Wedbush Securities Inc. | Wedbush Securities | financial services | investor protection violation | 2019 | $1,852,540 |
Wedbush Securities Inc. | Wedbush Securities | financial services | investor protection violation | 2021 | $1,207,000 |
Wedbush Securities Inc. | Wedbush Securities | financial services | investor protection violation | 2023 | $10,000,000 |
Wedbush Securities | Wedbush Securities | financial services | investor protection violation | 2014 | $2,440,000 |
Weatherford International Limited | Weatherford International | oilfield services and supplies | Foreign Corrupt Practices Act | 2013 | $65,600,000 |
Weatherford International | Weatherford International | oilfield services and supplies | accounting fraud or deficiencies | 2016 | $140,000,000 |
Wealthfront Advisers LLC | | | investor protection violation | 2018 | $250,000 |
WealthCFO, LLC | | | investor protection violation | 2018 | $409,405 |
Wealth Plus, Inc. | | | investor protection violation | 2022 | $398,232 |
Wealth Management LLC | | | investor protection violation | 2010 | $1,471,002 |
WCAS Management Corporation? | | | investor protection violation | 2018 | $778,819 |
WCAS Management Corporation | | | investor protection violation | 2020 | $100,000 |
WBI Investments Inc. | | | investor protection violation | 2020 | $750,000 |
Wayzata Investment Partners LLC | | | investor protection violation | 2024 | $60,000 |
Wave Equity Partners LLC | | | investor protection violation | 2022 | $325,000 |
Watts Water Technologies Inc. | Watts Water Technologies Inc. | miscellaneous manufacturing | Foreign Corrupt Practices Act | 2011 | $2,955,815 |
Watermark Securities, Inc. | | | investor protection violation | 2022 | $25,000 |
Water Island Capital LLC | | | investor protection violation | 2015 | $50,000 |
Washington Wealth Management, LLC | | | investor protection violation | 2016 | $50,000 |
Warrior Fund LLC | | | investor protection violation | 2010 | $221,384 |
Warburg Dillon Read LLC | UBS | financial services | investor protection violation | 2000 | $6,680,000 |
War Chest Capital Partners LLC | | | investor protection violation | 2015 | $351,818 |
War Chest Capital Partners | | | investor protection violation | 2013 | $327,569 |
Walmart | Walmart | retailing | Foreign Corrupt Practices Act | 2019 | $144,000,000 |
Wall Street Capital Funding LLC | | | investor protection violation | 2011 | $300,000 |
Wall Street Access | | | investor protection violation | 2006 | $688,084 |
Wall Street Access | | | investor protection violation | 2022 | $97,523 |
Walgreens Boots Alliance Inc. | Walgreens Boots Alliance | retailing | investor protection violation | 2018 | $34,500,000 |
Wahed Invest, LLC | | | investor protection violation | 2022 | $300,000 |
Waddell & Reed, LLC | Macquarie | financial services | investor protection violation | 2022 | $200,000 |
Waddell & Reed, Inc. | Macquarie | financial services | investor protection violation | 2006 | $50,000,000 |
Wachovia Securities, LLC | Wells Fargo | financial services | investor protection violation | 2004 | $4,844,465 |
Wachovia Corporation | Wells Fargo | financial services | investor protection violation | 2004 | $37,000,000 |
Wachovia Capital Markets, LLC | Wells Fargo | financial services | investor protection violation | 2006 | $125,000 |
W.P. Carey & Co. | W.P. Carey Inc. | real estate | accounting fraud or deficiencies | 2008 | $30,000,000 |
W.L. Lyons, LLC | | | investor protection violation | 2016 | $200,000 |
W.J. Nolan & Co., Inc. | | | investor protection violation | 2002 | $192,028 |
W.J. Nolan & Co. | | | investor protection violation | 2001 | $192,028 |
Vuuzle Media Corp. et al. | | | investor protection violation | 2023 | $28,599,662 |
VTB Capital plc | | | investor protection violation | 2021 | $6,429,883 |
Vstock Transfer LLC | | | investor protection violation | 2020 | $65,000 |
VSS Fund Management LLC | | | investor protection violation | 2018 | $200,000 |
Voya Holdings Inc. | Voya Financial | financial services | investor protection violation | 2018 | $3,600,000 |
Voya Financial Advisors, Inc. | Voya Financial | financial services | investor protection violation | 2017 | $3,095,953 |
Voya Financial Advisors, Inc. | Voya Financial | financial services | investor protection violation | 2020 | $22,919,155 |
Voya Financial Advisors Inc. | Voya Financial | financial services | investor protection violation | 2018 | $1,000,000 |
Voxeljet AG | | | investor protection violation | 2022 | $175,000 |
Volvo | Volvo | motor vehicles | Foreign Corrupt Practices Act | 2008 | $12,600,000 |
Vollero Beach Capital Partners | | | investor protection violation | 2013 | $864,427 |
Volkswagen AG | Volkswagen | motor vehicles | investor protection violation | 2024 | $48,750,000 |
