USAllianz Securities |
Allianz |
investor protection violation |
2006 |
FINRA |
$5,000,000 |
UVEST Financial Services Group, Inc. |
LPL Financial |
investor protection violation |
2013 |
MULTI-FIN |
$750,000 |
VALIC Financial Advisors Inc. |
American International Group |
investor protection violation |
2020 |
SEC |
$39,900,000 |
VALIC Financial Advisors, Inc. |
American International Group |
investor protection violation |
2016 |
FINRA |
$1,750,000 |
Valley Forge Life Insurance Company |
Prudential PLC |
insurance violation |
2001 |
MA-INS |
$11,600 |
Valley Forge Life Insurance Company |
Prudential PLC |
insurance violation |
2002 |
MA-INS |
$24,500 |
Vanguard Advisers Inc. |
Vanguard Group |
investor protection violation |
2017 |
PA-BKG |
$23,480 |
Vanguard Group |
Vanguard Group |
employment discrimination |
2010 |
EEOC |
$300,000 |
Vanguard Group, Inc. |
Vanguard Group |
employment discrimination |
2008 |
EEOC |
$500,000 |
Variable Annuity Life Insurance Company |
American International Group |
insurance violation |
2017 |
NY-DFS |
$25,000 |
Variable Annuity Life Insurance Company |
American International Group |
insurance violation |
2021 |
NY-DFS |
$230,820 |
Victoria Fire & Casualty Co. |
Nationwide |
insurance violation |
2003 |
IN-INS |
$5,000 |
Victoria Fire & Casualty Company |
Nationwide |
insurance violation |
2011 |
WA-INS |
$5,000 |
VICTORIA FIRE & CASUALTY ET AL |
Nationwide |
insurance violation |
2003 |
VA-INS |
$29,000 |
Victoria Fire & Casualty Insurance Company |
Nationwide |
insurance violation |
2010 |
VA-INS |
$23,558 |
Victoria Fire & Casualty Insurance Company |
Nationwide |
insurance violation |
2016 |
VA-INS |
$2,236,476 |
VICTORIA FIRE AND CASUALTY CO. |
Nationwide |
insurance violation |
2014 |
VA-INS |
$72,400 |
VICTORIA FIRE AND CASUALTY INSURANCE |
Nationwide |
insurance violation |
2009 |
VA-INS |
$7,500 |
Virginia Surety Company Inc |
Assurant |
insurance violation |
2010 |
WA-INS |
$12,000 |
Virginia Surety Company Inc. |
Assurant |
insurance violation |
2010 |
NH-INS |
$20,000 |
Virginia Surety Company Inc. |
Assurant |
insurance violation |
2011 |
TX-INS |
$200,000 |
Virginia Surety Company Inc. |
Assurant |
insurance violation |
2013 |
MULTI-FIN |
$200,000 |
Virginia Surety Company, Inc. |
Assurant |
insurance violation |
2015 |
NY-DFS |
$10,000 |
Virginia Surety Company, Inc. |
Assurant |
insurance violation |
2007 |
OR-FIN |
$6,100 |
Virginia Surety Company, Inc. |
Assurant |
insurance violation |
2008 |
OR-FIN |
$25,000 |
Virginia Surety Company, Inc. |
Assurant |
insurance violation |
2009 |
OR-FIN |
$10,000 |
Virginia Surety Company, Inc. |
Assurant |
insurance violation |
2008 |
TX-INS |
$7,000 |
Virtu Americas LLC |
Virtu Financial |
investor protection violation |
2019 |
SEC |
$1,500,000 |
Visa Inc. |
Visa |
consumer protection violation |
2018 |
NM-AG |
$2,270,000 |
Visa USA Inc. |
Visa |
price-fixing or anti-competitive practices |
2008 |
WV-AG |
$6,400,000 |
Vitol |
Vitol |
environmental violation |
2007 |
CA-ARB |
$150,000 |
Vitol |
Vitol |
environmental violation |
2005 |
CA-ARB |
$20,000 |
Vitol |
Vitol |
environmental violation |
2017 |
EPA |
$35,000 |
Vitol Inc. |
Vitol |
energy market violation |
2019 |
FERC |
$2,742,881 |
Vitol Inc. |
