Nordion Inc. | | | Foreign Corrupt Practices Act | 2016 | $375,000 |
PBSJ Corporation | | | Foreign Corrupt Practices Act | 2015 | $3,400,000 |
Layne Christensen Company | | | Foreign Corrupt Practices Act | 2014 | $5,100,000 |
Comverse Technology Inc. | | | Foreign Corrupt Practices Act | 2011 | $1,600,000 |
Veraz Networks Inc. | | | Foreign Corrupt Practices Act | 2010 | $300,000 |
Luca International Group, LLC | | | investor protection violation | 2016 | $68,300,000 |
JNL Oilfield Instruments, LLC | | | accounting fraud or deficiencies | 2016 | $160,000 |
Phoenix Companies | | | accounting fraud or deficiencies | 2016 | $600,000 |
StratoComm Corporation | | | accounting fraud or deficiencies | 2016 | $5,068,709 |
Icon Capital | | | accounting fraud or deficiencies | 2016 | $750,000 |
IEC Electronics Corp. | | | accounting fraud or deficiencies | 2016 | $200,000 |
Ethiopian Electric Power | | | investor protection violation | 2016 | $6,448,854 |
Albert Fried & Company | | | anti-money-laundering deficiencies | 2016 | $300,000 |
First Mortgage Corporation | | | investor protection violation | 2016 | $12,700,000 |
Burrill Capital Management | | | accounting fraud or deficiencies | 2016 | $4,785,000 |
Uni-Pixel Inc. | | | investor protection violation | 2016 | $750,000 |
Westlands Water District | | | investor protection violation | 2016 | $125,000 |
Marrone Bio Innovations | | | accounting fraud or deficiencies | 2016 | $1,750,000 |
E.S. Financial Services | | | anti-money-laundering deficiencies | 2016 | $1,000,000 |
eAdGear Inc. | | | accounting fraud or deficiencies | 2016 | $22,640,000 |
Miller Energy Resources | | | accounting fraud or deficiencies | 2016 | $5,000,000 |
Marwood Group Research LLC | | | investor protection violation | 2015 | $375,000 |
Sands Brothers Asset Management LLC | | | investor protection violation | 2015 | $1,000,000 |
Fenway Partners LLC | | | investor protection violation | 2015 | $8,716,471 |
Summit Trust Company | | | accounting fraud or deficiencies | 2015 | $18,900,000 |
DBRS Inc. | | | investor protection violation | 2015 | $5,814,482 |
Premiere Power LLC | | | investor protection violation | 2015 | $2,587,523 |
Auriga Global Investors, Sociedad de Valores, S.A. | | | investor protection violation | 2015 | $618,401 |
Harvest Capital Strategies LLC | | | investor protection violation | 2015 | $84,454 |
Sabby Management LLC | | | investor protection violation | 2015 | $278,747 |
War Chest Capital Partners LLC | | | investor protection violation | 2015 | $351,818 |
Wolverine Trading LLC and Wolverine Asset Management LLC | | | investor protection violation | 2015 | $1,153,303 |
Briargate Trading LLP | | | investor protection violation | 2015 | $912,842 |
Home Loan Servicing Solutions Ltd. | | | accounting fraud or deficiencies | 2015 | $1,500,000 |
Spencer Pharmaceutical Inc. | | | investor protection violation | 2015 | $1,000,000 |
Focus Media Holding Limited | | | investor protection violation | 2015 | $55,600,000 |
Trinity Capital Corporation | | | accounting fraud or deficiencies | 2015 | $1,500,000 |
Idle Media Inc. | | | accounting fraud or deficiencies | 2015 | $50,000 |
Stein Mart Inc. | | | accounting fraud or deficiencies | 2015 | $800,000 |
First Eagle Investment Management and FEF Distributors | | | investor protection violation | 2015 | $39,748,260 |
8000 Inc. | | | investor protection violation | 2015 | $6,500,000 |
MusclePharm Corporation | | | accounting fraud or deficiencies | 2015 | $700,000 |
Summit Asset Strategies | | | accounting fraud or deficiencies | 2015 | $1,143,933 |
Taberna Capital Management | | | investor protection violation | 2015 | $21,500,000 |
EnviraTrends, Inc. | | | investor protection violation | 2015 | $150,000 |
Colonial Tidewater Realty Income Partners | | | investor protection violation | 2015 | $1,319,386 |
ITG Inc. | | | investor protection violation | 2015 | $20,300,000 |
ABS Manager | | | investor protection violation | 2015 | $1,087,648 |
Vero Capital Management LLC | | | accounting fraud or deficiencies | 2015 | $3,068,706 |
AlphaBridge Capital Management | | | accounting fraud or deficiencies | 2015 | $5,000,000 |
