ACJ Capital, Inc. | | | investor protection violation | 2012 | $3,700,000 |
McCall Business Group, LLC and MBG Global, LLC | | | investor protection violation | 2010 | $3,800,000 |
VOS Capital Management, LLC | | | investor protection violation | 2020 | $3,813,875 |
Direct Investment Products, Inc. | | | investor protection violation | 2015 | $3,851,633 |
Millenium Trading Group, LLC | | | investor protection violation | 2007 | $3,861,516 |
Invers Forex, LLC | | | investor protection violation | 2012 | $4,000,000 |
Raleigh Capital Management, Inc. | | | investor protection violation | 2011 | $4,000,000 |
Diamond Ventures LLC | | | investor protection violation | 2011 | $4,000,000 |
FX Professional International Solutions, Inc. | | | investor protection violation | 2010 | $4,000,000 |
Lake Dow Capital LLC | | | investor protection violation | 2010 | $4,000,000 |
EMF Financial Products, LLC | | | investor protection violation | 2009 | $4,000,000 |
Statoil ASA | Equinor | oil and gas | investor protection violation | 2017 | $4,000,000 |
New York Mercantile Exchange (NYMEX) | | | investor protection violation | 2020 | $4,000,000 |
Worldwide Forex, Inc. and Worldwide Commodity Corp. | | | investor protection violation | 2007 | $4,200,000 |
Dominion Resources, Inc. | Dominion Energy | utilities and power generation | data submission deficiencies | 2006 | $4,250,000 |
Saxon Financial Services Inc. | | | investor protection violation | 2009 | $4,300,000 |
Marbury Advisors Inc. | | | investor protection violation | 2017 | $4,441,652 |
First Capital Savings and Loan | | | investor protection violation | 2011 | $4,500,000 |
Citibank N.A. | Citigroup | financial services | investor protection violation | 2020 | $4,500,000 |
STA Opus NR LLC | | | fraud | 2017 | $4,521,420 |
Vault Options, Ltd. and Global Trader 365 | | | investor protection violation | 2016 | $4,587,371 |
International Foreign Currency | | | investor protection violation | 2012 | $4,600,000 |
Pan American Metals of Miami and Pan American Metals of Miami Beach | | | investor protection violation | 2013 | $4,700,000 |
Stroud Capital Management, LLC, TS Capital Partners, LLC, and TS Capital Management, LLC | | | investor protection violation | 2016 | $4,723,246 |
Falco & Stevens, Inc. | | | investor protection violation | 2007 | $4,724,607 |
Summit Trading & Capital LLC | | | investor protection violation | 2013 | $4,800,000 |
Total Call Group, Inc. | | | investor protection violation | 2012 | $4,800,000 |
FTS Financial, Inc. | | | investor protection violation | 2017 | $4,800,000 |
United Business Servicing | | | fraud | 2017 | $4,941,157 |
Morgan Stanley | Morgan Stanley | financial services | investor protection violation | 2012 | $5,000,000 |
Lloyds Commodities, LLC | | | investor protection violation | 2014 | $5,000,000 |
Q Wealth Management Inc. | | | investor protection violation | 2013 | $5,000,000 |
SNC Asset Management, Inc. and SNC Investments, Inc. | | | investor protection violation | 2012 | $5,000,000 |
Dynegy Marketing & Trade (Dynegy) and West Coast Power LLC | Vistra Energy | utilities and power generation | price-fixing or anti-competitive practices | 2002 | $5,000,000 |
Republic New York Securities Corporation | HSBC | financial services | investor protection violation | 2001 | $5,000,000 |
JSC VTB Bank | | | investor protection violation | 2016 | $5,000,000 |
Rosenthal Collins Capital Markets, LLC | | | investor protection violation | 2017 | $5,000,000 |
RBC Capital Markets, LLC | Royal Bank of Canada | financial services | investor protection violation | 2019 | $5,000,000 |
Morgan Stanley Capital Services LLC | Morgan Stanley | financial services | investor protection violation | 2020 | $5,000,000 |
The Options Clearing Corporation | | | investor protection violation | 2023 | $5,000,000 |
Harbor Light Asset Management | | | investor protection violation | 2014 | $5,200,000 |
Winell Associates, Inc. and Maxie Partners GP, LLC | | | investor protection violation | 2011 | $5,200,000 |
SwapStar Capital LLC | | | investor protection violation | 2022 | $5,255,560 |
C & R Financial, Inc. | | | investor protection violation | 2011 | $5,350,000 |
Justby International Auctions | | | investor protection violation | 2023 | $5,352,843 |
Lions Wealth Holdings, Lions Wealth Services and 20/20 Precious Metals | | | investor protection violation | 2015 | $5,388,730 |
Elsworth Berg Capital Management LLC, Elsworth Berg Inc., and Elsworth Berg FX LLC | | | investor protection violation | 2012 | $5,400,000 |
CDH Forex Investments, LLC and CDH Global Holdings LLC | | | investor protection violation | 2012 | $5,400,000 |
Zurich Futures and Options, Inc | | | investor protection violation | 2009 | $5,429,196 |
CMA Capital Management, LLC | | | investor protection violation | 2012 | $5,500,000 |
Goldman Sachs & Co. | Goldman Sachs | financial services | investor protection violation | 2023 | $5,500,000 |