Vitol |
fraud |
2020 |
CFTC |
(*) $95,700,000 |
Vitol Inc. |
Vitol |
Foreign Corrupt Practices Act |
2020 |
DOJ_CRIMINAL |
$135,000,000 |
Vitol Inc. |
Vitol |
environmental violation |
2014 |
EPA |
$30,394 |
Vitol Inc. |
Vitol |
environmental violation |
2016 |
EPA |
$9,814 |
Vitol Inc. and Vitol Capital Management Ltd. |
Vitol |
investor protection violation |
2010 |
CFTC |
$6,000,000 |
Vitol S.A. |
Vitol |
environmental violation |
2002 |
CA-ARB |
$25,000 |
Vitol S.A., Inc. |
Vitol |
environmental violation |
2005 |
EPA |
$41,600 |
VITOL SA, INC |
Vitol |
environmental violation |
2002 |
EPA |
$95,000 |
Vitol, Inc. |
Vitol |
employment discrimination |
2012 |
EEOC |
$62,500 |
Vitol, Inc. |
Vitol |
environmental violation |
2014 |
CA-ARB |
$70,000 |
Vitol, Inc. |
Vitol |
environmental violation |
2015 |
EPA |
$14,047 |
Vitol, Inc. |
Vitol |
environmental violation |
2016 |
EPA |
$17,934 |
VITOL, S.A. |
Vitol |
kickbacks and bribery |
2007 |
NY-MANDA |
$17,500,000 |
Voya Financial Advisors Inc. |
Voya Financial |
investor protection violation |
2018 |
SEC |
$1,000,000 |
VOYA Financial Advisors Inc. |
Voya Financial |
investor protection violation |
2016 |
FINRA |
$4,550,000 |
Voya Financial Advisors, Inc. |
Voya Financial |
investor protection violation |
2017 |
SEC |
$3,095,953 |
Voya Financial Advisors, Inc. |
Voya Financial |
investor protection violation |
2020 |
SEC |
$22,919,155 |
Voya Financial Advisors, Inc. fka ING Financial Partners, Inc. |
Voya Financial |
investor protection violation |
2019 |
CT-SEC |
$1,015,000 |
Voya Holdings Inc. |
Voya Financial |
investor protection violation |
2018 |
SEC |
$3,600,000 |
Voya Insurance and Annuity Co. et al. |
Voya Financial |
insurance violation |
2014 |
MN-FIN |
$1,250,000 |
W. R. BERKLEY CORPORATION |
W.R. Berkley |
workplace safety or health violation |
2017 |
OSHA |
$5,000 |
W.R. Berkley Corp. |
W.R. Berkley |
insurance violation |
2017 |
CA-INS |
$3,015,000 |
Wachovia |
Wells Fargo |
toxic securities abuses |
2015 |
NCUA |
$53,000,000 |
Wachovia Bank |
Wells Fargo |
anti-money-laundering deficiencies |
2010 |
FINCEN |
$110,000,000 |
Wachovia Bank |
Wells Fargo |
economic sanction violation |
2007 |
OFAC |
$11,000 |
Wachovia Bank |
Wells Fargo |
economic sanction violation |
2005 |
OFAC |
$5,500 |
Wachovia Bank |
Wells Fargo |
economic sanction violation |
2004 |
OFAC |
$11,000 |
Wachovia Bank |
Wells Fargo |
wage and hour violation |
2004 |
WHD |
$5,798,744 |
Wachovia Bank N.A. |
Wells Fargo |
price-fixing or anti-competitive practices |
2011 |
DOJ_ANTITRUST |
$148,000,000 |
Wachovia Bank N.A. |
Wells Fargo |
banking violation |
2010 |
OCC |
$50,000,000 |
Wachovia Bank N.A. |
Wells Fargo |
anti-money-laundering deficiencies |
2010 |
USAO |
$50,000,000 |
Wachovia Bank N.A. |
Wells Fargo |
price-fixing or anti-competitive practices |
2011 |
MULTI-AG |
(*) $58,750,000 |
Wachovia Bank, National Association |
Wells Fargo |
banking violation |
2008 |
OCC |
$168,900,000 |
Wachovia Capital Markets LLC |
Wells Fargo |
investor protection violation |
2006 |
MULTI-AG |
$25,000,000 |
Wachovia Capital Markets LLC |
Wells Fargo |
investor protection violation |
2007 |
MULTI-FIN |
$24,650,000 |
Wachovia Capital Markets, LLC |
Wells Fargo |