The Baker Group, LP | | | investor protection violation | 2015 | $250,000 |
B.C. Ziegler and Company | | | investor protection violation | 2015 | $250,000 |
Benchmark Securities, LLC | | | investor protection violation | 2015 | $100,000 |
Bernardi Securities, Inc. | | | investor protection violation | 2015 | $100,000 |
BOSC, Inc. | | | investor protection violation | 2015 | $250,000 |
Central States Capital Markets, LLC | | | investor protection violation | 2015 | $60,000 |
City Securities Corporation | | | investor protection violation | 2015 | $250,000 |
Davenport & Company LLC | | | investor protection violation | 2015 | $80,000 |
Dougherty & Co. LLC | | | investor protection violation | 2015 | $250,000 |
First National Capital Markets, Inc. | | | investor protection violation | 2015 | $100,000 |
George K. Baum & Company | | | investor protection violation | 2015 | $250,000 |
L.J. Hart and Company | | | investor protection violation | 2015 | $100,000 |
Loop Capital Markets, LLC | | | investor protection violation | 2015 | $60,000 |
Martin Nelson & Co., Inc. | | | investor protection violation | 2015 | $100,000 |
Merchant Capital, L.L.C. | | | investor protection violation | 2015 | $100,000 |
Robert W. Baird & Co. Incorporated | | | investor protection violation | 2015 | $500,000 |
Siebert Brandford Shank & Co., LLC | | | investor protection violation | 2015 | $240,000 |
Smith Hayes Financial Services Corporation | | | investor protection violation | 2015 | $40,000 |
Stephens Inc. | | | investor protection violation | 2015 | $400,000 |
Sterne, Agee & Leach, Inc. | | | investor protection violation | 2015 | $80,000 |
Wells Nelson & Associates, LLC | | | investor protection violation | 2015 | $100,000 |
William Blair & Co., L.L.C. | | | investor protection violation | 2015 | $80,000 |
Sand Hill Exchange | | | investor protection violation | 2015 | $20,000 |
Wwebnet Inc. | | | accounting fraud or deficiencies | 2015 | $15,459,127 |
China Valves Technology Inc. | | | investor protection violation | 2015 | $575,000 |
BioChemics Inc. | | | investor protection violation | 2015 | $17,897,887 |
H.D. Vest Investment Securities | | | investor protection violation | 2015 | $225,000 |
GLR Advisers LLC | | | accounting fraud or deficiencies | 2015 | $2,772,475 |
VCAP Securities | | | investor protection violation | 2015 | $1,477,332 |
F-Squared Investments | | | investor protection violation | 2014 | $35,000,000 |
Baker Tilly Hong Kong Limited | | | accounting fraud or deficiencies | 2014 | $84,101 |
Canadian Solar Inc. | | | accounting fraud or deficiencies | 2014 | $500,000 |
Lerner & Sipkins CPAs LLC | | | accounting fraud or deficiencies | 2014 | $55,000 |
OUM & Co. | | | accounting fraud or deficiencies | 2014 | $10,000 |
Boros & Farrington Accountancy Corporation | | | accounting fraud or deficiencies | 2014 | $30,000 |
BKD LLP | | | accounting fraud or deficiencies | 2014 | $15,000 |
APT MotoVox Group Inc. | | | investor protection violation | 2014 | $25,000 |
CoroWare Inc. | | | investor protection violation | 2014 | $25,000 |
ERF Wireless Inc. | | | investor protection violation | 2014 | $50,000 |
Green Automotive Company | | | investor protection violation | 2014 | $50,000 |
MineralRite Corporation | | | investor protection violation | 2014 | $25,000 |
Mondial Ventures Inc. | | | investor protection violation | 2014 | $50,000 |
Monster Arts Inc. | | | investor protection violation | 2014 | $25,000 |
Red Giant Entertainment Inc. | | | investor protection violation | 2014 | $25,000 |
Seaniemac International Ltd. | | | investor protection violation | 2014 | $50,000 |
Worthington Energy Inc. | | | investor protection violation | 2014 | $25,000 |
Hapoalim Securities USA | | | investor protection violation | 2014 | $54,000 |
Lebenthal & Co. | | | investor protection violation | 2014 | $54,000 |
National Securities Corporation | | | investor protection violation | 2014 | $60,000 |
Riedl First Securities Co. of Kansas | | | investor protection violation | 2014 | $130,000 |
Berman & Co. P.A. | | | accounting fraud or deficiencies | 2014 | $15,000 |