UBS Financial Services Inc. | UBS | financial services | investor protection violation | 2004 | $4,621,768 |
Wachovia Securities, LLC | Wells Fargo | financial services | investor protection violation | 2004 | $4,844,465 |
Massachusetts Financial Services Co. | Sun Life Financial | financial services | investor protection violation | 2004 | $225,000,000 |
Canadian Imperial Bank of Commerce | Canadian Imperial Bank of Commerce | financial services | accounting fraud or deficiencies | 2003 | $80,000,000 |
Alliance Capital Management L.P. | Equitable Holdings | financial services | investor protection violation | 2003 | $250,000,000 |
Morgan Stanley DW Inc. | Morgan Stanley | financial services | investor protection violation | 2003 | $50,000,000 |
J.P. Morgan Securities Inc. | JPMorgan Chase | financial services | investor protection violation | 2003 | $25,000,000 |
American International Group, Inc. | American International Group | financial services | accounting fraud or deficiencies | 2003 | $10,000,000 |
Goldman Sachs | Goldman Sachs | financial services | investor protection violation | 2003 | $9,305,382 |
Massachusetts Financial Services Company | Sun Life Financial | financial services | investor protection violation | 2003 | $917,858 |
UBS PaineWebber, Inc. | UBS | financial services | investor protection violation | 2003 | $500,000 |
Deutsche Asset Management, Inc. | Deutsche Bank | financial services | investor protection violation | 2003 | $750,000 |
SG Cowen Securities Corporation | Toronto-Dominion Bank | financial services | investor protection violation | 2003 | $5,000,000 |
Citigroup, Inc. | Citigroup | financial services | accounting fraud or deficiencies | 2003 | $101,000,000 |
Citigroup, Inc. | Citigroup | financial services | accounting fraud or deficiencies | 2003 | $19,000,000 |
J.P. Morgan Chase & Co. | JPMorgan Chase | financial services | accounting fraud or deficiencies | 2003 | $135,000,000 |
Prudential Securities, Inc. | Wells Fargo | financial services | investor protection violation | 2003 | $382,000 |
Bear, Stearns & Co. Inc. | JPMorgan Chase | financial services | investor protection violation | 2003 | $80,000,000 |
Citigroup Global Markets Inc. f/k/a Salomon Smith Barney Inc. | Citigroup | financial services | investor protection violation | 2003 | $400,000,000 |
Credit Suisse First Boston LLC | UBS | financial services | investor protection violation | 2003 | $200,000,000 |
Goldman, Sachs & Co. | Goldman Sachs | financial services | investor protection violation | 2003 | $110,000,000 |
J.P. Morgan Securities Inc. | JPMorgan Chase | financial services | investor protection violation | 2003 | $80,000,000 |
Merrill Lynch, Pierce, Fenner & Smith, Incorporated | Bank of America | financial services | investor protection violation | 2003 | $200,000,000 |
Morgan Stanley & Co. Incorporated | Morgan Stanley | financial services | investor protection violation | 2003 | $125,000,000 |
U.S. Bancorp Piper Jaffray Inc. | Piper Sandler | financial services | investor protection violation | 2003 | $32,500,000 |
UBS Warburg LLC | UBS | financial services | investor protection violation | 2003 | $80,000,000 |
Merrill Lynch & Co. Inc. | Bank of America | financial services | accounting fraud or deficiencies | 2003 | $80,000,000 |
Deutsche Bank Securities Inc. | Deutsche Bank | financial services | data submission deficiencies | 2002 | $1,650,000 |
Goldman, Sachs & Co. | Goldman Sachs | financial services | data submission deficiencies | 2002 | $1,650,000 |
Morgan Stanley & Co. Incorporated | Morgan Stanley | financial services | data submission deficiencies | 2002 | $1,650,000 |
Salomon Smith Barney Inc. | Morgan Stanley | financial services | data submission deficiencies | 2002 | $1,650,000 |
U.S. Bancorp Piper Jaffray Inc. | Piper Sandler | financial services | data submission deficiencies | 2002 | $1,650,000 |
Credit Suisse First Boston Corporation | UBS | financial services | investor protection violation | 2002 | $100,000,000 |
