American International Insurance Co. and AIG National Insurance Company, Inc. | American International Group | insurance violation | 2003 | FL-OFR | $66,750 |
Travelers Indemnity Co. | Travelers | insurance violation | 2003 | FL-OFR | $8,000 |
Travelers Indemnity Company of Illinois | Travelers | insurance violation | 2003 | FL-OFR | $20,500 |
Waddell & Reed, Inc. | Macquarie | investor protection violation | 2003 | FL-OFR | $8,800 |
Ace American Insurance Co. | Chubb Limited | insurance violation | 2003 | FL-OFR | $6,000 |
Illinois National Insurance Co. | American International Group | insurance violation | 2003 | FL-OFR | $5,000 |
National Union Fire Insurance Company of Pittsburgh, PA | American International Group | insurance violation | 2003 | FL-OFR | $62,250 |
Kemper Auto and Home Insurance Co. | Kemper | insurance violation | 2003 | FL-OFR | $16,500 |
CitiFinancial, Inc. | Citigroup | consumer protection violation | 2003 | FL-OFR | $8,199 |
Alpha Property & Casualty Insurance Co. | Kemper | insurance violation | 2003 | FL-OFR | $32,500 |
The Equitable Life Assurance Society of the United States | Equitable Holdings | insurance violation | 2003 | FL-OFR | $1,600,000 |
American Alternative Insurance Corp. | Munich Re | insurance violation | 2003 | FL-OFR | $21,500 |
Victoria Fire & Casualty Co. | Nationwide | insurance violation | 2003 | IN-INS | $5,000 |
Workmen's Auto Insurance Company | Mercury General Corporation | insurance violation | 2003 | IN-INS | $8,000 |
Progressive Casualty Insurance Company | Progressive | insurance violation | 2003 | IN-INS | $8,000 |
Allstate Insurance Company | Allstate | insurance violation | 2003 | IN-INS | $12,220 |
Protective Life Insurance Company | Dai-ichi Life | insurance violation | 2003 | MA-INS | $30,000 |
American Zurich Insurance Company | Zurich Insurance | insurance violation | 2003 | MA-INS | $40,000 |
American Home Assurance Company | American International Group | insurance violation | 2003 | MA-INS | $12,500 |
Bankers Life & Casualty Co. | CNO Financial | insurance violation | 2003 | ME-INS | $5,000 |
Illinois Farmers Insurance Co. | Zurich Insurance | insurance violation | 2003 | MN-FIN | $20,000 |
American Bankers Insurance Company of Florida | Assurant | insurance violation | 2003 | MN-FIN | $100,000 |
American Bankers Life Assurance Company of Florida | Assurant | insurance violation | 2003 | MN-FIN | $100,000 |
Illinois Farmers Insurance Co. | Zurich Insurance | insurance violation | 2003 | MN-FIN | $10,000 |
Auto-Owners Insurance Co. | Auto-Owners Insurance | insurance violation | 2003 | MN-FIN | $5,000 |
Metropolitan Life Insurance Co. | MetLife | insurance violation | 2003 | MN-FIN | $10,000 |
Berthel Fisher & Company | Berthel Fisher | investor protection violation | 2003 | MN-FIN | $10,000 |
Foremost Insurance Co. | Zurich Insurance | insurance violation | 2003 | MN-FIN | $5,000 |
Monumental Life Insurance Co. | Aegon | insurance violation | 2003 | MS-INS | $24,351 |
Conseco Life Insurance Co. | CNO Financial | insurance violation | 2003 | MS-INS | $50,000 |
U.S. Bancorp Piper Jaffray Inc. | Piper Sandler | investor protection violation | 2003 | MT-FIN | $2,625,000 |
Hartford Fire Insurance Co. et al. | Hartford Financial Services | insurance violation | 2003 | MT-FIN | $30,000 |
Edward D. Jones & Co. LP | Jones Financial | investor protection violation | 2003 | ND-SEC | $7,000 |
Berthel Fisher and Company Financial Services Inc. | Berthel Fisher | investor protection violation | 2003 | ND-SEC | $12,303 |
A.G. Edwards & Sons Inc. | Wells Fargo | investor protection violation | 2003 | NE-DBF | $20,000 |
USAA Casualty Insurance and United Services Auto Association | USAA | insurance violation | 2003 | NJ-DBI | $6,200,000 |
Horizon Healthcare of New Jersey Inc. | Horizon Healthcare Services | insurance violation | 2003 | NJ-DBI | $200,000 |
American Family Mutual Insurance Company | American Family Insurance | insurance violation | 2003 | OR-FIN | $10,000 |
Conseco Life Insurance Company | CNO Financial | insurance violation | 2003 | OR-FIN | $8,300 |
Fortis Insurance Company | Assurant | insurance violation | 2003 | OR-FIN | $20,000 |
Liberty Insurance Underwriters Inc. | Liberty Mutual Insurance | insurance violation | 2003 | SC-INS | $8,000 |
Dairyland Insurance Company | Sentry Insurance | insurance violation | 2003 | SC-INS | $5,000 |
Ameritas Investment Corporation | Ameritas Mutual Holding Company | investor protection violation | 2003 | TX-SEC | $25,000 |
AMERICAN FAMILY LIFE ASSURANCE | Aflac | insurance violation | 2003 | VA-INS | $7,500 |
UNUM LIFE INSURANCE COMPANY | Unum | insurance violation | 2003 | VA-INS | $14,000 |
NATIONWIDE MUTUAL INSURANCE CO ET AL | Nationwide | insurance violation | 2003 | VA-INS | $64,080 |
PEERLESS INSURANCE COMPANY | Liberty Mutual Insurance | insurance violation | 2003 | VA-INS | $28,100 |
ERIE INSURANCE EXCHANGE | Erie Indemnity | insurance violation | 2003 | VA-INS | $6,200 |
FIDELITY & GUARANTY LIFE INSURANCE | Fidelity National Financial | insurance violation | 2003 | VA-INS | $20,000 |
VICTORIA FIRE & CASUALTY ET AL | Nationwide | insurance violation | 2003 | VA-INS | $29,000 |
THE CINCINNATI INSURANCE CO. ET AL. | Cincinnati Financial | insurance violation | 2003 | VA-INS | $30,000 |
JEFFERSON PILOT SECURITIES | Lincoln National | investor protection violation | 2003 | VA-SEC | $26,500 |
PRINCIPAL LIFE INSURANCE CO | Principal Financial | insurance violation | 2003 | VA-INS | $10,000 |
ALLSTATE INSURANCE & ALLSTATE INDEMNITY CO | Allstate | insurance violation | 2003 | VA-INS | $31,300 |
FARMERS INSURANCE EXCHANGE | Farmers Insurance Exchange | insurance violation | 2003 | VA-INS | $42,000 |
ALLSTATE INSURANCE CO., ET AL. | Allstate | insurance violation | 2003 | VA-INS | $50,000 |
MASSACHUSETTS MUTUAL LIFE INSURANCE | Massachusetts Mutual Life Insurance | insurance violation | 2003 | VA-INS | $15,000 |
UNITED AMERICAN INSURANCE CO. | Globe Life Inc. | insurance violation | 2003 | VA-INS | $15,000 |
Insurance Company of North America | Chubb Limited | insurance violation | 2003 | WA-INS | $500,000 |
Allstate Financial Services, Inc. | Allstate | consumer protection violation | 2003 | WA-FIN | $58,988 |
AIG Warranty Guard, Inc. | American International Group | insurance violation | 2003 | WI-INS | $50,000 |
General Casualty Company of Wisconsin | QBE Insurance | insurance violation | 2003 | WI-INS | $6,500 |
National Union Fire Ins Co. of Pittsburgh | American International Group | insurance violation | 2003 | WI-INS | $10,000 |
National Union Fire Ins Co. of Pittsburgh | American International Group | insurance violation | 2003 | WI-INS | $5,000 |
National Union Fire Ins Co. of Pittsburgh | American International Group | insurance violation | 2003 | WI-INS | $10,000 |
Regent Insurance Co. | QBE Insurance | insurance violation | 2003 | WI-INS | $8,500 |
Hartford Insurance Company of the Midwest | Hartford Financial Services | insurance violation | 2003 | WI-INS | $6,500 |
Foremost Insurance Co. | Zurich Insurance | insurance violation | 2003 | WI-INS | $8,500 |
Bear, Stearns & Co. Inc. | JPMorgan Chase | investor protection violation | 2003 | MULTI-FIN | (*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $25,000,000 |
