | investor protection violation | 2009 | NJ-AG | $3,300,932 |
Countrywide Financial Corp. | Bank of America | mortgage abuses | 2009 | CO-AG | $6,000,000 |
Countrywide Financial Corp. | Bank of America | mortgage abuses | 2009 | RI-AG | $1,146,000 |
Countrywide Financial Corporation | Bank of America | mortgage abuses | 2009 | OR-AG | $1,000,000 |
Countrywide Financial Corporation | Bank of America | mortgage abuses | 2009 | PA-AG | $150,000,000 |
Countrywide Financial Corporation | Bank of America | mortgage abuses | 2009 | SD-AG | $161,805 |
Countrywide Financial Corporation | Bank of America | mortgage abuses | 2009 | WI-AG | $41,100,000 |
Countrywide Financial Corporation | Bank of America | mortgage abuses | 2009 | WV-AG | $340,901 |
Countrywide Home Loans | Bank of America | mortgage abuses | 2009 | IN-AG | $2,800,000 |
Deutsche Bank Securities, Inc. | Deutsche Bank | investor protection violation | 2009 | NJ-AG | $1,057,350 |
Encore Capital Group Inc., Midland Credit Management, Inc. and Midland Funding LLC | Encore Capital Group | consumer protection violation | 2009 | MD-AG | $998,000 |
Goldman Sachs & Co. | Goldman Sachs | mortgage abuses | 2009 | MA-AG | $60,000,000 |
Great American Insurance Co. | American Financial Group | insurance violation | 2009 | MA-AG | $176,000 |
Great American Life Insurance Company | Massachusetts Mutual Life Insurance | insurance violation | 2009 | MN-AG | $50,000,000 |
Guardian Life Insurance Company of America | Guardian Life Insurance | discriminatory practices (non-employment) | 2009 | NY-AG | $500,000 |
H&R Block | H&R Block | consumer protection violation | 2009 | CA-AG | $4,850,000 |
Hanover Insurance Co. | Hanover Insurance | consumer protection violation | 2009 | MA-AG | $415,000 |
Hartford Financial Services Group, Inc. | Hartford Financial Services | price-fixing or anti-competitive practices | 2009 | CT-AG | $1,300,000 |
HealthNow NewYork, Inc. | Highmark Inc. | consumer protection violation | 2009 | NY-AG | $212,500 |
Marsh & McLennan Companies, Inc. | Marsh & McLennan | kickbacks and bribery | 2009 | CT-AG | $2,400,000 |
Marsh and McLennan | Marsh & McLennan | investor protection violation | 2009 | MULTI-AG | $400,000,000 |
Marsh and McLennan | Marsh & McLennan | price-fixing or anti-competitive practices | 2009 | MULTI-AG | $7,000,000 |
Merrill Lynch | Bank of America | investor protection violation | 2009 | DE-AG | $459,000 |
Merrill Lynch | Bank of America | toxic securities abuses | 2009 | MA-AG | $300,000 |
Merrill Lynch | Bank of America | investor protection violation | 2009 | OH-AG | $475,000,000 |
Morgan Stanley Capital Group Inc. | Morgan Stanley | consumer protection violation | 2009 | FL-AG | $2,275,000 |
OppenheimerFunds Inc. | Invesco | investor protection violation | 2009 | OR-AG | $20,000,000 |
OppenheimerFunds, Inc. | Invesco | investor protection violation | 2009 | IL-AG | $77,230,000 |
Progressive Direct Insurance Co. | Progressive | consumer protection violation | 2009 | MA-AG | $120,000 |
Royal Bank of Canada | Royal Bank of Canada | investor protection violation | 2009 | DE-AG | $22,156 |
Student Loan Xpress, Inc. | First Citizens BancShares | consumer protection violation | 2009 | MULTI-AG | $112,825,000 |
TD Ameritrade, Inc. | Charles Schwab Corp. | investor protection violation | 2009 | MULTI-AG | $456,000,000 |
The Chubb Corp. | Chubb Limited | consumer protection violation | 2009 | MA-AG | $239,011 |
