RBC Capital Markets LLC |
Royal Bank of Canada |
investor protection violation |
2020 |
SEC |
$3,889,007 |
Merrill Lynch, Pierce and Fenner & Smith, Incorporated |
Bank of America |
investor protection violation |
2020 |
SEC |
$325,376 |
Cantor Fitzgerald & Co. |
Cantor Fitzgerald |
investor protection violation |
2020 |
SEC |
$3,200,000 |
HSBC Securities (USA) Inc. |
HSBC |
investor protection violation |
2020 |
SEC |
$725,000 |
Santander Consumer USA Inc. |
Banco Santander |
consumer protection violation |
2020 |
MULTI-AG |
$550,000,000 |
American General Life Insurance Company |
American International Group |
insurance violation |
2020 |
MA-AG |
$363,000 |
Securian Financial Services, Inc. |
Securian Financial |
investor protection violation |
2020 |
AK-DBS |
$10,000 |
Solium Financial Services LLC |
Morgan Stanley |
investor protection violation |
2020 |
AK-DBS |
$10,527 |
Solium Financial Services LLC |
Morgan Stanley |
investor protection violation |
2020 |
AL-SEC |
$18,874 |
American Family Connect Property and Casualty Insurance Company |
American Family Insurance |
insurance violation |
2020 |
AZ-DIFI |
$50,000 |
Solium Financial Services LLC |
Morgan Stanley |
investor protection violation |
2020 |
CA-DFPI |
$52,047 |
Societe Generale Financial Corporation |
Societe Generale |
banking violation |
2020 |
CA-DFPI |
$10,250 |
Harleysville Insurance Co. |
Nationwide |
insurance violation |
2020 |
CT-INS |
$49,000 |
Allstate Indemnity Co. |
Allstate |
insurance violation |
2020 |
CT-INS |
$7,500 |
Solium Financial Services LLC |
Morgan Stanley |
investor protection violation |
2020 |
CT-SEC |
$51,136 |
American Bankers Insurance Company of Florida |
Assurant |
insurance violation |
2020 |
CT-INS |
$198,000 |
Hartford Underwriters Insurance Co. et al. |
Hartford Financial Services |
insurance violation |
2020 |
DE-INS |
$34,000 |
The Travelers Indemnity Company of America et al. |
Travelers |
insurance violation |
2020 |
DE-INS |
$6,000 |
Solium Financial Services LLC |
Morgan Stanley |
investor protection violation |
2020 |
GA-SEC |
$22,104 |
Solium Financial Services, LLC |
Morgan Stanley |
investor protection violation |
2020 |
IA-INS |
$10,147 |
Solium Financial Services LLC |
Morgan Stanley |
investor protection violation |
2020 |
IN-SEC |
$15,575 |
J.P. Morgan Securities LLC |
JPMorgan Chase |
investor protection violation |
2020 |
KY-FIN |
$325,000 |
Farmers Insurance Exchange |
Farmers Insurance Exchange |
insurance violation |
2020 |
MD-INS |
$90,000 |
First American Title Insurance Co. |
First American Financial |
insurance violation |
2020 |
MD-INS |
$52,000 |
National Union Fire Insurance Company of Pittsburgh, Pennsylvania et al. |
American International Group |
insurance violation |
2020 |
MD-INS |
$20,000 |
Solium Financial Services, LLC |
Morgan Stanley |
investor protection violation |
2020 |
ME-SEC |
$5,000 |
Raymond James & Associates, Inc. |
Raymond James Financial |
investor protection violation |
2020 |
MI-SEC |
$50,000 |
Liberty Insurance Corporation |
Liberty Mutual Insurance |
insurance violation |
2020 |
MN-FIN |
$15,000 |
Horace Mann Insurance Co. |
Horace Mann Educators Corp. |
insurance violation |
2020 |
MN-FIN |
$5,000 |
Progressive Casualty Insurance Company |
Progressive |
insurance violation |
2020 |
MN-FIN |
$5,000 |
Solium Financial Services LLC |
Morgan Stanley |
investor protection violation |
2020 |
MO-SEC |
$9,130 |
Great Plains Specialty Finance, Inc. dba Check 'n Go |
CNG Financial |
consumer protection violation |
2020 |
NE-DBF |
$9,700 |
Solium Financial Services LLC |
Morgan Stanley |
investor protection violation |
2020 |
NH-BSR |
$90,000 |
