Minot DeBlois Advisors LLC | | | investor protection violation | 2021 | $97,523 |
MineralRite Corporation | | | investor protection violation | 2014 | $25,000 |
MiMedx Group Inc. | MiMedx Group, Inc | medical equipment and supplies | accounting fraud or deficiencies | 2019 | $1,500,000 |
Millington Securities Inc. | | | investor protection violation | 2020 | $250,000 |
Miller Energy Resources | | | accounting fraud or deficiencies | 2016 | $5,000,000 |
Millennium Software Solutions, Inc. | | | investor protection violation | 2000 | $760,450 |
Millennium Partners, L.P., Millennium Management, L.L.C., Millennium International Management | | | investor protection violation | 2005 | $148,000,000 |
Millennium Management LLC | | | investor protection violation | 2017 | $630,000 |
Millennium Management LLC | | | investor protection violation | 2017 | $638,709 |
Millennium Group of New York, LLC | | | investor protection violation | 2001 | $7,602 |
Millenium Capital Advisors of Pennsylvania, Inc | | | investor protection violation | 2002 | $50,000 |
Milkie/Ferguson Investments, Inc. | | | investor protection violation | 2008 | $25,000 |
Milan Group Inc. | | | investor protection violation | 2013 | $4,141,148 |
Milan Capital Group, Inc. and Investment Offices d/b/a AC Financial, Inc. | | | investor protection violation | 2001 | $9,395,066 |
Mighty Oak Strong America Investment Company | | | investor protection violation | 2021 | $25,000 |
Midwood Capital Management | | | investor protection violation | 2014 | $142,947 |
MiddleCove Capital, LLC | | | investor protection violation | 2013 | $788,118 |
Mid-Ohio Securities Corp. | | | investor protection violation | 2003 | $25,000 |
Mid Atlantic Financial Management, Inc. | | | investor protection violation | 2019 | $300,000 |
Microsoft Corporation | Microsoft | information technology | Foreign Corrupt Practices Act | 2019 | $16,565,150 |
Microphase Corp. | | | investor protection violation | 2007 | $700,000 |
Michigan Advisors Inc. | | | investor protection violation | 2019 | $327,976 |
MIAI, Inc. | | | investor protection violation | 2019 | $488,579 |
Metropolitan Life Insurance Company | MetLife | financial services | investor protection violation | 2006 | $250,000 |
Metropolis Holdings, LLC | | | fraud | 2004 | $3,320,000 |
MetLife, Inc. | MetLife | financial services | investor protection violation | 2019 | $10,000,000 |
Metis Wealth Advisors, LLC | | | investor protection violation | 2015 | $71,489 |
Messineo & Co., CPAs, LLC | | | investor protection violation | 2015 | $25,000 |
Mesirow Financial, Inc. | | | investor protection violation | 2015 | $100,000 |
Mesirow Financial Investment Management, Inc. | | | investor protection violation | 2022 | $752,834 |
Merus Capital Partners | | | investor protection violation | 2013 | $73,465 |
Meru Capital Group | | | investor protection violation | 2013 | $398,512 |
Merriman Curhan Ford & Co. | | | investor protection violation | 2009 | $100,000 |
Merrimac Advisors Company | | | investor protection violation | 2002 | $50,000 |
Merrill Lynch, Pierce, Fenner & Smith, Incorporated | Bank of America | financial services | investor protection violation | 2003 | $200,000,000 |
Merrill Lynch, Pierce, Fenner & Smith, Inc. | Bank of America | financial services | investor protection violation | 2009 | $1,000,000 |
Merrill Lynch, Pierce, Fenner & Smith Incorporated | Bank of America | financial services | investor protection violation | 2015 | $500,000 |
Merrill Lynch, Pierce, Fenner & Smith Incorporated | Bank of America | financial services | investor protection violation | 2006 | $1,500,000 |
Merrill Lynch, Pierce, Fenner & Smith Incorporated | Bank of America | financial services | investor protection violation | 2000 | $5,000,000 |
Merrill Lynch, Pierce, Fenner & Smith Incorporated | Bank of America | financial services | anti-money-laundering deficiencies | 2017 | $13,000,000 |
Merrill Lynch, Pierce, Fenner & Smith Incorporated | Bank of America | financial services | investor protection violation | 2019 | $8,014,000 |
Merrill Lynch, Pierce, Fenner & Smith Incorporated | Bank of America | financial services | investor protection violation | 2023 | $9,660,000 |
Merrill Lynch, Pierce, Fenner & Smith Incorporated | Bank of America | financial services | anti-money-laundering deficiencies | 2023 | $6,000,000 |
Merrill Lynch, Pierce, Fenner & Smith Inc. | Bank of America | financial services | investor protection violation | 2009 | $7,000,000 |
Merrill Lynch, Pierce, Fenner & Smith Inc. | Bank of America | financial services | investor protection violation | 2018 | $15,700,000 |
Merrill Lynch, Pierce, Fenner & Smith Inc | Bank of America | financial services | investor protection violation | 2018 | $1,404,000 |
Merrill Lynch, Pierce, Fenner & Smith | Bank of America | financial services | investor protection violation | 2018 | $8,900,000 |
Merrill Lynch, Pierce, Fenner & Smith | Bank of America | financial services | investor protection violation | 2018 | $42,000,000 |
Merrill Lynch, Pierce and Fenner & Smith, Incorporated | Bank of America | financial services | investor protection violation | 2020 | $325,376 |