Dain Rauscher Incorporated | Royal Bank of Canada | financial services | investor protection violation | 2000 | $12,941,191 |
Goldman, Sachs & Co. | Goldman Sachs | financial services | investor protection violation | 2000 | $5,200,000 |
Merrill Lynch, Pierce, Fenner & Smith Incorporated | Bank of America | financial services | investor protection violation | 2000 | $5,000,000 |
Morgan Stanley & Co. Incorporated | Morgan Stanley | financial services | investor protection violation | 2000 | $2,500,000 |
PaineWebber Incorporated | UBS | financial services | investor protection violation | 2000 | $26,200,000 |
Prudential Securities Incorporated | Wells Fargo | financial services | investor protection violation | 2000 | $5,880,000 |
Salomon Smith Barney Inc. | Morgan Stanley | financial services | investor protection violation | 2000 | $45,000,000 |
Warburg Dillon Read LLC | UBS | financial services | investor protection violation | 2000 | $6,680,000 |
RBC Capital Markets LLC | Royal Bank of Canada | financial services | investor protection violation | 2016 | $2,500,000 |
Raymond James & Associates | Raymond James Financial | financial services | investor protection violation | 2016 | $600,000 |
BOK Financial Corporation | BOK Financial | financial services | investor protection violation | 2016 | $1,667,720 |
Park National Corporation | Park National Corp. | financial services | accounting fraud or deficiencies | 2016 | $500,000 |
Merrill Lynch | Bank of America | financial services | investor protection violation | 2016 | $12,500,000 |
UBS Financial Services | UBS | financial services | investor protection violation | 2016 | $15,025,882 |
Och-Ziff Capital Management Group | Sculptor Capital Management | financial services | Foreign Corrupt Practices Act | 2016 | $199,045,167 |
Credit Suisse AG | UBS | financial services | accounting fraud or deficiencies | 2016 | $90,000,000 |
Deutsche Bank Securities | Deutsche Bank | financial services | investor protection violation | 2016 | $9,500,000 |
Bank Leumi | Bank Leumi | financial services | investor protection violation | 2016 | $1,600,000 |
JPMorgan Chase & Co. | JPMorgan Chase | financial services | Foreign Corrupt Practices Act | 2016 | $130,000,000 |
Stifel, Nicolaus & Co., Inc. | Stifel Financial | financial services | investor protection violation | 2016 | $24,500,000 |
Deutsche Bank | Deutsche Bank | financial services | investor protection violation | 2016 | $18,500,000 |
Morgan Stanley & Co. LLC | Morgan Stanley | financial services | investor protection violation | 2016 | $7,500,000 |
Morgan Stanley Smith Barney | Morgan Stanley | financial services | investor protection violation | 2017 | $13,000,000 |
BNY Mellon | Bank of New York Mellon | financial services | investor protection violation | 2017 | $6,600,000 |
HomeStreet Inc | HomeStreet Inc. | financial services | accounting fraud or deficiencies | 2017 | $500,000 |
Citigroup Global Markets | Citigroup | financial services | investor protection violation | 2017 | $2,963,735 |
Morgan Stanley Smith Barney | Morgan Stanley | financial services | investor protection violation | 2017 | $2,963,735 |
Citigroup Global Markets | Citigroup | financial services | investor protection violation | 2017 | $18,300,000 |
Morgan Stanley Smith Barney | Morgan Stanley | financial services | investor protection violation | 2017 | $8,000,000 |
Barclays Capital | Barclays | financial services | investor protection violation | 2017 | $97,037,659 |
State Street Bank and Trust Company | State Street Corp. | financial services | investor protection violation | 2017 | $35,300,000 |
Banca IMI Securities Corp. | Intesa Sanpaolo | financial services | investor protection violation | 2017 | $35,300,000 |
SunTrust Banks | Truist Financial | financial services | investor protection violation | 2017 | $1,100,000 |
BlackRock Inc. | BlackRock | financial services | investor protection violation | 2017 | $340,000 |
Wedbush Securities Inc. | Wedbush Securities | financial services | investor protection violation | 2018 | $1,304,197 |
