Client One Securities, LLC | | | investor protection violation | 2019 | $35,275 |
National Asset Management, Inc. | | | investor protection violation | 2019 | $733,423 |
Investment Research Corp | | | investor protection violation | 2019 | $33,188 |
First National Capital Markets, Inc. | | | investor protection violation | 2019 | $138,117 |
Lasalle St. Investment Advisors, L.L.C. | | | investor protection violation | 2019 | $458,082 |
L.M. Kohn & Company | | | investor protection violation | 2019 | $586,882 |
Benjamin F. Edwards & Co., Inc. | | | investor protection violation | 2019 | $3,445,264 |
The Huntington Investment Company | | | investor protection violation | 2019 | $207,946 |
Robert W. Baird & Co. Incorporated | | | investor protection violation | 2019 | $4,149,167 |
Questar Asset Management, Inc. | | | investor protection violation | 2019 | $527,566 |
J.J.B. Hilliard and W.L. Lyons, LLC | | | investor protection violation | 2019 | $925,023 |
Hefren-Tilotson, Inc. | | | investor protection violation | 2019 | $371,697 |
Financial Management Strategies, Inc. | | | investor protection violation | 2019 | $185,083 |
Cambridge Investment Research Advisors, Inc. | | | investor protection violation | 2019 | $6,187,562 |
Blyth & Associates, Inc. | | | investor protection violation | 2019 | $103,071 |
Ryan Financial Advisors, Inc. | | | investor protection violation | 2019 | $258,670 |
Park Avenue Securities LLC | | | investor protection violation | 2019 | $564,267 |
Investmark Advisory Group LLC | | | investor protection violation | 2019 | $103,107 |
Investacorp Advisory Services, Inc. | | | investor protection violation | 2019 | $481,608 |
Infinex Investments, Inc. | | | investor protection violation | 2019 | $978,698 |
Commonwealth Equity Services, LLC | | | investor protection violation | 2019 | $1,637,303 |
Cantella & Co., Inc. | | | investor protection violation | 2019 | $919,597 |
Beacon Investment Management LLC | | | investor protection violation | 2019 | $165,848 |
SSN Advisory, Inc. | | | investor protection violation | 2019 | $1,666,950 |
SA Stone Investment Advisors Inc. | | | investor protection violation | 2019 | $687,374 |
First Citizens Investor Services, Inc. | | | investor protection violation | 2019 | $402,665 |
First Citizens Asset Management, Inc. | | | investor protection violation | 2019 | $62,418 |
DLL CPAS, LLC | | | investor protection violation | 2019 | $51,387 |
Katz, Sapper & Miller, LLP | | | investor protection violation | 2019 | $101,834 |
Centrais Eletricas Brasileiras S.A.? | | | Foreign Corrupt Practices Act | 2018 | $2,500,000 |
Lightyear Capital LLC | | | investor protection violation | 2018 | $400,000 |
BioElectronics, Corp. | | | investor protection violation | 2018 | $191,640 |
Thoroughbred Financial Services, LLC | | | investor protection violation | 2018 | $1,108,618 |
Sterling Global Strategies LLC | | | investor protection violation | 2018 | $175,000 |
Ancora Advisors LLC | | | investor protection violation | 2018 | $100,000 |
NB Alternatives Advisers LLC | | | investor protection violation | 2018 | $2,733,608 |
Yucaipa Master Manager, LLC | | | investor protection violation | 2018 | $2,934,312 |
Landaas & Company | | | investor protection violation | 2018 | $598,941 |
Frontier Oilfield Services, Inc. | | | investor protection violation | 2018 | $25,000 |
CoinAlpha Advisors LLC | | | investor protection violation | 2018 | $50,000 |
Fifth Street Management, LLC | | | investor protection violation | 2018 | $3,983,660 |
Spark Trading Group LLC | | | investor protection violation | 2019 | $694,915 |
Pinnacle Accountancy Group, PLLC | | | accounting fraud or deficiencies | 2019 | $300,000 |
Deer Park Road Management Company LP | | | investor protection violation | 2019 | $5,000,000 |
Wilson-Davis & Co., Inc. | | | investor protection violation | 2019 | $300,000 |
Corinthian Capital Group, LLC | | | investor protection violation | 2019 | $100,000 |
GT Advanced Technologies Inc. | | | investor protection violation | 2019 | $140,000 |
Charter Capital Management, LLC | | | investor protection violation | 2019 | $40,000 |
ZBS Group LLP | | | investor protection violation | 2019 | $48,461 |
Prosper Funding LLC | | | accounting fraud or deficiencies | 2019 | $3,000,000 |