Merrill Lynch, Pierce and Fenner & Smith Incorporated | Bank of America | financial services | investor protection violation | 2018 | $8,872,723 |
Merrill Lynch & Co. Inc. | Bank of America | financial services | accounting fraud or deficiencies | 2003 | $80,000,000 |
Merrill Lynch | Bank of America | financial services | investor protection violation | 2015 | $10,900,000 |
Merrill Lynch | Bank of America | financial services | toxic securities abuses | 2013 | $131,800,000 |
Merrill Lynch | Bank of America | financial services | investor protection violation | 2016 | $10,000,000 |
Merrill Lynch | Bank of America | financial services | investor protection violation | 2016 | $415,000,000 |
Merrill Lynch | Bank of America | financial services | investor protection violation | 2011 | $10,000,000 |
Merrill Lynch | Bank of America | financial services | investor protection violation | 2016 | $12,500,000 |
Mercury Interactive, LLC | | | accounting fraud or deficiencies | 2007 | $28,000,000 |
Mercury Capital | | | investor protection violation | 2012 | $45,747 |
Merchant Capital, L.L.C. | | | investor protection violation | 2015 | $100,000 |
Merchant Capital, L.L.C. | | | investor protection violation | 2009 | $55,000 |
Mer Telemanagement Solutions Ltd. | | | investor protection violation | 2017 | $50,000 |
Medsis International, Inc. | | | investor protection violation | 2024 | $15,871,200 |
MedLink International Inc. | | | accounting fraud or deficiencies | 2013 | $8,084,515 |
Medley Management | | | investor protection violation | 2022 | $10,000,000 |
Medifast Inc. | Medifast Inc. | miscellaneous services | accounting fraud or deficiencies | 2013 | $200,000 |
MedCap Management & Research LLC | | | investor protection violation | 2008 | $70,632 |
Medallion Wealth Advisors LLC | | | investor protection violation | 2021 | $25,000 |
Measurement Specialties, Inc. | | | accounting fraud or deficiencies | 2004 | $1,000,000 |
Mead Johnson Nutrition Company | Reckitt Benckiser | household and personal care products | Foreign Corrupt Practices Act | 2015 | $12,000,000 |
MDC Partners | | | accounting fraud or deficiencies | 2017 | $1,500,000 |
MCL Financial Group, Inc. | | | investor protection violation | 2007 | $60,000 |
McElhenny Sheffield Capital Management LLC | | | investor protection violation | 2023 | $60,000 |
McDonald Partners, LLC | | | investor protection violation | 2021 | $194,682 |
McDermott Investment Advisors, LLC | | | investor protection violation | 2022 | $304,262 |
McCann-Erickson Worldwide | Interpublic | miscellaneous services | accounting fraud or deficiencies | 2008 | $12,000,000 |
McAfee, Inc. | Advent International | private equity (including portfolio companies) | accounting fraud or deficiencies | 2006 | $50,000,000 |
MBIA Inc. | MBIA | financial services | accounting fraud or deficiencies | 2007 | $50,000,000 |
Mazuma Corporation et al. | | | investor protection violation | 2013 | $1,449,978 |
Maxwell Technologies, Inc. | Tesla Inc. | motor vehicles | accounting fraud or deficiencies | 2018 | $2,800,000 |
Maxwell Technologies Inc. | Tesla Inc. | motor vehicles | Foreign Corrupt Practices Act | 2011 | $6,350,890 |
Maximus, Inc. | Maximus | miscellaneous services | investor protection violation | 2023 | $500,000 |
Maxim Group, LLC | | | investor protection violation | 2023 | $800,000 |
Mattel Inc. | Mattel | miscellaneous manufacturing | accounting fraud or deficiencies | 2022 | $3,500,000 |
Massachusetts Mutual Life Insurance Company | Massachusetts Mutual Life Insurance | financial services | investor protection violation | 2012 | $1,625,000 |
Massachusetts Financial Services Company | Sun Life Financial | financial services | investor protection violation | 2004 | $50,000,000 |
Massachusetts Financial Services Company | Sun Life Financial | financial services | investor protection violation | 2003 | $917,858 |
Massachusetts Financial Services Company | Sun Life Financial | financial services | investor protection violation | 2018 | $1,900,000 |
Massachusetts Financial Services Co. | Sun Life Financial | financial services | investor protection violation | 2004 | $225,000,000 |
Mason Investment Advisory Services, Inc | | | investor protection violation | 2021 | $975,057 |
Marwood Group Research LLC | | | investor protection violation | 2015 | $375,000 |
Marvell Technology Group, Ltd. | Marvell Technology | electrical and electronic equipment | accounting fraud or deficiencies | 2008 | $10,000,000 |
Marvell Technology Group, Ltd. | Marvell Technology | electrical and electronic equipment | accounting fraud or deficiencies | 2019 | $5,500,000 |
Martin Nelson & Co., Inc. | | | investor protection violation | 2015 | $100,000 |
Martin Currie | | | investor protection violation | 2012 | $8,300,000 |
Marshall Holdings International, Inc. | | | investor protection violation | 2009 | $8,974,033 |
Marrone Bio Innovations | | | accounting fraud or deficiencies | 2016 | $1,750,000 |
Marketxt, Inc. | | | investor protection violation | 2005 | $49,965 |
Marion Bass Securities Corp. | | | investor protection violation | 2000 | $150,000 |
Marcum LLP | | | accounting fraud or deficiencies | 2023 | $10,000,000 |
Marco Investment Management, LLC | | | investor protection violation | 2016 | $232,345 |