CIT Technology Financing Services, Inc. | First Citizens BancShares | consumer protection violation | 2004 | NY-AG | $4,200,000 |
Conseco, Inc. | CNO Financial | investor protection violation | 2004 | 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. $15,000,000 |
DeLage Landen Financial Services | Rabobank | consumer protection violation | 2004 | NY-AG | $405,000 |
FleetBoston Financial Corp. | Bank of America | investor protection violation | 2004 | 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. $300,000,000 |
Franklin/Templeton Distributors, Inc. | Franklin Resources | investor protection violation | 2004 | CA-AG | $18,000,000 |
Invesco Funds Group | Invesco | investor protection violation | 2004 | MULTI-AG | (*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $325,000,000 |
Janus Capital Management | Janus Henderson | investor protection violation | 2004 | MULTI-AG | $225,000,000 |
Massachusetts Financial Services Co. | Sun Life Financial | investor protection violation | 2004 | NY-AG | $350,000,000 |
Metropolitan Life Insurance Co. | MetLife | consumer protection violation | 2004 | MA-AG | $150,000 |
PayPal | PayPal Holdings | consumer protection violation | 2004 | NY-AG | $150,000 |
Strong Capital Management Co. | Wells Fargo | investor protection violation | 2004 | MULTI-AG | (*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $115,000,000 |
UnumProvident Corporation | Unum | consumer protection violation | 2004 | MULTI-AG | $15,000,000 |
Wells Fargo | Wells Fargo | consumer protection violation | 2004 | NY-AG | $2,900,000 |
FIRST BANK | First Bancorp (North Carolina) | banking violation | 2004 | FDIC | $12,000 |
Jackson Hewitt Inc. | Jackson Hewitt | consumer protection violation | 2004 | NY-NYCDCWP | $125,000 |
Indiana Insurance Co. | Liberty Mutual Insurance | employment discrimination | 2004 | EEOC | $178,065 |
Fifth Third Bank | Fifth Third Bancorp | employment discrimination | 2004 | EEOC | $225,000 |
Wilmington Trust Co. | M&T Bank | employment discrimination | 2004 | EEOC | $70,000 |
Travelers Insurance Company | Travelers | False Claims Act and related | 2004 | USAO | $10,900,000 |
Progressive Casualty Insurance Co. et al. | Progressive | insurance violation | 2004 | CA-INS | $100,000 |
American Bankers Insurance Company of Florida et al. | Assurant | insurance violation | 2004 | CA-INS | $150,000 |
Bristol West Insurance Co. | Zurich Insurance | insurance violation | 2004 | FL-OFR | $26,500 |
Universal Property & Casualty Insurance Co. | Universal Insurance Holdings | insurance violation | 2004 | FL-OFR | $47,500 |
ProEquities, Inc. | Dai-ichi Life | investor protection violation | 2004 | FL-OFR | $5,000 |
Jackson National Life Insurance Co. | Jackson Financial | insurance violation | 2004 | FL-OFR | $5,500 |
Merrill Lynch, Pierce, Fenner & Smith, Inc. | Bank of America | investor protection violation | 2004 | FL-OFR | $10,000 |
Protective Life Insurance Co. | Dai-ichi Life | insurance violation | 2004 | FL-OFR | $5,950 |
Life Investors Insurance Company of America | Aegon | insurance violation | 2004 | FL-OFR | $11,000 |
World Group Securities, Inc. | Aegon | investor protection violation | 2004 | ID-SEC | $15,000 |
Janney Montgomery Scott LLC | Penn Mutual | investor protection violation | 2004 | IL-SEC | $5,000 |
Sun LIfe Assurance Company of Canada et al. | Sun Life Financial | insurance violation | 2004 | IN-INS | $125,000 |
Progressive Casualty Insurance Co. et al. | Progressive | insurance violation | 2004 | KS-INS | $19,800 |
Morgan Stanley D.W., Inc. | Morgan Stanley | investor protection violation | 2004 | KY-FIN | $100,000 |
Allstate Life Insurance Company | Allstate | insurance violation | 2004 | MA-INS | $25,000 |
Conseco Health Insurance Co. | CNO Financial | insurance violation | 2004 | ME-INS | $10,000 |
John Alden Life Insurance Co. | Assurant | insurance violation | 2004 | ME-INS | $5,000 |
John Alden Life Insurance Co. | Assurant | insurance violation | 2004 | ME-INS | $5,000 |
John Alden Life Insurance Co. | Assurant | insurance violation | 2004 | ME-INS | $20,000 |
Conseco Senior Health Insurance Co. | CNO Financial | insurance violation | 2004 | MN-FIN | $5,000 |
Conseco Health Insurance Co. | CNO Financial | insurance violation | 2004 | MN-FIN | $5,000 |
Universal Underwriter Insurance Co. | Zurich Insurance | insurance violation | 2004 | MN-FIN | $200,000 |
Fortis Insurance Co. | Assurant | insurance violation | 2004 | MN-FIN | $5,000 |
John Alden Life Insurance Co. | Assurant | insurance violation | 2004 | MN-FIN | $5,000 |
Foremost Insurance Co. at al. | Zurich Insurance | insurance violation | 2004 | MN-FIN | $75,000 |
Safeco Insurance Company of Illinois | Liberty Mutual Insurance | insurance violation | 2004 | MN-FIN | $5,000 |
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-FIN | $70,000 |
Fortis Insurance Co. | Assurant | insurance violation | 2004 | MT-FIN | $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 |
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 |
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 |
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 | New York Community Bancorp | discriminatory practices (non-employment) | 2004 | private lawsuit-federal | $1,100,000 |
SYNAGRO CTL LLC | Goldman Sachs | environmental violation | 2004 | PA-ENV | $20,000 |
Pro Line Printing, Inc. | Chatham Asset Management | environmental violation | 2004 | CT-ENV | $11,125 |
WHEELABRATOR RIDGE ENERGY, INC. | Macquarie | environmental violation | 2004 | FL-DEP | $19,000 |