SG Cowen & Co., LLC f/k/a SG Cowen Securities Corporation |
Cowen Inc. |
investor protection violation |
2004 |
SEC |
$125,000 |
Janus Capital Management LLC |
Janus Henderson |
investor protection violation |
2004 |
SEC |
$100,000,000 |
Conseco, Inc. |
CNO Financial |
investor protection violation |
2004 |
SEC |
$15,000,000 |
Fidelity Brokerage Services, LLC |
Fidelity Investments |
investor protection violation |
2004 |
SEC |
$1,000,000 |
Franklin Advisers, Inc. |
Franklin Resources |
investor protection violation |
2004 |
SEC |
$50,000,000 |
Banc One Investment Advisors Corporation |
JPMorgan Chase |
investor protection violation |
2004 |
SEC |
$50,000,000 |
Wilmington Trust Company |
M&T Bank |
investor protection violation |
2004 |
SEC |
$125,000 |
Strong Capital Management, Inc. |
Wells Fargo |
investor protection violation |
2004 |
SEC |
$80,000,000 |
Putnam Investment Management LLC |
Power Financial Corporation |
investor protection violation |
2004 |
SEC |
$55,000,000 |
Massachusetts Financial Services Company |
Sun Life Financial |
investor protection violation |
2004 |
SEC |
$50,000,000 |
Spear, Leeds & Kellogg Specialists LLC |
Goldman Sachs |
investor protection violation |
2004 |
SEC |
$45,272,478 |
FleetBoston Financial Corporation |
Bank of America |
investor protection violation |
2004 |
SEC |
$140,000,000 |
Banc of America Securities LLC |
Bank of America |
investor protection violation |
2004 |
SEC |
$10,000,000 |
American Express Financial Advisors Inc. |
Ameriprise Financial |
investor protection violation |
2004 |
SEC |
$3,706,693 |
Legg Mason Wood Walker, Inc. |
Franklin Resources |
investor protection violation |
2004 |
SEC |
$2,315,467 |
Raymond James Financial Services, Inc. |
Raymond James Financial |
investor protection violation |
2004 |
SEC |
$2,595,129 |
UBS Financial Services Inc. |
UBS |
investor protection violation |
2004 |
SEC |
$4,621,768 |
Wachovia Securities, LLC |
Wells Fargo |
investor protection violation |
2004 |
SEC |
$4,844,465 |
Massachusetts Financial Services Co. |
Sun Life Financial |
investor protection violation |
2004 |
SEC |
$225,000,000 |
AmSouth |
Regions Financial |
anti-money-laundering deficiencies |
2004 |
FINCEN |
$10,000,000 |
Morgan Stanley |
Morgan Stanley |
employment discrimination |
2004 |
EEOC |
$54,000,000 |
Doral Mortgage Corp. |
Doral Financial |
wage and hour violation |
2004 |
WHD |
$21,680 |
National City Mortgage, Co. |
PNC Financial Services |
wage and hour violation |
2004 |
WHD |
$6,150 |
American Express Travel Related Services Comp |
American Express |
Family and Medical Leave Act |
2004 |
WHD |
$26,722 |
First Horizon National Corporation |
First Horizon National |
wage and hour violation |
2004 |
WHD |
$9,344 |
Ace America's Cash Express, Inc. |
ACE Cash Express |
wage and hour violation |
2004 |
WHD |
$26,295 |
Wells Fargo Bank, National Association |
Wells Fargo |
wage and hour violation |
2004 |
WHD |
$228,209 |
Bank of America Corporation |
Bank of America |
wage and hour violation |
2004 |
WHD |
$5,972 |
AON Consulting Corporation Inc |
Aon |
wage and hour violation |
2004 |
WHD |
$47,131 |
JPMorgan Chase Bank |
JPMorgan Chase |
wage and hour violation |
2004 |
WHD |
$19,373 |
Santander Mortage Corporation |
Banco Santander |
wage and hour violation |
2004 |
WHD |
$62,895 |
Countrywide Financial Corporation |
Bank of America |
wage and hour violation |
2004 |
WHD |
$54,453 |
Sentry Insurance a Mutual Company |
Sentry Insurance |
wage and hour violation |
2004 |
WHD |
$46,524 |
Fidelity National Financial, Inc |
