AmSouth Investment Services, Inc. |
Regions Financial |
investor protection violation |
2004 |
MS-SEC |
$225,000 |
Seneca Ins Co. Inc. |
Fairfax Financial Holdings |
insurance violation |
2004 |
MS-INS |
$5,000 |
Safety National Casualty Corp. |
Tokio Marine |
insurance violation |
2004 |
MS-INS |
$5,000 |
Seneca Insurance Co. Inc. |
Fairfax Financial Holdings |
insurance violation |
2004 |
MS-INS |
$5,000 |
Fortis Insurance Co. et al. |
Assurant |
insurance violation |
2004 |
MT-INS |
$70,000 |
Fortis Insurance Co. |
Assurant |
insurance violation |
2004 |
MT-INS |
$65,000 |
Principal Life Insurance Company |
Principal Financial |
investor protection violation |
2004 |
ND-SEC |
$30,000 |
Berthel Fisher and Company Financial Services Inc. |
Berthel Fisher |
investor protection violation |
2004 |
ND-SEC |
$20,000 |
Piper Jaffray & Co. |
Piper Sandler |
investor protection violation |
2004 |
ND-SEC |
$20,000 |
Piper Jaffray & Co. |
Piper Sandler |
investor protection violation |
2004 |
ND-SEC |
$17,000 |
Morgan Stanley |
Morgan Stanley |
investor protection violation |
2004 |
NH-BSR |
$500,000 |
Allstate Life Insurance Co. |
Allstate |
insurance violation |
2004 |
NJ-DBI |
$15,000 |
AON Risk Services Inc |
Aon |
insurance violation |
2004 |
NJ-DBI |
$10,000 |
Hanover Insurance Co. |
Hanover Insurance |
insurance violation |
2004 |
NJ-DBI |
$40,000 |
Selective Insurance Co. of America |
Selective Insurance Group |
insurance violation |
2004 |
NJ-DBI |
$25,000 |
State Farm Indemnity Co. |
State Farm Insurance |
insurance violation |
2004 |
NJ-DBI |
$35,000 |
American General Financial Services Inc. |
OneMain Holdings |
insurance violation |
2004 |
NJ-DBI |
$1,200,000 |
Credit Agricole |
Credit Agricole |
banking violation |
2004 |
NY-DFS |
$5,000,000 |
Combined Insurance Company of America |
Chubb Limited |
insurance violation |
2004 |
OR-FIN |
$10,000 |
Ragen Mackenzie Investment Services LLC |
Wells Fargo |
investor protection violation |
2004 |
OR-FIN |
$8,500 |
ING Life Insurance and Annuity Company |
Voya Financial |
insurance violation |
2004 |
OR-FIN |
$10,000 |
Affinity Insurance Services Inc. |
Aon |
insurance violation |
2004 |
PA-INS |
$5,000 |
Bristol West Insurance Company |
Zurich Insurance |
insurance violation |
2004 |
PA-INS |
$10,000 |
Travelers Indemnity Company of Connecticut |
Travelers |
insurance violation |
2004 |
PA-INS |
$7,500 |
Great American Alliance Insurance Company |
American Financial Group |
insurance violation |
2004 |
PA-INS |
$16,000 |
Great American Assurance Company |
American Financial Group |
insurance violation |
2004 |
PA-INS |
$25,000 |
Great American Insurance Company of New York |
American Financial Group |
insurance violation |
2004 |
PA-INS |
$17,500 |
Great American Insurance Company |
American Financial Group |
insurance violation |
2004 |
PA-INS |
$20,000 |
Great American Spirit Insurance Company |
American Financial Group |
insurance violation |
2004 |
PA-INS |
$25,000 |
Bankers Life and Casualty Company |
CNO Financial |
insurance violation |
2004 |
PA-INS |
$5,000 |
Allstate Life Insurance Company |
Allstate |
insurance violation |
2004 |
PA-INS |
$25,000 |
Hartford Casualty Insurance |
Hartford Financial Services |
insurance violation |
2004 |
PA-INS |
$30,000 |
Conseco Life Insurance Company |
CNO Financial |
insurance violation |
2004 |
SC-INS |
$6,000 |
Pruco Securities LLC |
Prudential Financial |
investor protection violation |
2004 |
TX-SEC |
$10,000 |
PRUDENTIAL INSURANCE COMPANY |
Prudential Financial |
insurance violation |
2004 |
VA-INS |
$7,500 |
