CUNA Mutual Life Insurance Co. | CUNA Mutual | insurance violation | 2007 | FL-OFR | $7,500 |
USAA Life Insurance Co. | USAA | insurance violation | 2007 | FL-OFR | $22,500 |
Fortis Insurance Co. | Assurant | insurance violation | 2007 | FL-OFR | $11,000 |
Ace American Insurance Co. | Chubb Limited | insurance violation | 2007 | FL-OFR | $56,000 |
Cincinnati Insurance Co. | Cincinnati Financial | insurance violation | 2007 | FL-OFR | $65,000 |
American Home Assurance Co. | American International Group | insurance violation | 2007 | FL-OFR | $25,500 |
National Union Fire Insurance Company of Pittsburgh, PA | American International Group | insurance violation | 2007 | FL-OFR | $240,000 |
Mutual of Omaha Insurance Co. | Mutual of Omaha | insurance violation | 2007 | FL-OFR | $13,000 |
Fireman's Fund Insurance Co. | Allianz | insurance violation | 2007 | FL-OFR | $5,500 |
St. Paul Fire & Marine Insurance Co. | Travelers | insurance violation | 2007 | FL-OFR | $23,750 |
Conseco Life Insurance Co. | CNO Financial | insurance violation | 2007 | IA-INS | $750,000 |
Merrill Lynch, Pierce, Fenner & Smith Inc. | Bank of America | investor protection violation | 2007 | IL-SEC | $40,000 |
American Bankers Insurance Company of Florida | Assurant | insurance violation | 2007 | IN-INS | $87,500 |
United Insurance Co. of America | Kemper | insurance violation | 2007 | IN-INS | $6,500 |
Bankers Life and Casualty Co. | CNO Financial | insurance violation | 2007 | IN-INS | $6,569 |
Lawyers Title Insurance Corp. | Fidelity National Financial | insurance violation | 2007 | IN-INS | $9,000 |
Amica Mutual Insurance Co. | Amica Mutual Insurance | insurance violation | 2007 | MA-INS | $12,000 |
Hartford Fire Insurance Co. | Hartford Financial Services | insurance violation | 2007 | ME-INS | $5,000 |
Hartford Accident and Indemnity Co. | Hartford Financial Services | insurance violation | 2007 | ME-INS | $5,000 |
Hartford Casualty Insurance Co. | Hartford Financial Services | insurance violation | 2007 | ME-INS | $5,000 |
Hartford Underwriters Insurance Co. | Hartford Financial Services | insurance violation | 2007 | ME-INS | $5,000 |
Twin City Fire Insurance Co. | Hartford Financial Services | insurance violation | 2007 | ME-INS | $5,000 |
First American Title Insurance Co. | First American Financial | insurance violation | 2007 | MN-FIN | $500,000 |
United Services Automobile Association et al. | USAA | insurance violation | 2007 | MO-INS | $6,000 |
Berthel Fisher & Company Financial Services, Inc. | Berthel Fisher | investor protection violation | 2007 | MO-SEC | $230,469 |
Auto-Owners Insurance Co. and Owners Insurance Co. | Auto-Owners Insurance | insurance violation | 2007 | MO-INS | $28,704 |
Continental Western Insurance Co. | W.R. Berkley | insurance violation | 2007 | MO-INS | $7,708 |
Safeco Insurance Company of America et al. | Liberty Mutual Insurance | insurance violation | 2007 | MO-INS | $68,524 |
Farmers Insurance Exchange et al. | Farmers Insurance Exchange | insurance violation | 2007 | MO-INS | $16,272 |
Universal Underwriters Insurance Co. | Zurich Insurance | insurance violation | 2007 | MO-INS | $6,530 |
Investment Centers of America, Inc. | LPL Financial | investor protection violation | 2007 | MO-SEC | $1,031,618 |
UBS Financial Services, Inc. | UBS | investor protection violation | 2007 | MO-SEC | $697,210 |
First American Title Insurance Co. | First American Financial | insurance violation | 2007 | MO-INS | $150,344 |
Standard Insurance Co. | Meiji Yasuda Life Insurance | insurance violation | 2007 | MO-INS | $9,300 |