Asurion Insurance Services, Inc. and Asurion Protection Services LLC |
Asurion |
insurance violation |
2020 |
NY-DFS |
$4,000,000 |
Lincoln Life & Annuity Company of New York |
Lincoln National |
insurance violation |
2020 |
NY-DFS |
$193,166 |
MassMutual Life Insurance Company |
Massachusetts Mutual Life Insurance |
insurance violation |
2020 |
NY-DFS |
$1,399,708 |
Pacific Life & Annuity Company |
Pacific Life |
insurance violation |
2020 |
NY-DFS |
$425,533 |
Industrial Bank of Korea |
Industrial Bank of Korea |
anti-money-laundering deficiencies |
2020 |
NY-DFS |
$35,000,000 |
Bank Hapoalim B.M. |
Bank Hapoalim |
tax violations |
2020 |
NY-DFS |
$220,000,000 |
Great Plains Specialty Finance Inc. dba Check 'N Go |
CNG Financial |
consumer protection violation |
2020 |
OK-DCC |
$27,500 |
Solium Financial Services LLC |
Morgan Stanley |
investor protection violation |
2020 |
OK-SEC |
$9,968 |
Solium Financial Services LLC |
Morgan Stanley |
investor protection violation |
2020 |
OR-FIN |
$10,599 |
The Prudential Insurance Company of America |
Prudential Financial |
insurance violation |
2020 |
OR-FIN |
$25,000 |
USAA Casualty Insurance Company |
USAA |
insurance violation |
2020 |
RI-FIN |
$12,000 |
American General Life Insurance Company |
American International Group |
insurance violation |
2020 |
RI-FIN |
$25,000 |
Solium Financial Services LLC |
Morgan Stanley |
investor protection violation |
2020 |
TN-SEC |
$12,994 |
Next Financial Group, Inc. |
Atria Wealth Solutions |
investor protection violation |
2020 |
TX-SEC |
$600,000 |
Marsh & McLennan Agency LLC |
Marsh & McLennan |
insurance violation |
2020 |
TX-INS |
$6,350 |
Arthur J. Gallagher Risk Management Services, Inc. |
Arthur J. Gallagher & Co. |
insurance violation |
2020 |
TX-INS |
$7,025 |
LendingClub Corporation |
LendingClub Corp. |
investor protection violation |
2020 |
TX-SEC |
$400,000 |
Elephant Insurance Company |
Admiral Group |
insurance violation |
2020 |
TX-INS |
$80,000 |
Bristol West Casualty Insurance Company and Bristol West Insurance Company |
Zurich Insurance |
insurance violation |
2020 |
VA-INS |
$27,560 |
Bristol West Casualty Insurance Company and Bristol West Insurance Company |
Zurich Insurance |
insurance violation |
2020 |
VA-INS |
$91,872 |
John Hancock Life Insurance Company |
Manulife Financial |
insurance violation |
2020 |
VA-INS |
$60,600 |
Jefferson National Life Insurance Company |
Nationwide |
insurance violation |
2020 |
VA-INS |
$27,600 |
The Travelers Indemnity Company ofAmerica |
Travelers |
insurance violation |
2020 |
VA-INS |
$49,500 |
Next Financial Group, Inc. |
Atria Wealth Solutions |
investor protection violation |
2020 |
VA-SEC |
$5,000 |
Solium Financial Services LLC |
Morgan Stanley |
investor protection violation |
2020 |
VT-FIN |
$6,900 |
Merrill Lynch |
Bank of America |
investor protection violation |
2020 |
VT-FIN |
$125,000 |
Homesite Insurance Company |
American Family Insurance |
insurance violation |
2020 |
VT-FIN |
$31,000 |
Farmers Insurance Company Of Washington And Farmers Insurance Exchange |
Zurich Insurance |
insurance violation |
2020 |
WA-INS |
$50,000 |
Lifewise Health Plan Of Washington |
Premera Blue Cross |
insurance violation |
2020 |
WA-INS |
$50,000 |
Premera Blue Cross |
Premera Blue Cross |
insurance violation |
2020 |
WA-INS |
$100,000 |
Ace American Insurance Company |
Chubb Limited |
insurance violation |
2020 |
WA-INS |
$750,000 |
American General Life Insurance Company |
American International Group |
insurance violation |
2020 |
WA-INS |
$10,000 |
Lincoln National Life Insurance Company The |
Lincoln National |
insurance violation |
2020 |
WA-INS |
$8,000 |
Privilege Underwriters Reciprocal Exchange |
Tokio Marine |
