Cincinnati Insurance Co. |
Cincinnati Financial |
insurance violation |
2020 |
WA-INS |
$5,000 |
National Union Fire Insurance Company of Pittsburgh, PA. et al. |
American International Group |
insurance violation |
2020 |
WA-INS |
$20,000 |
Guardian Life Insurance Company of America |
Guardian Life Insurance |
insurance violation |
2020 |
WA-INS |
$5,000 |
Northwestern Mutual Life Insurance Co. |
Northwestern Mutual |
insurance violation |
2020 |
WA-INS |
$50,000 |
Security National Insurance Co. |
Zurich Insurance |
insurance violation |
2020 |
WA-INS |
$5,000 |
Privilege Underwriters Reciprocal Exchange |
Tokio Marine |
insurance violation |
2020 |
WA-INS |
$5,000 |
Farmers Insurance Exchange |
Farmers Insurance Exchange |
wage and hour violation |
2020 |
private lawsuit-federal |
$5,400,000 |
U.S. Bank National Association |
U.S. Bancorp |
wage and hour violation |
2020 |
private lawsuit-federal |
$6,500,000 |
JPMorgan Chase Bank, N.A. |
JPMorgan Chase |
wage and hour violation |
2020 |
private lawsuit-federal |
$3,750,000 |
HSBC |
HSBC |
False Claims Act and related |
2020 |
CA-AG |
$7,000,000 |
Morgan Stanley Smith Barney FA Notes Holdings LLC |
Morgan Stanley |
consumer protection violation |
2020 |
CA-DFPI |
$1,000,000 |
PHH Mortgage Corporation |
Ocwen Financial |
consumer protection violation |
2020 |
CA-DFPI |
$62,000 |
Freedom Mortgage Corporation |
Freedom Mortgage |
consumer protection violation |
2020 |
CA-DFPI |
$75,000 |
California Physicians' Service |
California Physicians' Service |
insurance violation |
2020 |
CA-MHC |
$5,000 |
California Physicians' Service |
California Physicians' Service |
insurance violation |
2020 |
CA-MHC |
$30,000 |
California Physicians' Service |
California Physicians' Service |
insurance violation |
2020 |
CA-MHC |
$5,000 |
Oscar Health Plan of California |
Mulberry Health |
insurance violation |
2020 |
CA-MHC |
$15,000 |
California Physicians' Service |
California Physicians' Service |
insurance violation |
2020 |
CA-MHC |
$10,000 |
California Physicians' Service |
California Physicians' Service |
insurance violation |
2020 |
CA-MHC |
$5,000 |
California Physicians' Service |
California Physicians' Service |
insurance violation |
2020 |
CA-MHC |
$5,000 |
California Physicians' Service |
California Physicians' Service |
insurance violation |
2020 |
CA-MHC |
$5,000 |
Oscar Health Plan of California |
Mulberry Health |
insurance violation |
2020 |
CA-MHC |
$15,000 |
California Physicians' Service |
California Physicians' Service |
insurance violation |
2020 |
CA-MHC |
$7,500 |
California Physicians' Service |
California Physicians' Service |
insurance violation |
2020 |
CA-MHC |
$10,000 |
California Physicians' Service |
California Physicians' Service |
insurance violation |
2020 |
CA-MHC |
$5,000 |
California Physicians' Service |
California Physicians' Service |
insurance violation |
2020 |
CA-MHC |
$5,000 |
California Physicians' Service |
California Physicians' Service |
insurance violation |
2020 |
CA-MHC |
$7,500 |
Nationstar Mortgage, LLC dba Mr. Cooper |
Mr. Cooper Group |
consumer protection violation |
2020 |
CFPB |
$74,500,000 |
Washington Federal Bank, N.A. |
Washington Federal Inc. |
consumer protection violation |
2020 |
CFPB |
$200,000 |
Encore Capital Group, Inc. |
Encore Capital Group |
consumer protection violation |
2020 |
CFPB |
$15,079,308 |
Vitol Inc. |
Vitol |
fraud |
2020 |
CFTC |
(*) $95,700,000 |
Morgan Stanley Capital Services LLC |
Morgan Stanley |
investor protection violation |
2020 |
CFTC |
$5,000,000 |
JPMorgan Chase & Company |
JPMorgan Chase |