Clear Scope Advisors, Inc. | | | investor protection violation | 2019 | $25,678 |
Mutual Coin Fund LLC | | | investor protection violation | 2019 | $10,000 |
Vision Financial Markets LLC | | | anti-money-laundering deficiencies | 2019 | $625,000 |
Sweetwater Investments, Inc. | | | investor protection violation | 2019 | $1,164,747 |
Tiber Creek Corp. | | | investor protection violation | 2019 | $209,797 |
Telefonica Brasil S.A. | | | Foreign Corrupt Practices Act | 2019 | $4,124,000 |
Account Management LLC | | | investor protection violation | 2019 | $100,000 |
AOC Securities LLC | | | investor protection violation | 2019 | $250,000 |
AR Capital LLC | | | investor protection violation | 2019 | $53,000,000 |
Bitqyck Inc. | | | investor protection violation | 2019 | $8,375,617 |
Brixmor Property Group Inc. | | | accounting fraud or deficiencies | 2019 | $7,000,000 |
Canaccord Genuity LLC | | | investor protection violation | 2019 | $250,000 |
Conn's Inc. | | | accounting fraud or deficiencies | 2019 | $1,100,000 |
Dale Scott & Company, Inc. | | | investor protection violation | 2019 | $25,000 |
DFRF Enterprises LLC and DFRF Enterprises, LLC | | | investor protection violation | 2019 | $19,390,352 |
EMS Capital LP | | | investor protection violation | 2019 | $317,415 |
Equal Earth, Inc. | | | investor protection violation | 2019 | $7,655,000 |
Fieldstone Financial Management Group LLC | | | investor protection violation | 2019 | $1,322,971 |
Financial Sherpa, Inc. | | | investor protection violation | 2019 | $436,861 |
Foundations Asset Management, LLC | | | investor protection violation | 2019 | $363,947 |
Guaranteed Investigations, Inc. | | | investor protection violation | 2019 | $16,846 |
ICO Rating | | | investor protection violation | 2019 | $268,998 |
IFS Securities | | | investor protection violation | 2019 | $50,000 |
Laurel Wealth Advisors, Inc. | | | investor protection violation | 2019 | $100,000 |
Lefavi Wealth Management, Inc. | | | investor protection violation | 2019 | $1,288,735 |
Mosaic Capital, LLC | | | investor protection violation | 2019 | $250,000 |
MVP Manager LLC | | | investor protection violation | 2019 | $249,739 |
RSM US LLP | | | accounting fraud or deficiencies | 2019 | $950,000 |
School Services of California, Inc. | | | investor protection violation | 2019 | $10,000 |
Spring Hill Capital Markets, LLC, et al. | | | investor protection violation | 2019 | $485,803 |
The Options Clearing Corporation | | | investor protection violation | 2019 | $15,000,000 |
The Parrish Group, LLC | | | investor protection violation | 2019 | $184,767 |
TherapeuticsMD Inc. | | | investor protection violation | 2019 | $200,000 |
Channing Capital Management, LLC | | | investor protection violation | 2019 | $50,000 |
Portfolio Advisors Alliance | | | investor protection violation | 2019 | $1,259,721 |
Golden California Regional Center, LLC | | | investor protection violation | 2019 | $50,295,232 |
Capital Source Lending LLC | | | investor protection violation | 2019 | $5,720,451 |
XBT Corp Sarl dba First Global Credit | | | investor protection violation | 2019 | $131,952 |
Northwest Biotherapeutics, Inc. | | | investor protection violation | 2019 | $250,000 |
Lek Securities Corp. | | | investor protection violation | 2019 | $1,525,892 |
PlexCorps | | | investor protection violation | 2019 | $4,911,613 |
Block.one | | | investor protection violation | 2019 | $24,000,000 |
Bill Few Associates Inc. | | | investor protection violation | 2019 | $2,398,304 |
Cargile Investment Management Inc. | | | investor protection violation | 2019 | $70,140 |
Comprehensive Capital Management Inc. | | | investor protection violation | 2019 | $93,631 |
Equity Services Inc. | | | investor protection violation | 2019 | $587,017 |
Essex Financial Services Inc. | | | investor protection violation | 2019 | $645,000 |
Folger Nolan Fleming Douglas Capital Management Inc. | | | investor protection violation | 2019 | $59,478 |
Henley & Company Wealth Management LLC | | | investor protection violation | 2019 | $36,866 |
IC Advisory Services Inc. | | | investor protection violation | 2019 | $1,195,186 |
Independent Financial Group LLC | | | investor protection violation | 2019 | $1,426,150 |