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 |
The Cincinnati Insurance Companies | Cincinnati Financial | Family and Medical Leave Act | 2005 | WHD | $15,000 |
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 | PNC Financial Services | wage and hour violation | 2005 | WHD | $810,122 |
Compass Bank | PNC Financial Services | wage and hour violation | 2005 | WHD | $5,105 |
Synagro Technologies, Inc | Goldman Sachs | wage and hour violation | 2005 | WHD | $149,141 |
Synagro West, LLC | Goldman Sachs | wage and hour violation | 2005 | WHD | $97,862 |
Fidelity National Financial, Inc. | Fidelity National Financial | wage and hour violation | 2005 | WHD | $778,391 |
Bank of America | Bank of America | wage and hour violation | 2005 | WHD | $12,824 |
Washington Mutual, Inc. | JPMorgan Chase | wage and hour violation | 2005 | WHD | $404,982 |
Allied Home Mortgage Capital Corporation | Americus Mortgage | wage and hour violation | 2005 | WHD | $9,830 |
Towers Perrin | Willis Towers Watson | wage and hour violation | 2005 | WHD | $105,865 |
Towers, Perrin, Forrester & Crosby | Willis Towers Watson | wage and hour violation | 2005 | WHD | $294,279 |
TIAA | TIAA | wage and hour violation | 2005 | WHD | $327,168 |
The First American Title Insurance, Co. | First American Financial | wage and hour violation | 2005 | WHD | $24,067 |
TD Waterhouse Investor Services, Inc. | Toronto-Dominion Bank | wage and hour violation | 2005 | WHD | $55,208 |
Goodrich Aviation Technical Services, Inc. | Macquarie | wage and hour violation | 2005 | WHD | $47,369 |
USAA Insurance | USAA | labor relations violation | 2005 | NLRB | $125,361 |
Watson Wyatt & Co. | Willis Towers Watson | labor relations violation | 2005 | NLRB | $91,000 |
CINCINNATI BELL TELEPHONE A DIVISION OF BROADWING | Macquarie | labor relations violation | 2005 | NLRB | $5,000 |
Wheelabrator Westchester, L.P. | Macquarie | labor relations violation | 2005 | NLRB | $13,000 |
CIT Group Inc. | First Citizens BancShares | export control violation | 2005 | BIS | $74,800 |
The Bank of New York | Bank of New York Mellon | anti-money-laundering deficiencies | 2005 | USAO | $38,000,000 |
Riggs Bank | PNC Financial Services | anti-money-laundering deficiencies | 2005 | USAO | $16,000,000 |
Liberty Mutual | Liberty Mutual Insurance | wage and hour violation | 2005 | private lawsuit-federal | $6,400,000 |
Allstate Insurance | Allstate | wage and hour violation | 2005 | private lawsuit-state | $120,000,000 |
Countrywide Financial | Bank of America | wage and hour violation | 2005 | private lawsuit-state | $30,000,000 |
State Farm | State Farm Insurance | wage and hour violation | 2005 | private lawsuit-state | $135,000,000 |
Combined Insurance Company of America | Chubb Limited | employment discrimination | 2005 | private lawsuit-federal | $8,500,000 |
Ocwen Financial | Ocwen Financial | employment discrimination | 2005 | private lawsuit-state | $2,000,000 |
CIBC World Markets Corporation | Canadian Imperial Bank of Commerce | investor protection violation | 2005 | SEC | $496,598 |
State Street Research & Management Company | BlackRock | investor protection violation | 2005 | SEC | $585,743 |
Legg Mason Wood Walker, Incorporated | Franklin Resources | investor protection violation | 2005 | SEC | $1,000,000 |
U.S. Bank National Association | U.S. Bancorp | investor protection violation | 2005 | SEC | $500,000 |
Prudential Equity Group, LLC | Prudential Financial | investor protection violation | 2005 | SEC | $125,000 |
UBS Securities LLC | UBS | investor protection violation | 2005 | SEC | $700,000 |
Banc of America Investment Services, Inc., and Bacap Distributors, LLC | Bank of America | investor protection violation | 2005 | SEC | $1,500,000 |
Credit Suisse First Boston, LLC | UBS | investor protection violation | 2005 | SEC | $200,000 |
Fiserv Securities, Inc. | Fidelity Investments | investor protection violation | 2005 | SEC | $15,000,000 |
Putnam Investment Management, LLC | Franklin Resources | investor protection violation | 2005 | SEC | $40,000,001 |
J.P. Morgan Securities Inc. | JPMorgan Chase | investor protection violation | 2005 | SEC | $700,000 |
HSBC Bank USA | HSBC | benefit plan administrator violation | 2005 | private lawsuit-federal | $9,350,000 |
1st Financial Bank U.S.A. | 1st Financial Bank USA | banking violation | 2005 | WI-AG | $43,142 |
American Express Financial Advisors Inc. | Ameriprise Financial | investor protection violation | 2005 | NJ-AG | $5,000,000 |
Aon Corporation | Aon | price-fixing or anti-competitive practices | 2005 | MULTI-AG | $190,000,000 |
Arthur J. Gallagher & Co. | Arthur J. Gallagher & Co. | consumer protection violation | 2005 | IL-AG | $27,000,000 |