PRUCO LIFE INSURANCE CO |
Prudential Financial |
insurance violation |
2004 |
VA-INS |
$7,500 |
MERRILL LYNCH PIERCE FENNER & |
Bank of America |
investor protection violation |
2004 |
VA-SEC |
$268,723 |
AMERICAN ZURICH INSURANCE CO |
Zurich Insurance |
insurance violation |
2004 |
VA-INS |
$5,000 |
CAREFIRST BLUECHOICE, INC. |
CareFirst of Maryland |
insurance violation |
2004 |
VA-INS |
$118,000 |
THE GUARDIAN LIFE INSURANCE CO |
Guardian Life Insurance |
insurance violation |
2004 |
VA-INS |
$27,000 |
FEDERAL INSURANCE CO., ET AL. |
Chubb Limited |
insurance violation |
2004 |
VA-INS |
$65,000 |
CITIGROUP GLOBAL MARKETS INC |
Citigroup |
investor protection violation |
2004 |
VA-SEC |
$72,486 |
PROTECTIVE LIFE INSURANCE CO. |
Dai-ichi Life |
insurance violation |
2004 |
VA-INS |
$10,000 |
LIBERTY MUTUAL INSURANCE CO., ET AL |
Liberty Mutual Insurance |
insurance violation |
2004 |
VA-INS |
$37,000 |
Morgan Stanley DW Inc. |
Morgan Stanley |
investor protection violation |
2004 |
WA-FIN |
$325,000 |
Conseco Health Insurance Co. |
CNO Financial |
insurance violation |
2004 |
WI-INS |
$11,000 |
Great American Insurance Co. |
American Financial Group |
insurance violation |
2004 |
WI-INS |
$5,000 |
Auto-Owners Insurance Co. |
Auto-Owners Insurance |
insurance violation |
2004 |
WI-INS |
$5,000 |
American National Insurance Company |
American National Insurance |
insurance violation |
2004 |
MULTI-FIN |
$250,000 |
AmSouth Investment Services Inc. |
Regions Financial |
investor protection violation |
2004 |
MULTI-FIN |
$225,000 |
Cincinnati Life Insurance Company |
Cincinnati Financial |
insurance violation |
2004 |
MULTI-FIN |
$216,750 |
KEYBANK NATIONAL ASSOCIATION |
KeyCorp |
workplace safety or health violation |
2004 |
OSHA |
$28,000 |
Sherwin Alumina Company, LLC |
Glencore |
workplace safety or health violation |
2004 |
MSHA |
$36,800 |
Canyon Fuel Company LLC |
Trafigura |
workplace safety or health violation |
2004 |
MSHA |
$5,800 |
WFS Financial, Inc. |
Wells Fargo |
discriminatory practices (non-employment) |
2004 |
private lawsuit-federal |
$4,550,000 |
General Motors Acceptance Corp. |
Ally Financial |
discriminatory practices (non-employment) |
2004 |
private lawsuit-federal |
$9,600,000 |
Cincinnati Life Insurance Company |
Cincinnati Financial |
discriminatory practices (non-employment) |
2004 |
private lawsuit-state |
$1,900,000 |
Flagstar Bank |
Flagstar Bancorp |
discriminatory practices (non-employment) |
2004 |
private lawsuit-federal |
$1,100,000 |
Credit Lyonnais Rouse Limited |
Credit Agricole |
investor protection violation |
2005 |
CFTC |
$85,000 |
GOODRICH AVIATION TECHNICAL SERVICES INC |
Macquarie |
aviation safety violation |
2005 |
FAA |
$5,000 |
GOODRICH AVIATION TECHNICAL SERVICES INC |
Macquarie |
aviation safety violation |
2005 |
FAA |
$90,000 |
First Interstate Bank |
First Interstate Bancsystem |
banking violation |
2005 |
FED |
$15,750 |
Capital City Mortgage Corporation |
Capital City Bank Group |
consumer protection violation |
2005 |
FTC |
$750,000 |
Bank of China |
Bank of China |
economic sanction violation |
2005 |
OFAC |
$11,000 |
Fidelity Brokerage Services, Inc. dba Fidelity Investments |
Fidelity Investments |
economic sanction violation |
2005 |
OFAC |
$63,853 |
PNC Bank |
PNC Financial Services |
economic sanction violation |
2005 |
OFAC |
$8,200 |
Seabury & Smith Inc. |
Marsh & McLennan |
economic sanction violation |
2005 |
OFAC |
$46,341 |
SunTrust Bank |
Truist Financial |
economic sanction violation |
2005 |
OFAC |
$40,423 |
SunTrust Bank |
Truist Financial |
