Yes Entertainment, LLC | | | investor protection violation | 2000 | $14,546,808 |
Golf Emporium Corporation | | | fraud | 2000 | $8,622,014 |
First Paragon, Inc. | | | investor protection violation | 2000 | $1,040,000 |
EquityAlert.com, Inc. | | | investor protection violation | 2000 | $20,000 |
Commonwealth Communications Group and Marjet Corp. | | | fraud | 2000 | $1,407,284 |
Chemical Trust, U.S. Guarantee Corp., and United Marketing Trust | | | investor protection violation | 2000 | $20,590,000 |
JW Charles Financial Services, Inc. | | | investor protection violation | 2000 | $20,000 |
California Financial Services, Inc., Internet Telecommunications Albany System SMR, Internet Telecommunications Reno System SMR and Internet Telecommu | | | fraud | 2000 | $2,876,405 |
Millennium Software Solutions, Inc. | | | investor protection violation | 2000 | $760,450 |
New Concepts, L.L.C. | | | investor protection violation | 2000 | $20,000 |
Liberty Capital Group, Inc. | | | investor protection violation | 2000 | $35,000 |
Assured International, Inc. and Sharp Financial Corp. | | | investor protection violation | 2000 | $1,407,217 |
Lehman Brothers Inc. | | | investor protection violation | 2000 | $4,950,000 |
William R. Hough & Co. | | | investor protection violation | 2000 | $3,264,000 |
Prime Atlantic, Inc. | | | investor protection violation | 2000 | $12,682,820 |
DynamicDaytrader.com | | | investor protection violation | 2000 | $55,107 |
Secured Income Reserve, Inc. | | | fraud | 2016 | $1,318,476 |
Robert W. Baird & Co. | | | investor protection violation | 2016 | $250,000 |
Portugal Telecom SGPS S.A. | | | accounting fraud or deficiencies | 2016 | $125,000 |
Orrstown Financial Services, Inc. | | | accounting fraud or deficiencies | 2016 | $1,000,000 |
Aegis Oil, LLC | | | fraud | 2016 | $41,319,067 |
Forcerank LLC | | | investor protection violation | 2016 | $50,000 |
Artis Capital Management | | | investor protection violation | 2016 | $8,878,015 |
Lime Energy Co. | | | accounting fraud or deficiencies | 2016 | $1,000,000 |
Southlake Resources Group, LLC | | | fraud | 2016 | $5,681,411 |
Powersecure International, Inc. | | | accounting fraud or deficiencies | 2016 | $470,000 |
EZTD Inc. | | | investor protection violation | 2016 | $1,700,000 |
Pacific Investment Management Company (PIMCO) | | | investor protection violation | 2016 | $19,829,807 |
Equidate Inc. | | | investor protection violation | 2016 | $80,000 |
Adams Capital Management | | | investor protection violation | 2017 | $45,000 |
Aisling Capital | | | investor protection violation | 2017 | $70,456 |
Alta Communications | | | investor protection violation | 2017 | $35,000 |
Commonwealth Venture Management Corporation | | | investor protection violation | 2017 | $75,000 |
Cypress Advisors | | | investor protection violation | 2017 | $35,000 |
FFL Partners | | | investor protection violation | 2017 | $75,000 |
Lime Rock Management | | | investor protection violation | 2017 | $75,000 |
NGN Capital | | | investor protection violation | 2017 | $100,000 |
Pershing Square Capital Management | | | investor protection violation | 2017 | $75,000 |
The Banc Funds Company | | | investor protection violation | 2017 | $75,000 |
Citadel Securities LLC | | | investor protection violation | 2017 | $22,600,000 |
Sociedad Quimica y Minera de Chile S.A. | | | Foreign Corrupt Practices Act | 2017 | $15,000,000 |
ITG | | | investor protection violation | 2017 | $24,400,000 |
Port Authority of New York and New Jersey | | | investor protection violation | 2017 | $400,000 |
Interinvest Corporation | | | investor protection violation | 2016 | $6,900,000 |
MDC Partners | | | accounting fraud or deficiencies | 2017 | $1,500,000 |
AMG Energy, LLC and R. Thomas?& Co., LLC | | | investor protection violation | 2017 | $150,000 |
Arcturus Corporation and Aschere Energy LLC | | | investor protection violation | 2017 | $15,500,000 |
Sidoti & Company LLC | | | investor protection violation | 2017 | $100,000 |
Oxford City Football Club, Inc. | | | investor protection violation | 2017 | $6,853,358 |
Hold Brothers Online Investment Services, LLC | | | investor protection violation | 2017 | $707,764 |
TeamVinh.com LLC | | | investor protection violation | 2017 | $2,681,072 |
MagnaChip Semiconductor Corporation | | | accounting fraud or deficiencies | 2017 | $3,000,000 |