VMware, Inc. | Broadcom | electrical and electronic equipment | investor protection violation | 2022 | $8,000,000 |
Vivic Corp. | | | investor protection violation | 2023 | $60,000 |
Vivendi Universal, S.A. | Comcast | telecommunications | accounting fraud or deficiencies | 2003 | $50,000,000 |
Vitesse Semiconductor Corp. | Microchip Technology Inc. | electrical and electronic equipment | accounting fraud or deficiencies | 2010 | $3,000,000 |
Visium Asset Management LP | | | investor protection violation | 2018 | $10,120,711 |
VisionPoint Advisory Group, LLC | | | investor protection violation | 2017 | $45,000 |
Vision Financial Markets LLC | | | anti-money-laundering deficiencies | 2019 | $625,000 |
Virtus Investment Advisers, Inc. | | | investor protection violation | 2015 | $16,500,000 |
Virtua Capital Management, LLC | | | investor protection violation | 2022 | $1,864,089 |
Virtu ITG Canada Corp. | | | investor protection violation | 2020 | $200,000 |
Virtu Americas LLC | Virtu Financial | financial services | investor protection violation | 2019 | $1,500,000 |
Vinci Partners Investimentos | | | investor protection violation | 2014 | $448,707 |
VimpelCom Ltd. | VEON | telecommunications | Foreign Corrupt Practices Act | 2016 | $167,500,000 |
Vika Ventures LLC | | | investor protection violation | 2023 | $8,929,120 |
VII Peaks Capital, LLC | | | investor protection violation | 2021 | $1,030,699 |
Victoire Finance Capital LLC | | | investor protection violation | 2008 | $215,631 |
vFinance Investments, Inc. | | | investor protection violation | 2008 | $26,559 |
vFinance Investments, Inc. | | | investor protection violation | 2005 | $50,000 |
Veteri Place Corp. | | | investor protection violation | 2018 | $75,000 |
Verus Capital Partners, LLC | | | investor protection violation | 2021 | $45,000 |
Verto Capital Management LLC | | | investor protection violation | 2018 | $620,594 |
Verto Capital Management | | | investor protection violation | 2017 | $4,158,517 |
Vertical Capital Partners, Inc. | | | investor protection violation | 2007 | $490,432 |
Vertical Capital Asset Management, LLC | | | investor protection violation | 2017 | $9,034,957 |
Vero Capital Management LLC | | | accounting fraud or deficiencies | 2015 | $3,068,706 |
VeriFone Holdings, Inc. | Francisco Partners | private equity (including portfolio companies) | accounting fraud or deficiencies | 2009 | $25,000 |
Vereit, Inc. | Realty Income | real estate | investor protection violation | 2020 | $8,000,000 |
Verde Bio Holdings Inc. | | | investor protection violation | 2023 | $90,000 |
Veraz Networks Inc. | | | Foreign Corrupt Practices Act | 2010 | $300,000 |
Veras Capital Master Fund, VEY Partners Master Fund and Veras Investment Partners, LLC | | | investor protection violation | 2005 | $36,200,488 |
Venture Capital Holdings LLC | | | investor protection violation | 2006 | $4,808,953 |
Vector Medical Technologies, Inc. | | | investor protection violation | 2006 | $14,208,718 |
VCAP Securities | | | investor protection violation | 2015 | $1,477,332 |
Vantage Drilling International | | | Foreign Corrupt Practices Act | 2018 | $5,000,000 |
Vandham Securities Corp. | | | investor protection violation | 2019 | $200,000 |
Vanderbilt Capital Advisors LLC | | | investor protection violation | 2002 | $125,000 |
Van Wagoner Capital Management, Inc. | | | investor protection violation | 2004 | $800,000 |
Van Eck Associates Corporation | | | investor protection violation | 2024 | $1,750,000 |
Van der Moolen Specialists USA, LLC | | | investor protection violation | 2004 | $57,675,104 |
Value Line Inc. | | | investor protection violation | 2009 | $43,705,765 |
Valor Capital Asset Management, LLC | | | investor protection violation | 2018 | $715,871 |
Valo Holdings Group | | | investor protection violation | 2023 | $668,240 |
VALIC Financial Advisors Inc. | American International Group | financial services | investor protection violation | 2020 | $39,900,000 |
Valentine Capital Asset Management, Inc.? | | | investor protection violation | 2010 | $432,007 |
Vale S.A. | Vale S.A. | mining and minerals | accounting fraud or deficiencies | 2023 | $55,900,000 |
UTStarcom, Inc. | | | Foreign Corrupt Practices Act | 2009 | $1,500,000 |
Ustocktrade LLC | | | investor protection violation | 2023 | $75,000 |
USA Financial Securities Corporation | | | investor protection violation | 2021 | $249,455 |
UQM Technologies, Inc. | Danfoss | industrial equipment | investor protection violation | 2019 | $500,000 |
Upright Financial Corp. | | | investor protection violation | 2021 | $517,209 |
Up Global SEZC | | | investor protection violation | 2023 | $3,520,000 |