economic sanction violation |
2005 |
OFAC |
$30,800 |
The Bank of New York |
Bank of New York Mellon |
economic sanction violation |
2005 |
OFAC |
$5,844 |
Wachovia Bank |
Wells Fargo |
economic sanction violation |
2005 |
OFAC |
$5,500 |
Wells Fargo Bank |
Wells Fargo |
economic sanction violation |
2005 |
OFAC |
$42,833 |
Lasalle Bank MidWest National Association |
Bank of America |
banking violation |
2005 |
OCC |
$6,250,000 |
First Tennessee Bank National Association |
First Horizon National |
banking violation |
2005 |
OCC |
$180,000 |
Wells Fargo Bank, National Association |
Wells Fargo |
banking violation |
2005 |
OCC |
$115,000 |
City National Bank |
Royal Bank of Canada |
banking violation |
2005 |
OCC |
$750,000 |
First National Bank of Omaha |
First National of Nebraska |
banking violation |
2005 |
OCC |
$20,000 |
Ameriprise Financial, Inc. |
Ameriprise Financial |
investor protection violation |
2005 |
SEC |
$15,000,000 |
Ameriprise Financial, Inc. |
Ameriprise Financial |
investor protection violation |
2005 |
SEC |
$30,000,000 |
Federated Investors, Inc. |
Federated Hermes |
investor protection violation |
2005 |
SEC |
$72,000,000 |
Canadian Imperial Bank of Commerce |
Canadian Imperial Bank of Commerce |
investor protection violation |
2005 |
SEC |
$125,000,000 |
Huntington Bancshares, Inc. |
Huntington Bancshares |
accounting fraud or deficiencies |
2005 |
SEC |
$7,500,000 |
Citigroup, Inc. |
Citigroup |
investor protection violation |
2005 |
SEC |
$208,000,000 |
New York Stock Exchange, Inc. |
IntercontinentalExchange Group |
investor protection violation |
2005 |
SEC |
$20,000,000 |
Citigroup Global Markets, Inc. |
Citigroup |
investor protection violation |
2005 |
SEC |
$20,000,000 |
Banc of America Capital Management LLC, BACAP Distributors LLC and Banc of America Securities LLC |
Bank of America |
investor protection violation |
2005 |
SEC |
$375,000,000 |
Columbia Management Advisors Inc. and Columbia Funds Distributor Inc. |
Ameriprise Financial |
investor protection violation |
2005 |
SEC |
$140,000,000 |
Goldman, Sachs & Co. |
Goldman Sachs |
investor protection violation |
2005 |
SEC |
$40,000,000 |
Morgan Stanley & Co. |
Morgan Stanley |
investor protection violation |
2005 |
SEC |
$40,000,000 |
Southwest Securities, Inc. |
Hilltop Holdings |
investor protection violation |
2005 |
SEC |
$10,000,000 |
Oppenheimer & Company, Inc. |
Oppenheimer Holdings |
anti-money-laundering deficiencies |
2005 |
FINCEN |
$2,800,000 |
First American Title Insurance Company |
First American Financial |
kickbacks and bribery |
2005 |
HUD |
$680,000 |
Chicago Title Insurance Company |
Fidelity National Financial |
mortgage abuses |
2005 |
HUD |
$5,000,000 |
AMERICAN INTERNATIONAL GROUP INC GROUP LIFE & MEDICAL INSURANCE PLAN |
American International Group |
benefit plan administrator violation |
2005 |
EBSA |
$50,001 |
Huntington National Bank |
Huntington Bancshares |
wage and hour violation |
2005 |
WHD |
$51,259 |
J P Morgan Chase Bank |
JPMorgan Chase |
wage and hour violation |
2005 |
WHD |
$6,688 |
Nationwide Mutual Insurance Company |
Nationwide |
wage and hour violation |
2005 |
WHD |
$16,185 |
Ace Cash Express, Inc. |
ACE Cash Express |
wage and hour violation |
2005 |
WHD |
$12,796 |
Nationwide Credit, Inc. |
Altisource Portfolio Solutions |
wage and hour violation |
2005 |
WHD |
$68,433 |
Scott Danahy Naylon Co. Inc. |
Financial Institutions Inc. |
wage and hour violation |
2005 |
WHD |
$5,495 |
Compass Bank |
Banco Bilbao Vizcaya Argentaria |
wage and hour violation |
2005 |
WHD |
$810,122 |