Morgan Keegan & Company, Inc. | Raymond James Financial | investor protection violation | 2007 | MS-SEC | $12,500 |
Chicago Title Insurance Co. | Fidelity National Financial | insurance violation | 2007 | MT-FIN | $7,500 |
Wachovia Securities LLC | Wells Fargo | investor protection violation | 2007 | ND-SEC | $75,000 |
Farmers Insurance Exchange | Farmers Insurance Exchange | insurance violation | 2007 | ND-INS | $750,000 |
CitiFinancial, Inc. | Citigroup | consumer protection violation | 2007 | NE-DBF | $81,500 |
Great Plains Specialty Finance, Inc., d/b/a Check 'n Go | CNG Financial | consumer protection violation | 2007 | NE-DBF | $10,200 |
Berthel, Fisher & Company Financial Services, Inc. | Berthel Fisher | investor protection violation | 2007 | NE-DBF | $5,000 |
Universal Underwriters Insurance Company | Zurich Insurance | insurance violation | 2007 | NH-INS | $28,125 |
CCO Investment Services Corp. | Citizens Financial Group | investor protection violation | 2007 | NH-BSR | $375,000 |
Smith Barney | Morgan Stanley | investor protection violation | 2007 | NJ-BOS | $5,000,000 |
Allstate Life Insurance Company of New York | Allstate | insurance violation | 2007 | NY-DFS | $18,250,000 |
John Alden Life Insurance Company | Assurant | insurance violation | 2007 | OR-FIN | $10,000 |
Time Insurance Company | Haven Holdings | insurance violation | 2007 | OR-FIN | $60,000 |
Fidelity National Title Insurance Company | Fidelity National Financial | insurance violation | 2007 | OR-FIN | $10,000 |
Farmers Insurance Company of Oregon | Zurich Insurance | insurance violation | 2007 | OR-FIN | $20,000 |
Mid-Century Insurance Company | Zurich Insurance | insurance violation | 2007 | OR-FIN | $20,000 |
Reliance Standard Life Insurance Company | Tokio Marine | insurance violation | 2007 | OR-FIN | $10,000 |
ACE American Insurance Company | Chubb Limited | insurance violation | 2007 | OR-FIN | $15,000 |
AIU Insurance Company et al. | American International Group | insurance violation | 2007 | OR-FIN | $1,000,000 |
Ticor Title Insurance Company | Fidelity National Financial | insurance violation | 2007 | OR-FIN | $6,000 |
Nationwide Mutual Insurance Company | Nationwide | insurance violation | 2007 | OR-FIN | $10,000 |
AIG Casualty Company | American International Group | insurance violation | 2007 | OR-FIN | $7,500 |
American Home Assurance Company | American International Group | insurance violation | 2007 | OR-FIN | $10,000 |
Commerce and Industry Insurance Company | American International Group | insurance violation | 2007 | OR-FIN | $10,000 |
Granite State Insurance Company | American International Group | insurance violation | 2007 | OR-FIN | $5,000 |
The Insurance Company of the State of Pennsylvania | American International Group | insurance violation | 2007 | OR-FIN | $10,000 |
Reliance Standard Life Insurance Company | Tokio Marine | insurance violation | 2007 | OR-FIN | $5,000 |
Farmers Insurance Company of Oregon | Zurich Insurance | insurance violation | 2007 | OR-FIN | $10,000 |
Virginia Surety Company, Inc. | Assurant | insurance violation | 2007 | OR-FIN | $6,100 |
Seabury & Smith Inc. | Marsh & McLennan | insurance violation | 2007 | PA-INS | $25,000 |
Lincoln Financial Advisors Corp. | Lincoln National | investor protection violation | 2007 | RI-FIN | $5,000 |
Morgan Stanley & Co. Inc. | Morgan Stanley | investor protection violation | 2007 | RI-FIN | $250,000 |
AXA Insurance Company | AXA | insurance violation | 2007 | SC-INS | $8,000 |