Citigroup Global Markets Inc. | Citigroup | investor protection violation | 2003 | MULTI-FIN | (*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $150,000,000 |
Credit Suisse First Boston LLC | UBS | investor protection violation | 2003 | MULTI-FIN | (*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $75,000,000 |
Goldman Sachs & Co. | Goldman Sachs | investor protection violation | 2003 | MULTI-FIN | (*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $25,000,000 |
J.P. Morgan Securities Inc. | JPMorgan Chase | investor protection violation | 2003 | MULTI-FIN | (*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $25,000,000 |
Monumental Life Insurance Company | Aegon | insurance violation | 2003 | MULTI-FIN | $37,000,000 |
Morgan Stanley & Co. | Morgan Stanley | investor protection violation | 2003 | MULTI-FIN | (*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $25,000,000 |
U.S. Bancorp Piper Jaffray Inc. | Piper Sandler | investor protection violation | 2003 | MULTI-FIN | (*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $12,500,000 |
UBS Warburg and UBS PaineWebber | UBS | investor protection violation | 2003 | MULTI-FIN | (*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $25,000,000 |
SYNAGRO CTL LLC | Goldman Sachs | environmental violation | 2003 | PA-ENV | $15,000 |
Wheelabrator Putnam Incorporated | Macquarie | environmental violation | 2003 | CT-ENV | $33,500 |
WHEELABRATOR BALTIMORE | Macquarie | environmental violation | 2003 | MD-ENV | $17,500 |
Imperial Sugar Company | Louis Dreyfus | environmental violation | 2003 | TX-ENV | $6,800 |
Morgan Stanley DW Inc. | Morgan Stanley | investor protection violation | 2003 | FINRA | (*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $50,000,000 |
Morgan Stanley DW Inc. | Morgan Stanley | investor protection violation | 2003 | FINRA | $2,000,000 |
J.P. Morgan Securities, Inc. | JPMorgan Chase | investor protection violation | 2003 | FINRA | $6,000,000 |
Transamerica Occidental | Aegon | environmental violation | 2003 | CA-SCAQMD | $5,438 |
AMERICAN INTERNATIONAL GROUP | American International Group | workplace safety or health violation | 2003 | OSHA | $5,900 |
BANK OF AMERICA | Bank of America | workplace safety or health violation | 2003 | OSHA | $5,000 |
Cinergy Marketing & Trading, LP | BNP Paribas | data submission deficiencies | 2004 | CFTC | $3,000,000 |
Credit Lyonnais Rouse Limited | Credit Agricole | investor protection violation | 2004 | CFTC | $25,000 |
FIRST BANK | First Bancorp (North Carolina) | banking violation | 2004 | FDIC | $12,000 |
NEW YORK COMMUNITY BANK | New York Community Bancorp | banking violation | 2004 | FDIC | $8,000 |
Citigroup Inc. | Citigroup | banking violation | 2004 | FED | $70,000,000 |
UBS AG | UBS | economic sanction violation | 2004 | FED | $100,000,000 |
Credit Agricole S.A. | Credit Agricole | banking violation | 2004 | FED | $8,000,000 |
Manulife Financial Corporation | Manulife Financial | investor protection violation | 2004 | DOJ_ANTITRUST | $1,000,000 |
Highmark, Inc. | Highmark Inc. | False Claims Act and related | 2004 | DOJ_CIVIL | $1,500,000 |
American International Group, Inc. | American International Group | accounting fraud or deficiencies | 2004 | DOJ_CRIMINAL | $80,000,000 |
ABN AMRO Bank, Inc | ABN AMRO | economic sanction violation | 2004 | OFAC | $25,847 |
American Express | American Express | economic sanction violation | 2004 | OFAC | $18,391 |
American Express Bank Ltd. | American Express | economic sanction violation | 2004 | OFAC | $5,041 |
American Express Company | American Express | economic sanction violation | 2004 | OFAC | $5,500 |