Tel-Instrument Electronics Corp. | | | investor protection violation | 2014 | $75,000 |
Del Mar Asset Management, LP | | | investor protection violation | 2014 | $66,000 |
Lazarus Management Company LLC | | | investor protection violation | 2014 | $60,000 |
P.A.W. Capital Partners, L.P. | | | investor protection violation | 2014 | $68,000 |
RIMA Senvest Management, LLC | | | investor protection violation | 2014 | $68,000 |
Sankaty Advisors, LLC | | | investor protection violation | 2014 | $68,000 |
Trinad Management, LLC | | | investor protection violation | 2014 | $95,000 |
Ridgeback Capital Management LP | | | investor protection violation | 2014 | $104,500 |
Structured Portfolio Management, L.L.C., SPM Jr., L.L.C., and SPM IV, L.L.C. | | | investor protection violation | 2014 | $300,000 |
Monness, