Huntington Bancshares, Inc. | Huntington Bancshares | financial services | accounting fraud or deficiencies | 2005 | $7,500,000 |
Citigroup, Inc. | Citigroup | financial services | investor protection violation | 2005 | $208,000,000 |
New York Stock Exchange, Inc. | IntercontinentalExchange Group | financial services | investor protection violation | 2005 | $20,000,000 |
Citigroup Global Markets, Inc. | Citigroup | financial services | investor protection violation | 2005 | $20,000,000 |
Banc of America Capital Management LLC, BACAP Distributors LLC and Banc of America Securities LLC | Bank of America | financial services | investor protection violation | 2005 | $375,000,000 |
Columbia Management Advisors Inc. and Columbia Funds Distributor Inc. | Ameriprise Financial | financial services | investor protection violation | 2005 | $140,000,000 |
Goldman, Sachs & Co. | Goldman Sachs | financial services | investor protection violation | 2005 | $40,000,000 |
Morgan Stanley & Co. | Morgan Stanley | financial services | investor protection violation | 2005 | $40,000,000 |
Southwest Securities, Inc. | Hilltop Holdings | financial services | investor protection violation | 2005 | $10,000,000 |
Edward D. Jones & Co., L.P. | Jones Financial | financial services | investor protection violation | 2004 | $75,000,000 |
Knight Securities, L.P. | Virtu Financial | financial services | investor protection violation | 2004 | $66,500,000 |
Franklin Advisers, Inc. and Franklin Templeton Distributors, Inc. | Franklin Resources | financial services | investor protection violation | 2004 | $20,000,000 |
American International Group, Inc. | American International Group | financial services | investor protection violation | 2004 | $46,000,000 |
Wachovia Corporation | Wells Fargo | financial services | investor protection violation | 2004 | $37,000,000 |
AIM Advisors, Inc. and AIM Distributors, Inc. | Invesco | financial services | investor protection violation | 2004 | $50,000,000 |
Invesco Funds Group, Inc. | Invesco | financial services | investor protection violation | 2004 | $325,000,000 |
TD Waterhouse Investor Services, Inc. | Toronto-Dominion Bank | financial services | investor protection violation | 2004 | $2,000,000 |
PA Fund Management LLC, PEA Capital LLC and PA Distributors LLC | Allianz | financial services | investor protection violation | 2004 | $11,600,000 |
Charles Schwab & Co., Inc. | Charles Schwab Corp. | financial services | investor protection violation | 2004 | $350,000 |
PA Fund Management LLC, PEA Capital LLC and PA Distributors LLC | Allianz | financial services | investor protection violation | 2004 | $50,000,000 |
Deutsche Bank Securities Inc. | Deutsche Bank | financial services | investor protection violation | 2004 | $87,500,000 |
Thomas Weisel Partners LLC | Stifel Financial | financial services | investor protection violation | 2004 | $12,500,000 |
Friedman, Billings, Ramsey & Co., Inc. | Arlington Asset Investment Corp. | financial services | investor protection violation | 2004 | $125,000 |
Janney Montgomery Scott LLC | Penn Mutual | financial services | investor protection violation | 2004 | $875,000 |
Morgan Keegan & Co., Inc. | Raymond James Financial | financial services | investor protection violation | 2004 | $875,000 |
Prudential Equity Group, LLC f/k/a Prudential Securities Inc. | Prudential Financial | financial services | investor protection violation | 2004 | $375,000 |
SG Cowen & Co., LLC f/k/a SG Cowen Securities Corporation | Toronto-Dominion Bank | financial services | investor protection violation | 2004 | $125,000 |
Janus Capital Management LLC | Janus Henderson | financial services | investor protection violation | 2004 | $100,000,000 |
Conseco, Inc. | CNO Financial | financial services | investor protection violation | 2004 | $15,000,000 |
Fidelity Brokerage Services, LLC | Fidelity Investments | financial services | investor protection violation | 2004 | $1,000,000 |
Franklin Advisers, Inc. | Franklin Resources | financial services | investor protection violation | 2004 | $50,000,000 |
Banc One Investment Advisors Corporation | JPMorgan Chase | financial services | investor protection violation | 2004 | $50,000,000 |
Wilmington Trust Company | M&T Bank | financial services | investor protection violation | 2004 | $125,000 |
Strong Capital Management, Inc. | Wells Fargo | financial services | investor protection violation | 2004 | $80,000,000 |
Putnam Investment Management LLC | Franklin Resources | financial services | investor protection violation | 2004 | $55,000,000 |
Massachusetts Financial Services Company | Sun Life Financial | financial services | investor protection violation | 2004 | $50,000,000 |
Spear, Leeds & Kellogg Specialists LLC | Goldman Sachs | financial services | investor protection violation | 2004 | $45,272,478 |
FleetBoston Financial Corporation | Bank of America | financial services | investor protection violation | 2004 | $140,000,000 |
Banc of America Securities LLC | Bank of America | financial services | investor protection violation | 2004 | $10,000,000 |
American Express Financial Advisors Inc. | Ameriprise Financial | financial services | investor protection violation | 2004 | $3,706,693 |
Legg Mason Wood Walker, Inc. | Franklin Resources | financial services | investor protection violation | 2004 | $2,315,467 |
Raymond James Financial Services, Inc. | Raymond James Financial | financial services | investor protection violation | 2004 | $2,595,129 |
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 |