AlphaMetrix, LLC | | | investor protection violation | 2014 | $5,600,000 |
Equinox Fund Management LLC | | | investor protection violation | 2016 | $5,654,004 |
New Century Investment Management LLC | | | investor protection violation | 2014 | $5,700,000 |
Queen Shoals Consultants, LLC | | | investor protection violation | 2014 | $5,760,000 |
Alpha Trade Group S.A. | | | investor protection violation | 2013 | $5,779,000 |
Renaissance Asset Management LLC | | | investor protection violation | 2009 | $5,800,000 |
Flint-McClung Capital LLC | | | investor protection violation | 2012 | $6,000,000 |
Vitol Inc. and Vitol Capital Management Ltd. | Vitol | financial services | investor protection violation | 2010 | $6,000,000 |
Digital Platinum Limited | | | investor protection violation | 2021 | $6,000,000 |
BNP Paribas | BNP Paribas | financial services | investor protection violation | 2022 | $6,000,000 |
Cantor Fitzgerald | Cantor Fitzgerald | financial services | investor protection violation | 2022 | $6,000,000 |
Wedbush Securities Inc. | Wedbush Securities | financial services | investor protection violation | 2023 | $6,000,000 |
U.S. Bank, N.A. | U.S. Bancorp | financial services | investor protection violation | 2024 | $6,000,000 |
INH-Interholding SA | | | investor protection violation | 2008 | $6,075,841 |
Berkley Capital Management, LLC et al. | | | investor protection violation | 2022 | $6,198,632 |
Worth Asset Management | | | investor protection violation | 2014 | $6,200,000 |
Billion Coupons, Inc. | | | investor protection violation | 2010 | $6,200,000 |
Coinbase Inc. | Coinbase Global Inc. | financial services | investor protection violation | 2021 | $6,500,000 |
CX Futures Exchange, L.P. | | | investor protection violation | 2022 | $6,500,000 |
CHS Hedging LLC | CHS Inc. | agribusiness | anti-money-laundering deficiencies | 2022 | $6,500,000 |
Vision Financial Partners, LLC | | | investor protection violation | 2017 | $6,527,130 |
Maize Capital Management, LLC and Maize Asset Management, LLC | | | investor protection violation | 2015 | $6,702,818 |
American Derivatives Corp. (ADC), Brokerage Management Corp., | | | investor protection violation | 2009 | $6,750,000 |
Mizuho Capital Markets LLC | Mizuho Financial | financial services | investor protection violation | 2023 | $6,847,182 |
Integra Capital Management, LLC | | | investor protection violation | 2011 | $6,900,000 |
King Royalty, LLC | | | investor protection violation | 2023 | $6,978,837 |
Goldman Sachs Execution & Clearing LP | Goldman Sachs | financial services | investor protection violation | 2012 | $7,000,000 |
Western Gas Resources, Inc. | | | investor protection violation | 2004 | $7,000,000 |
Forex Capital Markets, LLC | Jefferies Financial Group | diversified | investor protection violation | 2017 | $7,000,000 |
TFS-ICAP LLC and TFS-ICAP Ltd. | | | investor protection violation | 2020 | $7,000,000 |
Atlantas Group, Inc. | | | investor protection violation | 2016 | $7,200,000 |
Amaranth Advisors, L.L.C. and Amaranth Advisors (Calgary) ULC | | | price-fixing or anti-competitive practices | 2009 | $7,500,000 |
RFF GP LLC and KGW Capital Management LLC | | | investor protection violation | 2015 | $7,515,888 |
World Banks Foreign Currency Traders, Inc. and International Investors Trading Group, Inc. | | | investor protection violation | 2004 | $7,520,580 |
Main & Prospect Capital, LLC | | | investor protection violation | 2022 | $7,606,395 |
New Golden Investment Group | | | investor protection violation | 2011 | $8,000,000 |
Kraft Foods | Kraft Heinz | food products | price-fixing or anti-competitive practices | 2019 | $8,000,000 |
Mondelez Global | Mondelez International | food products | price-fixing or anti-competitive practices | 2019 | $8,000,000 |
Bank of America, N.A. | Bank of America | financial services | investor protection violation | 2023 | $8,000,000 |
James A. Shepherd Inc. | | | fraud | 2016 | $8,060,810 |
Maverick International, Inc. | | | investor protection violation | 2018 | $8,605,274 |
Philadelphia Alternative Asset Management Co. | | | investor protection violation | 2008 | $8,800,000 |
Bluprint LLC | | | investor protection violation | 2023 | $8,863,753 |
First American Investment Services, Inc. | | | investor protection violation | 2006 | $8,983,388 |
Deutsche Bank AG | Deutsche Bank | financial services | investor protection violation | 2020 | $9,000,000 |
Nawabi Enterprise and Hyperion Consulting Inc. | | | investor protection violation | 2024 | $9,000,000 |
E-Metal Merchants, Inc. | | | investor protection violation | 2008 | $9,042,241 |
Banc de Binary Ltd. | | | investor protection violation | 2016 | $9,100,000 |
Growth Capital Management LLC | | | investor protection violation | 2012 | $9,300,000 |
Wall Street Underground, Inc. | | | investor protection violation | 2006 | $9,500,000 |