Camden Consulting, Inc. and SKS Consulting, Inc. | | | investor protection violation | 2007 | $3,925,000 |
Mercury Interactive, LLC | | | accounting fraud or deficiencies | 2007 | $28,000,000 |
Blue Bottle Limited | | | investor protection violation | 2007 | $10,846,785 |
Ashlin Capital, LLC and Kyoto Capital Group, LLC | | | investor protection violation | 2007 | $455,700 |
Crestview Capital Partners | | | investor protection violation | 2007 | $394,640 |
GetAnswers, Inc. | | | investor protection violation | 2007 | $15,713,676 |
20th Century Jackson Equities, Inc. | | | investor protection violation | 2007 | $470,269 |
1st Global Capital Corp. | | | investor protection violation | 2006 | $100,000 |
Focus Financial Associates, Inc. and Focus Development Center, Inc. | | | fraud | 2006 | $6,272,264 |
U.S. Wind Farming, Inc. | | | investor protection violation | 2006 | $38,487 |
U.S. Gas & Electric, Inc. | | | investor protection violation | 2006 | $167,000 |
Graycort Financial, LLC | | | investor protection violation | 2006 | $100,000 |
BISYS Fund Services, Inc. | | | investor protection violation | 2006 | $21,400,000 |
Doral Financial Corporation | | | accounting fraud or deficiencies | 2006 | $25,000,000 |
American-Amicable Life Insurance Company of Texas, Pioneer American Insurance Company, and Pioneer Security Life Insurance Company | | | investor protection violation | 2006 | $10,000,000 |
Endocare, Inc. | | | accounting fraud or deficiencies | 2006 | $750,000 |
Lehman Brothers Inc. | | | investor protection violation | 2006 | $1,500,000 |
Unified Fund Services, Inc. | | | investor protection violation | 2006 | $125,000 |
Bio-Heal Laboratories, Inc. | | | investor protection violation | 2006 | $618,135 |
Deephaven Capital Management, LLC | | | insider trading | 2006 | $5,709,958 |
National Clearing Corporation | | | investor protection violation | 2006 | $2,000,000 |
Langley Partners, North Olmsted Partners and Quantico Partners | | | investor protection violation | 2006 | $13,517,928 |
Vector Medical Technologies, Inc. | | | investor protection violation | 2006 | $14,208,718 |
Venture Capital Holdings LLC | | | investor protection violation | 2006 | $4,808,953 |
Veras Capital Master Fund, VEY Partners Master Fund and Veras Investment Partners, LLC | | | investor protection violation | 2005 | $36,200,488 |
Emission Controls Corporation | | | fraud | 2005 | $343,333 |
Millennium Partners, L.P., Millennium Management, L.L.C., Millennium International Management | | | investor protection violation | 2005 | $148,000,000 |
House Asset Management, L.L.C. and House Edge, L.P. | | | investor protection violation | 2005 | $1,375,767 |
Zomax Inc. | | | insider trading | 2005 | $2,000,000 |
Diagnostic Products Corporation | | | Foreign Corrupt Practices Act | 2005 | $2,788,622 |
DB Investment Managers, Inc. | | | investor protection violation | 2005 | $33,159 |
Galleon Management, L.P. | | | investor protection violation | 2005 | $2,020,450 |
Stracq, Inc. | | | investor protection violation | 2005 | $660,000 |
Capital Concept Marketing, Inc. | | | investor protection violation | 2005 | $580,000 |
Time Warner Inc. | | | accounting fraud or deficiencies | 2005 | $300,000,000 |
The Hartcourt Companies, Inc. | | | fraud | 2005 | $832,598 |
CIBC Mellon Trust Company | | | fraud | 2005 | $6,030,043 |
GE InVision, Inc. | | | Foreign Corrupt Practices Act | 2005 | $617,703 |
Herman's World of Sports, Inc. | | | investor protection violation | 2005 | $663,685 |
PanaMed Corp. | | | investor protection violation | 2004 | $5,000 |
First Command Financial Planning, Inc. | | | investor protection violation | 2004 | $12,000,000 |
Fremont Investment Advisors | | | investor protection violation | 2004 | $4,146,000 |
Beacon Hill Asset Management, LLC | | | investor protection violation | 2004 | $600,000 |
RS Investment Management L.P. | | | investor protection violation | 2004 | $25,000,000 |
A.C.L.N. Ltd. and Scandinavian Car Carriers | | | investor protection violation | 2004 | $27,000,000 |
Bridgeway Capital Management | | | investor protection violation | 2004 | $5,116,464 |
Digital Exchange Systems, Inc. | | | accounting fraud or deficiencies | 2004 | $100,000 |
Kemps LLC, f/k/a Marigold Foods LLC | | | accounting fraud or deficiencies | 2004 | $150,000 |
National Institute Companies of America, Inc. | | | investor protection violation | 2004 | $1,600,000 |
ACI Inc. | | | investor protection violation | 2004 | $7,756,750 |