Wachovia Securities, LLC | Wells Fargo | investor protection violation | 2009 | DE-AG | $309,000 |
Wells Fargo | Wells Fargo | investor protection violation | 2009 | CA-AG | $1,400,000,000 |
Credit Suisse AG | UBS | economic sanction violation | 2009 | NY-MANDA | $268,000,000 |
Lloyds TSB Bank plc | Lloyds Banking Group | economic sanction violation | 2009 | NY-MANDA | $175,000,000 |
Seabury & Smith, Inc. | Marsh & McLennan | insurance violation | 2009 | AK-INS | $39,378 |
Allied Home Mortgage Capital Corp. | Americus Mortgage | investor protection violation | 2009 | AR-SEC | $10,000 |
Coast National Insurance Co. | Zurich Insurance | insurance violation | 2009 | AZ-DIFI | $38,000 |
New York Life Insurance Co. | New York Life Insurance | insurance violation | 2009 | CA-INS | $175,000 |
Fidelity National Title Co. | Fidelity National Financial | insurance violation | 2009 | CA-INS | $365,000 |
Conseco Senior Health Insurance Co. | CNO Financial | insurance violation | 2009 | CA-INS | $500,000 |
Coast National Insurance Co. | Zurich Insurance | insurance violation | 2009 | CA-INS | $150,000 |
National Western Life Insurance Co. | National Western Life | insurance violation | 2009 | CO-INS | $11,500 |
Time Insurance Co. | Haven Holdings | insurance violation | 2009 | CO-INS | $103,500 |
Permanent General Assurance Corp. | American Family Insurance | insurance violation | 2009 | CO-INS | $31,900 |
Freedom Mortgage Corp. | Freedom Mortgage | consumer protection violation | 2009 | CT-BKG | $43,000 |
PHH Mortgage Corp. dba Century Mortgage | Ocwen Financial | consumer protection violation | 2009 | CT-BKG | $6,000 |
Safeco | Liberty Mutual Insurance | insurance violation | 2009 | CT-INS | $434,000 |
Prosper Marketplace, Inc. | Prosper Marketplace | investor protection violation | 2009 | CT-SEC | $12,602 |
Bankers Life & Casualty Co. | CNO Financial | insurance violation | 2009 | CT-INS | $100,000 |
Citigroup Global Markets Inc. | Citigroup | consumer protection violation | 2009 | CT-BKG | $75,000 |
Ameritrade, Inc. | Charles Schwab Corp. | investor protection violation | 2009 | DE-SEC | $40,000 |
USAA Life Insurance Co. | USAA | insurance violation | 2009 | FL-OFR | $50,000 |
Universal Property & Casualty Insurance Co. | Universal Insurance Holdings | insurance violation | 2009 | FL-OFR | $99,000 |
National Union Fire Insurance Company of Pittsburgh, Pa. | American International Group | insurance violation | 2009 | ID-INS | $5,000 |
State Farm Mutual Automobile Insurance Co. et al. | State Farm Insurance | insurance violation | 2009 | IN-INS | $275,000 |
Chicago Title Insurance Co. | Fidelity National Financial | insurance violation | 2009 | IN-INS | $24,150 |
Ticor Title Insurance Co. | Fidelity National Financial | insurance violation | 2009 | IN-INS | $10,850 |
Liberty Mutual Insurance Co. | Liberty Mutual Insurance | insurance violation | 2009 | IN-INS | $5,000 |
Reliance Standard Life Insurance Co. | Tokio Marine | insurance violation | 2009 | KS-INS | $6,300 |
Old Republic Insurance Co. | Old Republic International | insurance violation | 2009 | KS-INS | $5,000 |
Progressive Direct Insurance Co. | Progressive | insurance violation | 2009 | KS-INS | $5,000 |
Bankers Life & Casualty Co. | CNO Financial | insurance violation | 2009 | KS-INS | $8,000 |
AmeriSave Mortgage Corp. | AmeriSave Mortgage | consumer protection violation | 2009 | KY-FIN | $18,000 |
Allied Home Mortgage Capital Corp. | Americus Mortgage | consumer protection violation | 2009 | KY-FIN | $5,740 |