investor protection violation |
2006 |
SEC |
$125,000 |
Wachovia Capital Markets, LLC |
Wells Fargo |
investor protection violation |
2007 |
MD-AG |
$402,386 |
Wachovia Capital Markets, LLC |
Wells Fargo |
investor protection violation |
2007 |
CT-SEC |
$258,728 |
Wachovia Capital Markets, LLC |
Wells Fargo |
investor protection violation |
2007 |
FINRA |
$300,000 |
Wachovia Corporation |
Wells Fargo |
investor protection violation |
2004 |
SEC |
$37,000,000 |
Wachovia Corporation |
Wells Fargo |
benefit plan administrator violation |
2011 |
private lawsuit-federal |
$12,350,000 |
Wachovia Financial Services |
Wells Fargo |
wage and hour violation |
2010 |
private lawsuit-federal |
$450,000 |
Wachovia National Bank, N.A. |
Wells Fargo |
benefit plan administrator violation |
2000 |
EBSA |
$30,000,000 |
Wachovia Securities |
Wells Fargo |
wage and hour violation |
2009 |
private lawsuit-federal |
$39,000,000 |
Wachovia Securities |
Wells Fargo |
benefit plan administrator violation |
2009 |
private lawsuit-federal |
$1,005,000 |
Wachovia Securities |
Wells Fargo |
investor protection violation |
2008 |
MULTI-AG |
$60,000,000 |
Wachovia Securities |
Wells Fargo |
investor protection violation |
2009 |
FINRA |
$4,500,000 |
Wachovia Securities LLC |
Wells Fargo |
investor protection violation |
2007 |
ND-SEC |
$75,000 |
Wachovia Securities LLC |
Wells Fargo |
investor protection violation |
2008 |
MULTI-FIN |
(*) $50,000,000 |
Wachovia Securities LLC |
Wells Fargo |
investor protection violation |
2007 |
FINRA |
$2,000,000 |
Wachovia Securities LLC |
Wells Fargo |
investor protection violation |
2004 |
FINRA |
$650,000 |
Wachovia Securities, LLC |
Wells Fargo |
investor protection violation |
2004 |
SEC |
$4,844,465 |
Wachovia Securities, LLC |
Wells Fargo |
investor protection violation |
2009 |
DE-AG |
$309,000 |
Wachovia Securities, LLC |
Wells Fargo |
investor protection violation |
2011 |
NJ-AG |
$3,200,000 |
Wachovia Securities, LLC |
Wells Fargo |
investor protection violation |
2010 |
AK-DBS |
$129,131 |
Wachovia Securities, LLC |
Wells Fargo |
investor protection violation |
2008 |
MD-SEC |
$50,000 |
Wachovia Securities, LLC |
Wells Fargo |
investor protection violation |
2009 |
FINRA |
$1,400,000 |
Wachovia Securities, LLC and First Clearing, LLC |
Wells Fargo |
investor protection violation |
2009 |
FINRA |
$1,100,000 |
Wachovia Securities, LLC nka Wells Fargo Advisors, LLC |
Wells Fargo |
investor protection violation |
2010 |
CT-SEC |
$75,000 |
Wachovia Securities, LLC. |
Wells Fargo |
investor protection violation |
2004 |
FINRA |
$39,486 |
Waddell & Reed Inc. |
Macquarie |
investor protection violation |
2008 |
OK-SEC |
$10,000 |
Waddell & Reed, Inc. |
Macquarie |
investor protection violation |
2006 |
SEC |
$50,000,000 |
Waddell & Reed, Inc. |
Macquarie |
investor protection violation |
2006 |
NY-AG |
(*) $75,000,000 |
Waddell & Reed, Inc. |
Macquarie |
investor protection violation |
2003 |
FL-OFR |
$8,800 |
Waddell & Reed, Inc. |
Macquarie |
investor protection violation |
2006 |
MO-SEC |
$172,161 |
Waddell & Reed, Inc. |
Macquarie |
investor protection violation |
2005 |
MT-SEC |
$25,000 |
Waddell & Reed, Inc. |
Macquarie |
investor protection violation |
2016 |
NH-BSR |
$900,000 |