Berman & Co. P.A. | | | accounting fraud or deficiencies | 2014 | $15,000 |
OTC Solutions LLC | | | investor protection violation | 2014 | $373,239 |
Athena Capital Research | | | investor protection violation | 2014 | $1,000,000 |
Tradebot Systems Inc. | | | investor protection violation | 2014 | $50,000 |
Saba Software | | | accounting fraud or deficiencies | 2014 | $1,750,000 |
Lincolnshire Management | | | investor protection violation | 2014 | $2,300,000 |
Strategic Capital Group LLC | | | investor protection violation | 2014 | $586,290 |
Latour Trading LLC | | | investor protection violation | 2014 | $16,000,000 |
Advent Capital Management | | | investor protection violation | 2014 | $144,128 |
Antipodean Advisors | | | investor protection violation | 2014 | $93,672 |
East Side Holdings II | | | investor protection violation | 2014 | $157,010 |
Explorador Capital Management | | | investor protection violation | 2014 | $155,658 |
Formula Growth | | | investor protection violation | 2014 | $111,743 |
Great Point Partners | | | investor protection violation | 2014 | $109,597 |
Indaba Capital Management | | | investor protection violation | 2014 | $304,185 |
Ironman Capital Management | | | investor protection violation | 2014 | $87,226 |
Midwood Capital Management | | | investor protection violation | 2014 | $142,947 |
RA Capital Management | | | investor protection violation | 2014 | $3,624,359 |
Rockwood Investment Management | | | investor protection violation | 2014 | $237,988 |
Seawolf Capital | | | investor protection violation | 2014 | $296,937 |
Solus Alternative Asset Management | | | investor protection violation | 2014 | $105,495 |
SuttonBrook Capital Management | | | investor protection violation | 2014 | $70,000 |
Troubh Partners | | | investor protection violation | 2014 | $408,710 |
Vinci Partners Investimentos | | | investor protection violation | 2014 | $448,707 |
Whitebox Advisors | | | investor protection violation | 2014 | $1,202,924 |
AgFeed Industries | | | accounting fraud or deficiencies | 2014 | $18,000,000 |
Advanced Cell Technology | | | investor protection violation | 2014 | $375,000 |
Linkbrokers Derivatives LLC | | | investor protection violation | 2014 | $14,000,000 |
AIC Inc. | | | investor protection violation | 2014 | $66,760,521 |
OM Investment Management | | | accounting fraud or deficiencies | 2014 | $1,729,800 |
AutoChina International Limited | | | accounting fraud or deficiencies | 2014 | $4,350,000 |
TL Ventures Inc | | | illicit political contributions | 2014 | $294,894 |
Liquidnet Inc. | | | investor protection violation | 2014 | $2,000,000 |
Rafferty Capital Markets | | | investor protection violation | 2014 | $849,626 |
Empire Stock Transfer Inc. | | | investor protection violation | 2014 | $50,000 |
Redfin Network Inc. | | | accounting fraud or deficiencies | 2014 | $19,480 |
A Chicago Convention Center, LLC and Intercontinental Regional Center Trust of Chicago, LLC | | | investor protection violation | 2014 | $12,950,000 |
Belmont Partners LLC | | | accounting fraud or deficiencies | 2014 | $224,500 |
Apple Six Advisors Inc. | | | accounting fraud or deficiencies | 2014 | $437,500 |
Apple Seven Advisors Inc. | | | accounting fraud or deficiencies | 2014 | $375,000 |
Apple Eight Advisors Inc. | | | accounting fraud or deficiencies | 2014 | $437,500 |
Apple Nine Advisors Inc. | | | accounting fraud or deficiencies | 2014 | $250,000 |
CITIC Securities International Investment Management (HK) Limited | | | investor protection violation | 2014 | $6,600,000 |
China Shenghai Investment Management Limited | | | investor protection violation | 2014 | $4,300,000 |
Onyx Capital Advisors | | | investor protection violation | 2014 | $9,100,000 |
Instinet LLC | | | investor protection violation | 2013 | $813,280 |
GLG Partners L.P. | | | accounting fraud or deficiencies | 2013 | $8,954,346 |
Sherb & Co. LLP | | | accounting fraud or deficiencies | 2013 | $75,000 |
Greater Wenatchee Regional Events Center Public Facilities District | | | investor protection violation | 2013 | $20,000 |
Milan Group Inc. | | | investor protection violation | 2013 | $4,141,148 |
Further Lane Asset Management | | | investor protection violation | 2013 | $150,000 |
