eAdGear Inc. | | | accounting fraud or deficiencies | 2016 | $22,640,000 |
Eagan Capital Management, LLC | | | investor protection violation | 2023 | $50,000 |
Eagle Bancorp, Inc. | | | investor protection violation | 2022 | $13,350,493 |
Eagle Strategies LLC | | | investor protection violation | 2020 | $101,090 |
East Side Holdings II | | | investor protection violation | 2014 | $157,010 |
Eastside Financial Advisors LLC | | | investor protection violation | 2021 | $10,000 |
EB Financial Group, LLC | | | investor protection violation | 2012 | $310,499 |
eBX LLC | | | investor protection violation | 2012 | $800,000 |
Ecosystem Investment Partners LLC | | | investor protection violation | 2018 | $75,000 |
ECP Manager LP | | | investor protection violation | 2019 | $122,656 |
ED Capital Management, LLC | | | investor protection violation | 2019 | $75,000 |
Edelweiss Financial Services Limited | | | investor protection violation | 2012 | $568,347 |
EDG Management Company, LLC | | | investor protection violation | 2020 | $1,026,642 |
EDGA Exchange, Inc. and EDGX Exchange, Inc. | | | investor protection violation | 2015 | $14,000,000 |
Educators Financial Services, Inc. | | | investor protection violation | 2021 | $790,365 |
Educators Financial Services, Inc. | | | investor protection violation | 2022 | $1,107,490 |
Edward D. Jones & Co. LP | Jones Financial | financial services | investor protection violation | 2015 | $20,000,000 |
Edward D. Jones & Co., L.P. | Jones Financial | financial services | investor protection violation | 2004 | $75,000,000 |
Edward D. Jones & Co., L.P. | Jones Financial | financial services | investor protection violation | 2015 | $100,000 |
Edwin Shaw LLC | | | investor protection violation | 2018 | $544,744 |
EFG Asset Management (Americas) Corp. | | | investor protection violation | 2019 | $62,505 |
EFP Rotenberg, LLP | | | accounting fraud or deficiencies | 2014 | $50,000 |
Egan-Jones Ratings Company | | | investor protection violation | 2013 | $30,000 |
Egan-Jones Ratings Company | | | investor protection violation | 2022 | $1,846,000 |
El Paso Corporation | Kinder Morgan | pipelines | Foreign Corrupt Practices Act | 2007 | $7,700,000 |
Elan Corporation, plc | Perrigo | pharmaceuticals | accounting fraud or deficiencies | 2005 | $15,000,000 |
Elbit Imaging Ltd. | | | accounting fraud or deficiencies | 2018 | $500,000 |
Electronic Data Systems Corporation | | | accounting fraud or deficiencies | 2007 | $490,902 |
Electronic Transaction Clearing Inc. | | | investor protection violation | 2018 | $80,000 |
Elegance Brands et al. | | | investor protection violation | 2022 | $2,500,000 |
Elfindepan, S.A., Strategic Asset Funds, S.A. and Southern Financial Group | | | investor protection violation | 2008 | $6,417,122 |
Eli Lilly and Company | Eli Lilly | pharmaceuticals | Foreign Corrupt Practices Act | 2012 | $29,398,734 |
Elm Partners Management LLC | | | investor protection violation | 2018 | $75,000 |
Elm Partners Management LLC | | | investor protection violation | 2023 | $175,000 |
Elray Resources, Inc. | | | investor protection violation | 2016 | $50,000 |
EM Capital Management, LLC? | | | investor protection violation | 2012 | $20,000 |
Embraer S.A. | Embraer | aerospace and military contracting | Foreign Corrupt Practices Act | 2016 | $98,000,000 |
Embree Financial Group Inc. | | | investor protection violation | 2021 | $97,523 |
Emission Controls Corporation | | | fraud | 2005 | $343,333 |
Emperor Investments, Inc. | | | investor protection violation | 2021 | $25,000 |
Empire Stock Transfer Inc. | | | investor protection violation | 2014 | $50,000 |
Empire Stock Transfer, Inc. | | | investor protection violation | 2016 | $154,239 |
Empires Consulting Corp. | | | investor protection violation | 2023 | $34,839,951 |
EMS Capital LP | | | investor protection violation | 2019 | $317,415 |
Emsanet Internet Services, Inc. and Peter Restivo Inc. d/b/a U.S. Funding | | | investor protection violation | 2002 | $4,460,634 |
EnCap Investments L.P. | Encap Investments | private equity (including portfolio companies) | investor protection violation | 2018 | $500,000 |
Endocare, Inc. | | | accounting fraud or deficiencies | 2006 | $750,000 |
Energy & Environmental Investments, LLC and Energy & Environment, Inc. | | | investor protection violation | 2023 | $5,428,694 |
Energy Capital Partners Management LP | Energy Capital Partners | private equity (including portfolio companies) | investor protection violation | 2022 | $1,000,000 |
Energy Innovation Capital Management, LLC | | | investor protection violation | 2022 | $853,681 |
Eni S.p.A. | ENI | oil and gas | Foreign Corrupt Practices Act | 2020 | $24,500,000 |
