Hennessee Group LLC | | | investor protection violation | 2009 | $814,644 |
Henning-Carey Proprietary Trading, LLC | | | investor protection violation | 2016 | $110,000 |
HEP Management Corp. | | | investor protection violation | 2018 | $75,000 |
Herbalife Nutrition Ltd. | Herbalife | food products | accounting fraud or deficiencies | 2019 | $20,000,000 |
Herbalife Nutrition Ltd. | Herbalife | food products | Foreign Corrupt Practices Act | 2020 | $67,000,000 |
Herbert J. Sims & Co., Inc. | | | investor protection violation | 2021 | $250,000 |
Herman's World of Sports, Inc. | | | investor protection violation | 2005 | $663,685 |
Hertz Global Holdings, Inc. | Hertz | miscellaneous services | investor protection violation | 2018 | $16,000,000 |
Herzog, Heine, Geduld, LLC | | | investor protection violation | 2006 | $1,500,000 |
Hewlett-Packard | HP Inc. | electrical and electronic equipment | Foreign Corrupt Practices Act | 2014 | $31,500,000 |
HG Vora Capital Management LLC | | | investor protection violation | 2024 | $950,000 |
Highland Capital Management, L.P. | | | investor protection violation | 2014 | $225,000 |
Highland Capital Partners LLC | | | investor protection violation | 2022 | $95,000 |
Highlander Capital Management, LLC | | | investor protection violation | 2023 | $150,000 |
Highpoint Advisor Group, LLC | | | investor protection violation | 2022 | $764,737 |
Hightimes Holding Corp | | | investor protection violation | 2023 | $558,071 |
Hill International, Inc. | | | accounting fraud or deficiencies | 2020 | $500,000 |
Hilltop Securities Inc. | Hilltop Holdings | financial services | investor protection violation | 2016 | $360,000 |
Hilltop Securities Inc. | Hilltop Holdings | financial services | investor protection violation | 2021 | $340,193 |
Hilltop Securities Inc. and Hilltop Securities Independent Network Inc. | Hilltop Holdings | financial services | investor protection violation | 2019 | $810,785 |
Hilton Worldwide Holdings Inc. | Hilton Worldwide | hotels | accounting fraud or deficiencies | 2020 | $600,000 |
Hinsdale Associates, Inc. | | | investor protection violation | 2022 | $25,000 |
Hitachi Ltd. | Hitachi | diversified | Foreign Corrupt Practices Act | 2015 | $19,000,000 |
HITE Hedge Asset Management LLC et al. | | | investor protection violation | 2023 | $214,591 |
Hold Brothers On-Line Investment Services | | | investor protection violation | 2012 | $2,535,000 |
Hold Brothers Online Investment Services, LLC | | | investor protection violation | 2017 | $707,764 |
Hologram USA Networks Inc. | | | investor protection violation | 2020 | $22,419 |
Holthouse Carlin & Van Trigt LLP? | | | investor protection violation | 2018 | $300,000 |
Home Loan Servicing Solutions Ltd. | | | accounting fraud or deficiencies | 2015 | $1,500,000 |
HomeStreet Inc | HomeStreet Inc. | financial services | accounting fraud or deficiencies | 2017 | $500,000 |
Honeywell International Inc. | Honeywell International | diversified | Foreign Corrupt Practices Act | 2022 | $81,000,000 |
Hope Advisors, LLC | | | investor protection violation | 2018 | $1,487,235 |
Hope Capital, Inc. | | | investor protection violation | 2016 | $579,747 |
Horseman Capital Management, L.P.? | | | investor protection violation | 2011 | $1,484,952 |
Horter Investment Management, LLC | | | investor protection violation | 2017 | $778,804 |
Houlihan Lokey Capital, Inc. | | | investor protection violation | 2023 | $15,000,000 |
House Asset Management, L.L.C. and House Edge, L.P. | | | investor protection violation | 2005 | $1,375,767 |
Houston American Energy Corp. | | | investor protection violation | 2015 | $400,000 |
Howarth Financial Services, LLC | | | investor protection violation | 2017 | $203,444 |
HP Inc. | HP Inc. | electrical and electronic equipment | accounting fraud or deficiencies | 2020 | $6,000,000 |
HQDA Elderly Life Network Corp. | | | investor protection violation | 2021 | $50,000 |
HSBC Bank USA, N.A. | HSBC | financial services | investor protection violation | 2007 | $10,500,000 |
HSBC Private Bank (Suisse) | HSBC | financial services | investor protection violation | 2014 | $12,500,000 |
HSBC Securities (USA) Inc. | HSBC | financial services | investor protection violation | 2020 | $725,000 |
HSBC Securities (USA) Inc. | HSBC | financial services | investor protection violation | 2023 | $15,000,000 |
HT Partners LLC | | | investor protection violation | 2016 | $100,000 |
Hudson Advisors L.P. and Lone Star Global Acquisitions Ltd. | | | investor protection violation | 2022 | $79,700,000 |
Hudson Bay Capital Management | | | investor protection violation | 2013 | $949,453 |
Hudson Highland Group | | | accounting fraud or deficiencies | 2011 | $200,000 |
Hudson Housing Capital LLC | | | investor protection violation | 2018 | $65,000 |