Van Wagoner Capital Management, Inc. | | | investor protection violation | 2004 | $800,000 |
Adams Harkness, Inc. f/k/a Adams Harkness & Hill, Inc. | | | investor protection violation | 2004 | $575,000 |
Needham & Company, Inc. | | | investor protection violation | 2004 | $700,000 |
One Touch Marketing, Inc. | | | fraud | 2004 | $1,608,102 |
Inviva Inc. | | | investor protection violation | 2004 | $5,000,000 |
Doeren Mayhew & Co. P.C. | | | accounting fraud or deficiencies | 2004 | $115,126 |
World Class Limousines, Inc. and 1-800-GET-LIMO, Inc. | | | investor protection violation | 2004 | $1,522,500 |
Performance Specialist Group LLC | | | investor protection violation | 2004 | $2,171,932 |
SIG Specialists, Inc. | | | investor protection violation | 2004 | $3,033,589 |
Global Telecom Services, L.L.C. d/b/a Medical Disposal Devices | | | investor protection violation | 2004 | $1,431,369 |
Measurement Specialties, Inc. | | | accounting fraud or deficiencies | 2004 | $1,000,000 |
Gemstar-TV Guide International, Inc. | | | accounting fraud or deficiencies | 2004 | $10,000,000 |
Pilgrim Baxter & Associates, Ltd. | | | investor protection violation | 2004 | $90,000,000 |
i2 Technologies, Inc. | | | accounting fraud or deficiencies | 2004 | $10,000,000 |
Del Global Technologies Corp., Inc. | | | accounting fraud or deficiencies | 2004 | $400,000 |
LNB Bancorp, Inc. | | | investor protection violation | 2004 | $100,000 |
National Investment Enterprises, Inc. | | | fraud | 2004 | $2,602,490 |
CDH & Affiliates, Inc. | | | investor protection violation | 2004 | $4,317,616 |
Metropolis Holdings, LLC | | | fraud | 2004 | $3,320,000 |
Security Trust Company, N.A. | | | investor protection violation | 2004 | $1,000,000 |
Bear Wagner Specialists LLC | | | investor protection violation | 2004 | $16,259,446 |
Fleet Specialist, Inc. | | | investor protection violation | 2004 | $59,097,469 |
LaBranche & Co., LLC | | | investor protection violation | 2004 | $63,518,760 |
Van der Moolen Specialists USA, LLC | | | investor protection violation | 2004 | $57,675,104 |
Ace Payday Plus, LLC | | | investor protection violation | 2004 | $1,842,133 |
H.D. Vest Investment Securities, Inc. | | | investor protection violation | 2004 | $725,216 |
Linsco/Private Ledger Corp. | | | investor protection violation | 2004 | $2,232,805 |
Premier Marketing and Investments, Inc. | | | investor protection violation | 2003 | $4,497,451 |
Gardere Wynne Sewell LLP | | | accounting fraud or deficiencies | 2003 | $2,000,000 |
Lehman Brothers, Inc. | | | investor protection violation | 2003 | $2,500,000 |
Nutrition Superstores.Com, Inc. and Advanced Wound Care, Inc. | | | investor protection violation | 2003 | $10,500,000 |
The Gaming Factory, Inc. | | | investor protection violation | 2003 | $2,100,102 |
Stratcomm Media Ltd. | | | investor protection violation | 2003 | $45,400,000 |
EyeCashNetworks, Inc. and Alliance Equities, Inc. | | | investor protection violation | 2003 | $688,230 |
Lehman Brothers Inc. | | | investor protection violation | 2003 | $80,000,000 |
North American Medical Products, Inc. | | | investor protection violation | 2003 | $120,000 |
TrendsGroup International, Inc. | | | investor protection violation | 2003 | $445,691 |
Rhino Advisors Inc. | | | investor protection violation | 2003 | $1,000,000 |
Africa Gemstone Corporation | | | investor protection violation | 2003 | $242,840 |
Robertson Stephens Inc. | | | investor protection violation | 2003 | $33,000,000 |
Syncor International Corporation | | | Foreign Corrupt Practices Act | 2002 | $500,000 |
Emsanet Internet Services, Inc. and Peter Restivo Inc. d/b/a U.S. Funding | | | investor protection violation | 2002 | $4,460,634 |
Anamar Communications, Inc. | | | investor protection violation | 2002 | $136,917 |
Basic Capital Management, Inc. | | | investor protection violation | 2002 | $850,000 |
Tradamax Group, Inc. | | | fraud | 2002 | $149,408 |
Texon Energy Corp. and Lonestar Petroleum Corp. | | | investor protection violation | 2002 | $1,268,253 |
W.J. Nolan & Co., Inc. | | | investor protection violation | 2002 | $192,028 |
Moret Ernst & Young Accountants | | | accounting fraud or deficiencies | 2002 | $400,000 |
Gardere Wynne Sewell LLP | | | data submission deficiencies | 2002 | $1,200,000 |
Advance Local Development Corp. | | | investor protection violation | 2002 | $9,509,736 |
Commercial Express, LLC and Progressive Financial, Inc. | | | investor protection violation | 2002 | $23,032,869 |