Industrial and Commercial Bank of China Financial Services LLC | Industrial and Commercial Bank of China | financial services | investor protection violation | 2018 | $1,250,000 |
Merrill Lynch, Pierce, Fenner & Smith Incorporated | Bank of America | financial services | anti-money-laundering deficiencies | 2017 | $13,000,000 |
Ameriprise Financial Services, Inc. | Ameriprise Financial | financial services | investor protection violation | 2017 | $8,750,000 |
Wells Fargo Advisors, LLC | Wells Fargo | financial services | anti-money-laundering deficiencies | 2017 | $3,500,000 |
UBS Financial Services, Inc. | UBS | financial services | investor protection violation | 2017 | $3,500,000 |
Barclays Capital Inc. | Barclays | financial services | investor protection violation | 2017 | $12,710,040 |
Blackrock Fund Advisors | BlackRock | financial services | investor protection violation | 2017 | $1,500,000 |
Credit Suisse Securities (USA) LLC | UBS | financial services | investor protection violation | 2017 | $5,754,714 |
Stifel, Nicolaus & Company, Incorporated | Stifel Financial | financial services | investor protection violation | 2017 | $300,000 |
Voya Financial Advisors, Inc. | Voya Financial | financial services | investor protection violation | 2017 | $3,095,953 |
Columbia Management Investment Services Corp. | Ameriprise Financial | financial services | investor protection violation | 2017 | $250,000 |
BB&T Securities, LLC | Truist Financial | financial services | investor protection violation | 2016 | $200,000 |
WL Ross & Co. LLC | Invesco | financial services | investor protection violation | 2016 | $2,300,000 |
Wells Fargo Bank N.A. Municipal Products Group | Wells Fargo | financial services | investor protection violation | 2016 | $440,000 |
Mitsubishi UFJ Securities (USA), Inc. | Mitsubishi UFJ Financial Group | financial services | investor protection violation | 2016 | $20,000 |
TD Securities (USA) LLC | Toronto-Dominion Bank | financial services | investor protection violation | 2016 | $500,000 |
Hilltop Securities Inc. | Hilltop Holdings | financial services | investor protection violation | 2016 | $360,000 |
Janney Montgomery Scott LLC | Penn Mutual | financial services | investor protection violation | 2016 | $500,000 |
Keybanc Capital Markets Inc. | KeyCorp | financial services | investor protection violation | 2016 | $440,000 |
Barclays Capital Inc. | Barclays | financial services | investor protection violation | 2016 | $500,000 |
SG Americas Securities LLC | Societe Generale | financial services | investor protection violation | 2015 | $1,011,093 |
KCG Americas LLC | Virtu Financial | financial services | investor protection violation | 2015 | $1,055,197 |
Edward D. Jones & Co., L.P. | Jones Financial | financial services | investor protection violation | 2015 | $100,000 |
Comerica Securities, Inc. | Comerica | financial services | investor protection violation | 2015 | $60,000 |
BB&T Securities, LLC | Truist Financial | financial services | investor protection violation | 2015 | $200,000 |
Ameritas Investment Corp. | Ameritas Mutual Holding Company | financial services | investor protection violation | 2015 | $200,000 |
Fifth Third Securities, Inc. | Fifth Third Bancorp | financial services | investor protection violation | 2015 | $20,000 |
U.S. Bank Municipal Securities Group | U.S. Bancorp | financial services | investor protection violation | 2015 | $60,000 |
UMB Bank N.A. Investment Banking Division | UMB Financial Corp. | financial services | investor protection violation | 2015 | $420,000 |
UBS Financial Services Inc. | UBS | financial services | investor protection violation | 2015 | $480,000 |
PNC Capital Markets LLC | PNC Financial Services | financial services | investor protection violation | 2015 | $500,000 |
Macquarie Capital Investment Management LLC, et al | Macquarie | financial services | investor protection violation | 2015 | $120,000 |
Voya Holdings Inc. | Voya Financial | financial services | investor protection violation | 2018 | $3,600,000 |