A.G. Edwards & Sons Inc. | Wells Fargo | investor protection violation | 2007 | SC-SEC | $575,000 |
Ameritrade Inc. | Charles Schwab Corp. | investor protection violation | 2007 | TX-SEC | $200,000 |
AMERICAN BANKERS LIFE | Assurant | insurance violation | 2007 | VA-INS | $97,000 |
LIBERTY INSURANCE CORP. ET AL. | Liberty Mutual Insurance | insurance violation | 2007 | VA-INS | $15,000 |
UBS FINANCIAL SERVICES, INC. | UBS | investor protection violation | 2007 | VA-SEC | $100,000 |
RELIASTAR LIFE INSURANCE CO. | Voya Financial | insurance violation | 2007 | VA-INS | $8,000 |
UNION SECURITY LIFE INSURANCE | Assurant | insurance violation | 2007 | VA-INS | $27,000 |
State Farm Mutual Automobile Insurance Company | State Farm Insurance | insurance violation | 2007 | VA-INS | $6,000 |
AMEX ASSURANCE CO. | American Express | insurance violation | 2007 | VA-INS | $26,400 |
United Services Automobile Association | USAA | insurance violation | 2007 | VA-INS | $6,000 |
UNITED AMERICAN INSURANCE CO. | Globe Life Inc. | insurance violation | 2007 | VA-INS | $15,000 |
CUNA MUTUAL INSURANCE SOCIETY | CUNA Mutual | insurance violation | 2007 | VA-INS | $30,000 |
BANNER LIFE INSURANCE COMPANY | Legal & General Group PLC | insurance violation | 2007 | VA-INS | $5,000 |
AMERICAN HOME ASSURANCE ET AL. | American International Group | insurance violation | 2007 | VA-INS | $5,000 |
Metropolitan Property and Casualty | Zurich Insurance | insurance violation | 2007 | VA-INS | $5,000 |
SENTINEL INSURANCE COMPANY | Hartford Financial Services | insurance violation | 2007 | VA-INS | $5,000 |
HORACE MANN INSURANCE CO. ET AL. | Horace Mann Educators Corp. | insurance violation | 2007 | VA-INS | $42,400 |
Allstate Insurance Company and Allstate Indemnity Company | Allstate | insurance violation | 2007 | VA-INS | $8,000 |
CHUBB INDEMNITY INSURANCE, ET AL. | Chubb Limited | insurance violation | 2007 | VA-INS | $5,000 |
MERCURY CASUALTY COMPANY | Mercury General Corporation | insurance violation | 2007 | VA-INS | $25,600 |
OppenheimerFunds Distributor, Inc. | Invesco | investor protection violation | 2007 | WA-FIN | $669,500 |
Asurion Warranty Services, Inc. | Asurion | insurance violation | 2007 | WI-INS | $5,000 |
Austin Mutual Insurance Co. | American Family Insurance | insurance violation | 2007 | WI-INS | $8,000 |
Raymond James Financial Services, Inc. | Raymond James Financial | investor protection violation | 2007 | WI-FIN | $50,000 |
CUNA Mutual Insurance Society | CUNA Mutual | insurance violation | 2007 | MULTI-FIN | $584,622 |
Wachovia Capital Markets LLC | Wells Fargo | investor protection violation | 2007 | MULTI-FIN | $24,650,000 |
Allstate Corporation | Allstate | discriminatory practices (non-employment) | 2007 | private lawsuit-federal | $11,720,000 |
Vitol | Vitol | environmental violation | 2007 | CA-ARB | $150,000 |
BUCKEYE PERTH AMBOY TERMINAL LLC | IFM Investors | environmental violation | 2007 | NJ-ENV | $5,700 |
BUCKEYE PORT READING TERMINAL LLC | IFM Investors | environmental violation | 2007 | NJ-ENV | $11,760 |
Buckeye Pipe Line Company, L.P. | IFM Investors | environmental violation | 2007 | OH-ENV | $30,000 |
Citizens Bank of Rhode Island | Citizens Financial Group | environmental violation | 2007 | RI-ENV | $7,510 |
Fidelity Management Trust Company | Fidelity Investments | benefit plan administrator violation | 2007 | private lawsuit-federal | $10,850,000 |
J.P. Morgan Securities, Inc. | JPMorgan Chase | investor protection violation | 2007 | FINRA | $500,000 |