investor protection violation |
2020 |
CFTC |
$920,200,000 |
Citibank N.A. |
Citigroup |
investor protection violation |
2020 |
CFTC |
$4,500,000 |
Solium Financial Services LLC |
Morgan Stanley |
investor protection violation |
2020 |
CO-SEC |
$69,338 |
Janney Montgomery Scott, LLC |
Penn Mutual |
investor protection violation |
2020 |
CT-BKG |
$150,000 |
Highmark BCBSD Inc |
Highmark Inc. |
insurance violation |
2020 |
DE-INS |
$299,000 |
Liberty Mutual Fire Insurance Company |
Liberty Mutual Insurance |
insurance violation |
2020 |
DE-INS |
$20,000 |
Vitol Inc. |
Vitol |
Foreign Corrupt Practices Act |
2020 |
DOJ_CRIMINAL |
$135,000,000 |
Goldman Sachs Group Inc. |
Goldman Sachs |
Foreign Corrupt Practices Act |
2020 |
DOJ_CRIMINAL |
$2,921,088,000 |
JPMorgan Chase & Co. |
JPMorgan Chase |
fraud |
2020 |
DOJ_CRIMINAL |
(*) $920,000,000 |
Nationstar Mortgage, LLC |
Mr. Cooper Group |
mortgage abuses |
2020 |
DOJ_UTP |
$40,000,000 |
U.S. Bank National Association |
U.S. Bancorp |
mortgage abuses |
2020 |
DOJ_UTP |
$29,000,000 |
PNC Bank, NA |
PNC Financial Services |
mortgage abuses |
2020 |
DOJ_UTP |
$5,000,000 |
OCWEN FINANCIAL CORPORATION |
Ocwen Financial |
benefit plan administrator violation |
2020 |
EBSA |
$50,001 |
OCWEN FINANCIAL CORPORATION |
Ocwen Financial |
benefit plan administrator violation |
2020 |
EBSA |
$50,001 |
OCWEN FINANCIAL CORPORATION |
Ocwen Financial |
benefit plan administrator violation |
2020 |
EBSA |
$50,001 |
Goldman Sachs Group, Inc. |
Goldman Sachs |
banking violation |
2020 |
FED |
$154,000,000 |
M&T Bank |
M&T Bank |
banking violation |
2020 |
FED |
$546,000 |
Ocwen Financial Corporation |
Ocwen Financial |
mortgage abuses |
2020 |
FL-AG |
$11,600,000 |
Premera Blue Cross |
Premera Blue Cross |
privacy violation |
2020 |
HHSOCR |
$6,850,000 |
Solium Financial Services LLC |
Morgan Stanley |
investor protection violation |
2020 |
IL-SEC |
$11,385 |
Thrivent Investment Management Inc. |
Thrivent Financial |
investor protection violation |
2020 |
IL-SEC |
$400,000 |
Solium Financial Services LLC |
Morgan Stanley |
investor protection violation |
2020 |
KY-FIN |
$5,465 |
Solium Financial Services LLC |
Morgan Stanley |
investor protection violation |
2020 |
MS-SEC |
$6,000 |
Solium Financial Services LLC |
Morgan Stanley |
investor protection violation |
2020 |
MT-SEC |
$14,700 |
Nationstar Mortgage dba Mr. Cooper |
Mr. Cooper Group |
consumer protection violation |
2020 |
MULTI-AG |
(*) $86,300,000 |
Principal Life Insurance Company |
Principal Financial |
insurance violation |
2020 |
MULTI-FIN |
$145,000 |
LPL Financial LLC |
LPL Financial |
investor protection violation |
2020 |
NH-BSR |
$976,000 |
Solium Financial Services LLC |
Morgan Stanley |
investor protection violation |
2020 |
NM-SEC |
$6,500 |
Allstate Insurance Group |
Allstate |
insurance violation |
2020 |
NY-DFS |
$1,455,368 |
State Farm Insurance Group |
State Farm Insurance |
insurance violation |
2020 |
NY-DFS |
$10,443,700 |
AIG Property Casualty Company |
American International Group |
insurance violation |
2020 |
NY-DFS |
$583,900 |
Principal Life Insurance Company |
Principal Financial |
insurance violation |
2020 |
NY-DFS |
$6,000,000 |
Goldman Sachs Group |
Goldman Sachs |
investor protection violation |
2020 |
NY-DFS |
$150,000,000 |
JPMorgan Chase Bank, National Association |
JPMorgan Chase |
banking violation |
2020 |
OCC |
$250,000,000 |
USAA Federal Savings Bank |
USAA |
banking violation |
2020 |
OCC |
$85,000,000 |
Morgan Stanley Bank, N.A. |
Morgan Stanley |
banking violation |
2020 |
OCC |