Knelman Asset Management Group | | | investor protection violation | 2013 | $60,000 |
GW & Wade | | | investor protection violation | 2013 | $250,000 |
Modern Portfolio Management Inc. | | | investor protection violation | 2013 | $175,000 |
Equitas Capital Advisers LLC | | | investor protection violation | 2013 | $225,000 |
ChinaMedia Express Holdings | | | investor protection violation | 2013 | $41,144,082 |
Petro-Suisse Ltd. | | | investor protection violation | 2013 | $8,370,000 |
Patrizio & Zhao LLC | | | accounting fraud or deficiencies | 2013 | $30,000 |
Universal Travel Group | | | accounting fraud or deficiencies | 2013 | $750,000 |
Blackthorn Investment Group | | | investor protection violation | 2013 | $520,207 |
Credentia Group | | | investor protection violation | 2013 | $69,204 |
D.E. Shaw & Co. | | | investor protection violation | 2013 | $667,492 |
Deerfield Management Company | | | investor protection violation | 2013 | $1,902,224 |
Hudson Bay Capital Management | | | investor protection violation | 2013 | $949,453 |
JGP Global Gestao de Recursos | | | investor protection violation | 2013 | $3,180,424 |
M.S. Junior and Swiss Capital Holdings | | | investor protection violation | 2013 | $427,936 |
Manikay Partners | | | investor protection violation | 2013 | $2,551,791 |
Meru Capital Group | | | investor protection violation | 2013 | $398,512 |
Merus Capital Partners | | | investor protection violation | 2013 | $73,465 |
Ontario Teachers' Pension Plan Board | | | investor protection violation | 2013 | $224,835 |
Pan Capital AB | | | investor protection violation | 2013 | $662,497 |
PEAK6 Capital Management | | | investor protection violation | 2013 | $132,217 |
Philadelphia Financial Management of San Francisco | | | investor protection violation | 2013 | $219,443 |
Polo Capital International Gestao de Recursos a/k/a Polo Capital Management | | | investor protection violation | 2013 | $282,720 |
Soundpost Partners | | | investor protection violation | 2013 | $113,315 |
Southpoint Capital Advisors | | | investor protection violation | 2013 | $534,757 |
Talkot Capital | | | investor protection violation | 2013 | $84,537 |
Vollero Beach Capital Partners | | | investor protection violation | 2013 | $864,427 |
War Chest Capital Partners | | | investor protection violation | 2013 | $327,569 |
Western Standard | | | investor protection violation | 2013 | $111,807 |
City Securities Corporation | | | investor protection violation | 2013 | $580,000 |
Fuqi International Inc. | | | accounting fraud or deficiencies | 2013 | $1,000,000 |
China Natural Gas Inc. | | | accounting fraud or deficiencies | 2013 | $815,000 |
MedLink International Inc. | | | accounting fraud or deficiencies | 2013 | $8,084,515 |
Level Global Investors LP | | | investor protection violation | 2013 | $21,514,274 |
Capital Solutions Distributors, LLC and Capital Solutions Management, LP | | | accounting fraud or deficiencies | 2013 | $4,997,077 |
211 Ventures LLC | | | investor protection violation | 2013 | $2,300,000 |
Sigma Capital Management | | | investor protection violation | 2013 | $13,944,000 |
CR Intrinsic Investors | | | investor protection violation | 2013 | $601,747,463 |
J.C. Reed & Co. | | | investor protection violation | 2013 | $14,910,003 |
Ranieri Partners | | | investor protection violation | 2013 | $375,000 |
Keyuan Petrochemicals | | | accounting fraud or deficiencies | 2013 | $1,000,000 |
Fiduciary Asset Management LLC | | | investor protection violation | 2012 | $2,859,858 |
Well Advantage | | | investor protection violation | 2012 | $14,245,266 |
eBX LLC | | | investor protection violation | 2012 | $800,000 |
Hold Brothers On-Line Investment Services | | | investor protection violation | 2012 | $2,535,000 |
Advanced Equities Inc | | | investor protection violation | 2012 | $1,000,000 |
ICP Asset Management | | | investor protection violation | 2012 | $18,275,033 |
Worldwide Energy and Manufacturing USA Inc. | | | investor protection violation | 2012 | $100,000 |
Focus Point Solutions and The H Group | | | investor protection violation | 2012 | $1,100,000 |
Clay Capital Management LLC | | | investor protection violation | 2012 | $850,000 |