Huntington Bancshares, Inc. | Huntington Bancshares | financial services | accounting fraud or deficiencies | 2005 | $7,500,000 |
Huntington Investment Company | | | investor protection violation | 2024 | $1,250,000 |
Huntleigh Advisors, Inc. | | | investor protection violation | 2023 | $843,502 |
Huron Consulting Group Inc. | Huron Consulting Group | miscellaneous services | accounting fraud or deficiencies | 2012 | $1,000,000 |
Hutchens Investment Management, Inc.? | | | investor protection violation | 2006 | $40,000 |
Hutchinson, Shockey, Erley & Co. | Huntington Bancshares | financial services | investor protection violation | 2015 | $220,000 |
Hydrogen Technology Corporation | | | investor protection violation | 2023 | $2,796,234 |
Hyperdynamics Corporation | | | investor protection violation | 2015 | $75,000 |
Hyzon Motors Inc. | | | fraud | 2023 | $25,000,000 |
i2 Technologies, Inc. | | | accounting fraud or deficiencies | 2004 | $10,000,000 |
IBC Funds, LLC | | | investor protection violation | 2016 | $2,482,850 |
IC Advisory Services Inc. | | | investor protection violation | 2019 | $1,195,186 |
ICAP plc | CME Group | financial services | investor protection violation | 2009 | $25,000,000 |
iCapital Markets LLC | | | investor protection violation | 2002 | $6,300,000 |
ICBC Standard Bank Plc | Industrial and Commercial Bank of China | financial services | investor protection violation | 2015 | $4,200,000 |
ICE Data Pricing & Reference Data LLC | | | investor protection violation | 2020 | $8,000,000 |
ICN Pharmaceuticals, Inc. | Bausch Health | pharmaceuticals | accounting fraud or deficiencies | 2002 | $1,000,000 |
ICO Rating | | | investor protection violation | 2019 | $268,998 |
ICOBox | | | investor protection violation | 2020 | $16,059,428 |
Icon Capital | | | accounting fraud or deficiencies | 2016 | $750,000 |
Iconix Brand Group Inc. | Iconix Brand Group | apparel | accounting fraud or deficiencies | 2019 | $5,500,000 |
ICP Asset Management | | | investor protection violation | 2012 | $18,275,033 |
Idle Media Inc. | | | accounting fraud or deficiencies | 2015 | $50,000 |
IEC Electronics Corp. | | | accounting fraud or deficiencies | 2016 | $200,000 |
IFMG Securities, Inc. | | | investor protection violation | 2006 | $1,000,000 |
IFP Advisors, LLC | | | investor protection violation | 2022 | $400,000 |
IFS Securities | | | investor protection violation | 2019 | $50,000 |
Igen Networks Corp. | | | investor protection violation | 2021 | $25,000 |
IMC Asset Management, Inc. | | | investor protection violation | 2013 | $30,000 |
IMC Chicago, LLC | | | investor protection violation | 2022 | $125,000 |
Impact Theory, LLC | | | investor protection violation | 2023 | $6,100,000 |
Imperium Advisors, LLC | | | investor protection violation | 2007 | $119,964 |
In Ovations Holdings, Inc. | | | investor protection violation | 2022 | $150,000 |
Indaba Capital Management | | | investor protection violation | 2014 | $304,185 |
Independent Financial Group LLC | | | investor protection violation | 2019 | $1,426,150 |
India Globalization Capital, Inc. | | | investor protection violation | 2020 | $175,000 |
Industrial and Commercial Bank of China Financial Services LLC | Industrial and Commercial Bank of China | financial services | investor protection violation | 2018 | $1,250,000 |
Industrial and Commercial Bank of China Financial Services LLC | Industrial and Commercial Bank of China | financial services | investor protection violation | 2018 | $860,000 |
Industrial and Commercial Bank of China Financial Services LLC | Industrial and Commercial Bank of China | financial services | investor protection violation | 2019 | $42,700,000 |
INET ATS, Inc. | | | investor protection violation | 2006 | $350,000 |
Infinex Investments, Inc. | | | investor protection violation | 2019 | $978,698 |
Infrax Systems Inc. | | | investor protection violation | 2018 | $50,000 |
Ingersoll-Rand Company Ltd. | Ingersoll Rand | industrial equipment | Foreign Corrupt Practices Act | 2007 | $4,220,987 |
Ingram Micro Inc. | Platinum Equity | private equity (including portfolio companies) | investor protection violation | 2009 | $15,000,000 |
Innospec Inc. | Innospec | chemicals | Foreign Corrupt Practices Act | 2010 | $11,200,000 |
Innovative Business Solutions, LLC | | | investor protection violation | 2016 | $357,986 |
InSight Securities Inc. | | | investor protection violation | 2024 | $20,000 |
Insight Venture Management LLC | | | investor protection violation | 2023 | $2,364,958 |
Instinet LLC | | | investor protection violation | 2013 | $813,280 |
Instinet, LLC and INET ATS, Inc. | | | investor protection violation | 2005 | $700,000 |
Institutional Investor Advisers, Inc. | | | investor protection violation | 2017 | $200,000 |