$60,000,000 |
Citibank, National Association |
Citigroup |
banking violation |
2020 |
OCC |
$400,000,000 |
CIT Bank, National Association |
CIT |
banking violation |
2020 |
OCC |
$82,500 |
JPMorgan Chase & Co. |
JPMorgan Chase |
employment discrimination |
2020 |
OFCCP |
$9,000,000 |
United States Fire Insurance Company |
Fairfax Financial Holdings |
insurance violation |
2020 |
OR-FIN |
$50,000 |
Selective Insurance Company of America |
Selective Insurance Group |
insurance violation |
2020 |
OR-FIN |
$10,000 |
Allstate Insurance Company |
Allstate |
insurance violation |
2020 |
OR-FIN |
$50,000 |
Ameritas Investment Company LLC |
Ameritas Mutual Holding Company |
investor protection violation |
2020 |
PA-BKG |
$100,000 |
John Hancock Life and Health Insurance Company |
Manulife Financial |
insurance violation |
2020 |
RI-FIN |
$44,877 |
Solium Financial Services LLC |
Morgan Stanley |
investor protection violation |
2020 |
RI-FIN |
$6,500 |
Solium Financial Services LLC |
Morgan Stanley |
investor protection violation |
2020 |
SC-SEC |
$28,007 |
Farmers Insurance Exchange |
Farmers Insurance Exchange |
insurance violation |
2020 |
SD-INS |
$85,000 |
Goldman Sachs Group Inc. |
Goldman Sachs |
Foreign Corrupt Practices Act |
2020 |
SEC |
(*) $1,006,000,000 |
Morgan Stanley & Co. LLC |
Morgan Stanley |
investor protection violation |
2020 |
SEC |
$5,000,000 |
Transamerica Asset Management, Inc. |
Aegon |
investor protection violation |
2020 |
SEC |
$5,946,782 |
BGC Partners, Inc. |
BGC Partners |
investor protection violation |
2020 |
SEC |
$1,400,000 |
J.P. Morgan Securities LLC |
JPMorgan Chase |
investor protection violation |
2020 |
SEC |
$35,000,000 |
Fulton Financial Corporation |
Fulton Financial |
investor protection violation |
2020 |
SEC |
$1,500,000 |
Credit Suisse Securities (USA) LLC |
Credit Suisse |
investor protection violation |
2020 |
SEC |
$600,000 |
Arthur J. Gallagher Risk Management Services, Inc. |
Arthur J. Gallagher & Co. |
insurance violation |
2020 |
TX-INS |
$9,675 |
Esurance Insurance Company |
Allstate |
insurance violation |
2020 |
TX-INS |
$200,000 |
American Income Life Insurance Company |
Globe Life Inc. |
insurance violation |
2020 |
VA-INS |
$18,000 |
Life Insurance Company of the Southwest |
National Life Group |
insurance violation |
2020 |
VA-INS |
$6,600 |
Allied Property & Casualty Insurance Company et al. |
Nationwide |
insurance violation |
2020 |
VA-INS |
$17,500 |
Allied Property & Casualty Insurance Company et al. |
Nationwide |
insurance violation |
2020 |
VA-INS |
$20,000 |
HARTFORD CASUALTY INSURANCE COMPANY |
Hartford Financial Services |
insurance violation |
2020 |
WA-INS |
$90,000 |
ACE AMERICAN INSURANCE COMPANY ET AL. |
Chubb Limited |
insurance violation |
2020 |
WA-INS |
$50,000 |
NEW HAMPSHIRE INSURANCE COMPANY |
American International Group |
insurance violation |
2020 |
WA-INS |
$15,000 |
AMERICAN ECONOMY INSURANCE COMPANY |
Liberty Mutual Insurance |
insurance violation |
2020 |
WA-INS |
$6,000 |
CONTINENTAL WESTERN INSURANCE COMPANY |
W.R. Berkley |
insurance violation |
2020 |
WA-INS |
$10,000 |
AMERICAN ECONOMY INSURANCE COMPANY ET AL. |
Liberty Mutual Insurance |
insurance violation |
2020 |
WA-INS |
$10,000 |
AmeriSave Mortgage Corporation |
AmeriSave Mortgage |
privacy violation |
2020 |
private lawsuit-federal |
$6,250,000 |
Wells Fargo Bank |
Wells Fargo |
wage and hour violation |
2020 |
private lawsuit-federal |
$10,928,870 |
Wells Fargo & Company |
Wells Fargo |
benefit plan administrator violation |
2020 |
private lawsuit-federal |
$79,000,000 |