Fidelity National Financial |
wage and hour violation |
2004 |
WHD |
$7,945 |
Allied Home Mortgage |
Americus Mortgage |
wage and hour violation |
2004 |
WHD |
$14,037 |
Banco Popular North America, Inc. |
Popular Inc. |
wage and hour violation |
2004 |
WHD |
$17,363 |
Wachovia Bank |
Wells Fargo |
wage and hour violation |
2004 |
WHD |
$5,798,744 |
AmSouth Bancorporation |
Regions Financial |
fraud |
2004 |
USAO |
$40,000,000 |
Ace America's Cash Express |
ACE Cash Express |
wage and hour violation |
2004 |
CA-LCO |
$75,000 |
Progressive |
Progressive |
wage and hour violation |
2004 |
private lawsuit-federal |
$5,400,000 |
WHEELABRATOR RIDGE ENERGY INC. 121050021600035 |
Macquarie |
environmental violation |
2004 |
EPA |
$5,000 |
NOBLE AMERICAS SOUTH BEND ETHANOL LLC |
Vitol |
environmental violation |
2004 |
EPA |
$220,000 |
INTERNATIONAL MATEX TANK TERMINALS - IMTT - ST ROSE |
Macquarie |
environmental violation |
2004 |
EPA |
$40,000 |
KANSAS CITY STAR CO |
Chatham Asset Management |
environmental violation |
2004 |
EPA |
$10,000 |
Donaldson, Lufkin & Jenrette Securities Corp. |
Credit Suisse |
investor protection violation |
2004 |
SEC |
$1,000,000 |
Goldman Sachs & Co. |
Goldman Sachs |
investor protection violation |
2004 |
SEC |
$2,000,000 |
Household International |
HSBC |
benefit plan administrator violation |
2004 |
private lawsuit-federal |
$46,500,000 |
AIM Advisors |
Invesco |
investor protection violation |
2004 |
MULTI-AG |
(*) $125,000,000 |
Allianz Dresdner Asset Management of America LP |
Allianz |
investor protection violation |
2004 |
NJ-AG |
$18,000,000 |
Banc of America Capital Management LLC et al. |
Bank of America |
investor protection violation |
2004 |
NY-AG |
(*) $375,000,000 |
Banc One Investment Advisors Corporation |
JPMorgan Chase |
investor protection violation |
2004 |
NY-AG |
(*) $90,000,000 |
CIT Technology Financing Services, Inc. |
CIT |
consumer protection violation |
2004 |
NY-AG |
$4,200,000 |
Conseco, Inc. |
CNO Financial |
investor protection violation |
2004 |
NY-AG |
(*) $15,000,000 |
DeLage Landen Financial Services |
Rabobank |
consumer protection violation |
2004 |
NY-AG |
$405,000 |
FleetBoston Financial Corp. |
Bank of America |
investor protection violation |
2004 |
NY-AG |
(*) $300,000,000 |
Franklin/Templeton Distributors, Inc. |
Franklin Resources |
investor protection violation |
2004 |
CA-AG |
$18,000,000 |
Invesco Funds Group |
Invesco |
investor protection violation |
2004 |
MULTI-AG |
(*) $325,000,000 |
Janus Capital Management |
Janus Henderson |
investor protection violation |
2004 |
MULTI-AG |
$225,000,000 |
Massachusetts Financial Services Co. |
Sun Life Financial |
investor protection violation |
2004 |
NY-AG |
$350,000,000 |
Metropolitan Life Insurance Co. |
MetLife |
consumer protection violation |
2004 |
MA-AG |
$150,000 |
PayPal |
PayPal Holdings |
consumer protection violation |
2004 |
NY-AG |
$150,000 |
Strong Capital Management Co. |
Wells Fargo |
investor protection violation |
2004 |
MULTI-AG |
(*) $115,000,000 |
UnumProvident Corporation |
Unum |
consumer protection violation |
2004 |
MULTI-AG |
$15,000,000 |
Wells Fargo |
Wells Fargo |
consumer protection violation |
2004 |
NY-AG |
$2,900,000 |
FIRST BANK |
First Bancorp (North Carolina) |
banking violation |
2004 |
FDIC |
$12,000 |
Jackson Hewitt Inc. |
Jackson Hewitt |
consumer protection violation |
2004 |
NY-NYCDCWP |
$125,000 |
Indiana Insurance Co. |
Liberty Mutual Insurance |
employment discrimination |
2004 |
EEOC |
$178,065 |
Fifth Third Bank |
Fifth Third Bancorp |