insurance violation |
2020 |
WA-INS |
$20,000 |
Solium Financial Services LLC |
Morgan Stanley |
investor protection violation |
2020 |
WA-FIN |
$33,753 |
National General Insurance Company |
Allstate |
insurance violation |
2020 |
AZ-DIFI |
$75,000 |
BOK Financial Securities, Inc. |
BOK Financial |
insurance violation |
2020 |
CA-INS |
$5,000 |
TD Bank, N.A. |
Toronto-Dominion Bank |
consumer protection violation |
2020 |
CFPB |
$122,000,000 |
The Bank of Nova Scotia |
Scotiabank |
investor protection violation |
2020 |
CFTC |
$50,000,000 |
The Bank of Nova Scotia |
Scotiabank |
investor protection violation |
2020 |
CFTC |
$77,400,000 |
Interactive Brokers LLC |
Interactive Brokers Group |
anti-money-laundering deficiencies |
2020 |
CFTC |
$12,206,214 |
Deutsche Bank AG |
Deutsche Bank |
investor protection violation |
2020 |
CFTC |
$9,000,000 |
Deutsche Bank Securities Inc. |
Deutsche Bank |
investor protection violation |
2020 |
CFTC |
$1,250,000 |
Chicago Title Insurance Co. |
Fidelity National Financial |
insurance violation |
2020 |
CT-INS |
$28,000 |
American Family Life Assurance Company of Columbus |
Aflac |
insurance violation |
2020 |
CT-INS |
$8,500 |
National Union Fire Insurance Company of Pittsburgh, PA |
American International Group |
insurance violation |
2020 |
CT-INS |
$106,000 |
Nationwide Life Insurance Co. |
Nationwide |
insurance violation |
2020 |
CT-INS |
$10,000 |
Old Republic National Title Insurance Co. |
Old Republic International |
insurance violation |
2020 |
CT-INS |
$20,000 |
First American Title insurance Co. |
First American Financial |
insurance violation |
2020 |
CT-INS |
$40,000 |
Stewart Title Guaranty Co. |
Stewart Information Services |
insurance violation |
2020 |
CT-INS |
$47,000 |
Pacific Indemnity Co. |
Chubb Limited |
insurance violation |
2020 |
CT-INS |
$16,000 |
The Standard Insurance Co. |
Meiji Yasuda Life Insurance |
insurance violation |
2020 |
CT-INS |
$7,500 |
Minnesota Life Insurance Co. |
Securian Financial |
insurance violation |
2020 |
CT-INS |
$9,000 |
Merrill Lynch, Pierce, Fenner & Smith Inc. |
Bank of America |
investor protection violation |
2020 |
CT-SEC |
$400,000 |
Bank of Nova Scotia |
Scotiabank |
price-fixing or anti-competitive practices |
2020 |
DOJ_CRIMINAL |
$60,400,000 |
Bank of America, N.A. |
Bank of America |
Americans with Disabilities Act |
2020 |
DOJ_RIGHTS |
$300,000 |
Solium Financial Services LLC |
Morgan Stanley |
investor protection violation |
2020 |
FL-OFR |
$79,045 |
Hartford Life and Accident Insurance Co. |
Hartford Financial Services |
insurance violation |
2020 |
MA-AG |
$145,000 |
Freedom Mortgage Corp. |
Freedom Mortgage |
consumer protection violation |
2020 |
MA-BKG |
$25,000 |
Wells Fargo & Co. |
Wells Fargo |
investor protection violation |
2020 |
MD-AG |
$20,000,000 |
Fidelity National Title Insurance Co. |
Fidelity National Financial |
insurance violation |
2020 |
MD-INS |
$64,600 |
USAA General Indemnity Co. et al. |
USAA |
insurance violation |
2020 |
MD-INS |
$67,500 |
Lincoln National Life Insurance Co. |
Lincoln National |
insurance violation |
2020 |
MO-INS |
$15,000 |
Chicago Title Insurance Co. |
Fidelity National Financial |
insurance violation |
2020 |
MO-INS |
$48,500 |
Fidelity National Title Insurance Co. |
Fidelity National Financial |
insurance violation |
2020 |
MO-INS |
$45,900 |
Permanent General Assurance Corp. |
American Family Insurance |
insurance violation |
2020 |
MO-INS |
$15,000 |
Stewart Title Guaranty Co. |
Stewart Information Services |
insurance violation |
2020 |
MO-INS |
$100,000 |
Principal Life Insurance Company |
Principal Financial |
insurance violation |
2020 |
MULTI-FIN |
$145,000 |