BB&T Leasing Company | Truist Financial | consumer protection violation | 2005 | NY-AG | $159,097 |
Canadian Imperial Bank of Commerce | Canadian Imperial Bank of Commerce | investor protection violation | 2005 | NY-AG | (*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $125,000,000 |
Capital One Bank | Capital One Financial | banking violation | 2005 | WI-AG | $80,032 |
CIT Group/Equipment Financing, Inc. | First Citizens BancShares | consumer protection violation | 2005 | MULTI-AG | $10,000,000 |
CIT Technology Financing Services, Inc. | First Citizens BancShares | consumer protection violation | 2005 | NJ-AG | $4,360,000 |
De Lage Landen Financial Services, Inc. | Rabobank | consumer protection violation | 2005 | MULTI-AG | $872,000 |
Federated Investors, Inc. | Federated Hermes | investor protection violation | 2005 | NY-AG | (*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $100,000,000 |
HealthNow New York | Highmark Inc. | consumer protection violation | 2005 | NY-AG | $5,000 |
Marsh & McLennan Companies, Inc. | Marsh & McLennan | price-fixing or anti-competitive practices | 2005 | MULTI-AG | $850,000,000 |
Merrill Lynch Pierce Fenner & Smith Inc. | Bank of America | investor protection violation | 2005 | NJ-AG | $10,000,000 |
Midland Credit Management, Inc. | Encore Capital Group | consumer protection violation | 2005 | WV-AG | $3,500,000 |
Morgan Stanley DW | Morgan Stanley | investor protection violation | 2005 | DE-AG | $700,000 |
Nationwide Life Insurance | Nationwide | consumer protection violation | 2005 | MA-AG | $650,000 |
St. Paul Travelers Companies Inc. | Travelers | investor protection violation | 2005 | NM-AG | $67,500,000 |
State Farm Mutual Automobile Insurance Co. | State Farm Insurance | consumer protection violation | 2005 | TX-AG | $10,000,000 |
State Farm Mutual Insurance Company | State Farm Insurance | consumer protection violation | 2005 | MULTI-AG | $41,000,000 |
SunTrust Bank | Truist Financial | banking violation | 2005 | WI-AG | $10,107 |
U.S. Bancorp | U.S. Bancorp | consumer protection violation | 2005 | CA-AG | $2,600,000 |
Unum Life Insurance Co. | Unum | False Claims Act and related | 2005 | MA-AG | $650,000 |
Wells Fargo Financial Leasing, Inc. | Wells Fargo | consumer protection violation | 2005 | MULTI-AG | $10,000,000 |
Western Union Financial Services | Western Union | consumer protection violation | 2005 | MULTI-AG | $8,529,000 |
Willis Group Holdings Ltd. | Willis Towers Watson | price-fixing or anti-competitive practices | 2005 | NY-AG | $50,000,000 |
Israel Discount Bank of New York | Israel Discount Bank | anti-money-laundering deficiencies | 2005 | NY-MANDA | $8,500,000 |
Watson Wyatt & Company | Willis Towers Watson | False Claims Act and related | 2005 | USAO | $689,828 |
Prudential Equity Group, Inc. | Prudential Financial | investor protection violation | 2005 | AL-SEC | $45,000 |
Morgan Keegan & Co. | Raymond James Financial | investor protection violation | 2005 | AL-SEC | $100,000 |
Ameriprise Financial Services, Inc. | Ameriprise Financial | investor protection violation | 2005 | AZ-CC | $1,000,000 |
Allianz Life Insurance Company of North America | Allianz | insurance violation | 2005 | CA-INS | $425,000 |
Coast National Insurance Co. | Zurich Insurance | insurance violation | 2005 | CA-INS | $120,000 |
Philadelphia Indemnity Insurance Co. | Tokio Marine | insurance violation | 2005 | CA-INS | $175,000 |
American Bankers Insurance Company of Florida et al. | Assurant | insurance violation | 2005 | CA-INS | $250,000 |
Stewart Title of California, Inc. | Stewart Information Services | insurance violation | 2005 | CA-INS | $750,000 |
Kemper Investors Life Insurance Co. et al. | Kemper | insurance violation | 2005 | CA-INS | $21,000 |
Allstate Insurance Co. | Allstate | insurance violation | 2005 | CA-INS | $34,000,000 |
Wells Fargo Financial California, Inc. | Wells Fargo | consumer protection violation | 2005 | CA-DFPI | $1,621,010 |
Infinity Insurance Co. et al. | Kemper | insurance violation | 2005 | CA-INS | $600,000 |
American Title Co. dba Ticor Title Company of America | Fidelity National Financial | insurance violation | 2005 | CA-INS | $1,200,000 |
Amco Insurance Co. and Allied Property and Casualty Insurance Co. | Nationwide | insurance violation | 2005 | CA-INS | $20,000 |
Unum Life Insurance Company of America et al. | Unum | insurance violation | 2005 | CA-INS | $8,598,503 |
Fidelity National Title Insurance Co. et al. | Fidelity National Financial | insurance violation | 2005 | CA-INS | $13,300,000 |
Harleysville Mutual Insurance Co. | Nationwide | insurance violation | 2005 | CA-INS | $100,000 |
Janney Montgomery Scott LLC | Penn Mutual | investor protection violation | 2005 | CO-SEC | $259,227 |