employment discrimination |
2004 |
EEOC |
$225,000 |
Wilmington Trust Co. |
M&T Bank |
employment discrimination |
2004 |
EEOC |
$70,000 |
Travelers Insurance Company |
Travelers |
False Claims Act and related |
2004 |
USAO |
$10,900,000 |
Progressive Casualty Insurance Co. et al. |
Progressive |
insurance violation |
2004 |
CA-INS |
$100,000 |
California Physicians' Service dba Blue Shield of California |
California Physicians' Service |
insurance violation |
2004 |
CA-MHC |
$15,000 |
California Physicians' Service dba Blue Shield of California |
California Physicians' Service |
insurance violation |
2004 |
CA-MHC |
$5,000 |
California Physicians' Service dba Blue Shield of California |
California Physicians' Service |
insurance violation |
2004 |
CA-MHC |
$20,000 |
California Physicians' Service dba Blue Shield of California |
California Physicians' Service |
insurance violation |
2004 |
CA-MHC |
$20,000 |
American Bankers Insurance Company of Florida et al. |
Assurant |
insurance violation |
2004 |
CA-INS |
$150,000 |
Bristol West Insurance Co. |
Zurich Insurance |
insurance violation |
2004 |
FL-OFR |
$26,500 |
Universal Property & Casualty Insurance Co. |
Universal Insurance Holdings |
insurance violation |
2004 |
FL-OFR |
$47,500 |
ProEquities, Inc. |
Dai-ichi Life |
investor protection violation |
2004 |
FL-OFR |
$5,000 |
Jackson National Life Insurance Co. |
Prudential (UK) |
insurance violation |
2004 |
FL-OFR |
$5,500 |
Merrill Lynch, Pierce, Fenner & Smith, Inc. |
Bank of America |
investor protection violation |
2004 |
FL-OFR |
$10,000 |
Protective Life Insurance Co. |
Dai-ichi Life |
insurance violation |
2004 |
FL-OFR |
$5,950 |
Life Investors Insurance Company of America |
Aegon |
insurance violation |
2004 |
FL-OFR |
$11,000 |
World Group Securities, Inc. |
Aegon |
investor protection violation |
2004 |
ID-SEC |
$15,000 |
Janney Montgomery Scott LLC |
Penn Mutual |
investor protection violation |
2004 |
IL-SEC |
$5,000 |
Sun LIfe Assurance Company of Canada et al. |
Sun Life Financial |
insurance violation |
2004 |
IN-INS |
$125,000 |
Progressive Casualty Insurance Co. et al. |
Progressive |
insurance violation |
2004 |
KS-INS |
$19,800 |
Morgan Stanley D.W., Inc. |
Morgan Stanley |
investor protection violation |
2004 |
KY-FIN |
$100,000 |
Allstate Life Insurance Company |
Allstate |
insurance violation |
2004 |
MA-INS |
$25,000 |
Conseco Health Insurance Co. |
CNO Financial |
insurance violation |
2004 |
ME-INS |
$10,000 |
John Alden Life Insurance Co. |
Assurant |
insurance violation |
2004 |
ME-INS |
$5,000 |
John Alden Life Insurance Co. |
Assurant |
insurance violation |
2004 |
ME-INS |
$5,000 |
John Alden Life Insurance Co. |
Assurant |
insurance violation |
2004 |
ME-INS |
$20,000 |
Conseco Senior Health Insurance Co. |
CNO Financial |
insurance violation |
2004 |
MN-FIN |
$5,000 |
Conseco Health Insurance Co. |
CNO Financial |
insurance violation |
2004 |
MN-FIN |
$5,000 |
Universal Underwriter Insurance Co. |
Zurich Insurance |
insurance violation |
2004 |
MN-FIN |
$200,000 |
Fortis Insurance Co. |
Assurant |
insurance violation |
2004 |
MN-FIN |
$5,000 |
John Alden Life Insurance Co. |
Assurant |
insurance violation |
2004 |
MN-FIN |
$5,000 |
Foremost Insurance Co. at al. |
Zurich Insurance |
insurance violation |
2004 |
MN-FIN |
$75,000 |
Safeco Insurance Company of Illinois |
Liberty Mutual Insurance |
insurance violation |
2004 |
MN-FIN |
$5,000 |
AmSouth Investment Services, Inc. |
Regions Financial |
investor protection violation |
2004 |
MS-SEC |
$225,000 |