Momentum Investment Partners LLC dba Avatar Investment Management | | | investor protection violation | 2017 | $193,676 |
Rhode Island Commerce Corporation f/k/a Rhode Island Economic Development Corporation | | | investor protection violation | 2017 | $50,000 |
Verto Capital Management | | | investor protection violation | 2017 | $4,158,517 |
Enviso Capital LLC | | | investor protection violation | 2017 | $50,000 |
Ascenergy LLC | | | investor protection violation | 2017 | $6,859,690 |
7S Oil & Gas, LLC | | | investor protection violation | 2017 | $750,000 |
Petroforce Energy, LLC | | | investor protection violation | 2017 | $300,000 |
Green Tree Investment Group | | | investor protection violation | 2017 | $770,356 |
Millennium Management LLC | | | investor protection violation | 2017 | $630,000 |
Augustine Capital Management LLC | | | investor protection violation | 2017 | $878,305 |
JustInfo LLC | | | fraud | 2017 | $1,293,675 |
Paritz & Company | | | accounting fraud or deficiencies | 2017 | $132,049 |
Deerfield Management Company L.P. | | | investor protection violation | 2017 | $4,600,000 |
Mohlman Asset Management, LLC and Mohlman Asset Management Fund, LLC | | | investor protection violation | 2017 | $100,937 |
Penn West Petroleum Ltd. | | | accounting fraud or deficiencies | 2017 | $8,500,000 |
Capital Financial Partners, LLC et al. | | | investor protection violation | 2017 | $15,700,000 |
Credit Karma, Inc. | | | investor protection violation | 2018 | $160,000 |
Valor Capital Asset Management, LLC | | | investor protection violation | 2018 | $715,871 |
Financial Fiduciaries, LLC | | | investor protection violation | 2018 | $40,000 |
Equitystar Capital Management, LLC | | | investor protection violation | 2018 | $2,890,518 |
Dynamic Intelligence, Inc. | | | investor protection violation | 2018 | $228,552 |
Americafirst Capital Management, LLC | | | investor protection violation | 2018 | $50,000 |
Gemini Fund Services, LLC | | | investor protection violation | 2018 | $400,000 |
LKL Investment Counsel LLC | | | investor protection violation | 2018 | $100,000 |
Train, Babcock Advisors LLC | | | investor protection violation | 2017 | $1,700,725 |
Southwind Associates of NJ, Inc. d/b/a Villafranco Wealth Management | | | investor protection violation | 2017 | $50,000 |
Packerland Brokerage Services, Inc. and Atlas Capital Management Corp. | | | investor protection violation | 2017 | $536,886 |
Coastal Equities, Inc. and Coastal Investment Advisors, Inc. | | | investor protection violation | 2017 | $80,000 |
Horter Investment Management, LLC | | | investor protection violation | 2017 | $778,804 |
Institutional Investor Advisers, Inc. | | | investor protection violation | 2017 | $200,000 |
Brahman Capital Corp. | | | investor protection violation | 2017 | $250,000 |
Gray Financial Group, Inc. | | | investor protection violation | 2017 | $401,298 |
Millennium Management LLC | | | investor protection violation | 2017 | $638,709 |
Canterbury Consulting, Inc. | | | investor protection violation | 2017 | $172,986 |
Loop Capital Markets, LLC | | | investor protection violation | 2017 | $25,000 |
Success Holding Group International, Inc. | | | investor protection violation | 2017 | $139,737 |
SIX Financial Information USA Inc. | | | investor protection violation | 2017 | $107,707 |
LBMZ Securities, Inc. | | | investor protection violation | 2017 | $240,000 |
VisionPoint Advisory Group, LLC | | | investor protection violation | 2017 | $45,000 |
360 Financial, Inc. | | | investor protection violation | 2017 | $40,000 |
TRH Financial LLC | | | investor protection violation | 2017 | $35,000 |
Sagent Wealth Management, LLC | | | investor protection violation | 2017 | $181,110 |
Howarth Financial Services, LLC | | | investor protection violation | 2017 | $203,444 |
JL Capital Management | | | investor protection violation | 2017 | $278,289 |
Potomac Asset Management Company, Inc | | | investor protection violation | 2017 | $300,000 |
Envoy Advisory, Inc. | | | investor protection violation | 2017 | $51,892 |
Municipal Finance Services, Inc. | | | investor protection violation | 2017 | $50,000 |
O'Connor & Company Securities, Inc. | | | investor protection violation | 2017 | $150,000 |
Vertical Capital Asset Management, LLC | | | investor protection violation | 2017 | $9,034,957 |