ENI S.p.A. and Snamprogetti Netherlands B.V. | ENI | oil and gas | Foreign Corrupt Practices Act | 2010 | $125,000,000 |
Enigma MPC | | | investor protection violation | 2020 | $500,000 |
Ensign Peak Advisers Inc. | | | investor protection violation | 2023 | $4,000,000 |
EnviraTrends, Inc. | | | investor protection violation | 2015 | $150,000 |
Envision Capital Management, Ltd. | | | investor protection violation | 2011 | $100,000 |
Enviso Capital LLC | | | investor protection violation | 2017 | $50,000 |
Envoy Advisory, Inc. | | | investor protection violation | 2017 | $51,892 |
Enzyme Environmental Solutions, Inc. | | | investor protection violation | 2011 | $371,135 |
Equal Earth, Inc. | | | investor protection violation | 2019 | $7,655,000 |
Equidate Inc. | | | investor protection violation | 2016 | $80,000 |
Equinox Fund Management, LLC | | | investor protection violation | 2016 | $400,000 |
Equitable Financial Life Insurance Company | Equitable Holdings | financial services | investor protection violation | 2022 | $50,000,000 |
Equitas Capital Advisers LLC | | | investor protection violation | 2013 | $225,000 |
Equitec Proprietary Markets, LLC | | | investor protection violation | 2009 | $2,080,000 |
Equity Acquisition Company Ltd. | | | investor protection violation | 2023 | $3,917,436 |
Equity Services Inc. | | | investor protection violation | 2019 | $587,017 |
Equity Services, Inc. | | | investor protection violation | 2009 | $300,000 |
EquityAlert.com, Inc. | | | investor protection violation | 2000 | $20,000 |
EquityAlert.com, Inc. and Innotech Corporation | | | investor protection violation | 2003 | $31,555 |
Equitystar Capital Management, LLC | | | investor protection violation | 2018 | $2,890,518 |
ERF Wireless Inc. | | | investor protection violation | 2014 | $50,000 |
Eric Hall & Associates, LLC | | | investor protection violation | 2018 | $54,761 |
Ericsson | Ericsson | telecommunications | Foreign Corrupt Practices Act | 2019 | $539,000,000 |
Ernst & Young | Ernst & Young | business services | accounting fraud or deficiencies | 2016 | $9,300,000 |
Ernst & Young Hua Ming LLP | Ernst & Young | business services | accounting fraud or deficiencies | 2015 | $500,000 |
Ernst & Young LLP | Ernst & Young | business services | accounting fraud or deficiencies | 2014 | $4,070,000 |
Ernst & Young LLP | Ernst & Young | business services | accounting fraud or deficiencies | 2009 | $8,500,000 |
Ernst & Young LLP | Ernst & Young | business services | accounting fraud or deficiencies | 2016 | $11,800,000 |
Ernst & Young LLP | Ernst & Young | business services | investor protection violation | 2008 | $2,918,987 |
Ernst & Young LLP | Ernst & Young | business services | investor protection violation | 2007 | $1,587,170 |
Ernst & Young LLP | Ernst & Young | business services | accounting fraud or deficiencies | 2021 | $10,000,000 |
Ernst & Young LLP | Ernst & Young | business services | investor protection violation | 2022 | $100,000,000 |
Esos Rings, Inc. | | | investor protection violation | 2023 | $613,319 |
Essex Financial Services Inc. | | | investor protection violation | 2019 | $645,000 |
Essex Financial Services, Inc. | | | investor protection violation | 2017 | $183,181 |
Estrada Hinojosa & Company, Inc. | | | investor protection violation | 2015 | $40,000 |
Ethiopian Electric Power | | | investor protection violation | 2016 | $6,448,854 |
Ettro Capital Management Corp. | | | investor protection violation | 2021 | $60,000 |
Eureeca Capital SPC | | | investor protection violation | 2014 | $25,000 |
Everest Capital LLC | | | investor protection violation | 2020 | $3,208,226 |
Evergreen Investment Management Company | Wells Fargo | financial services | investor protection violation | 2007 | $32,500,000 |
Evergreen Investment Management Company LLC | Wells Fargo | financial services | investor protection violation | 2009 | $40,000,000 |
Everhart Financial Group, Inc. | | | investor protection violation | 2016 | $305,407 |
Evoqua Water Technologies Corp. | Xylem | miscellaneous services | accounting fraud or deficiencies | 2023 | $8,500,000 |
Exchange Traded Managers Group LLC | | | investor protection violation | 2023 | $4,000,000 |
Executive Monetary Management, LLC | | | investor protection violation | 2016 | $100,000 |
Exela Technologies, Inc. | | | investor protection violation | 2022 | $175,000 |
Exelon Corporation | Exelon | utilities and power generation | fraud | 2023 | $46,200,000 |
eXp World Holdings, Inc. | | | investor protection violation | 2023 | $115,000 |
Explorador Capital Management | | | investor protection violation | 2014 | $155,658 |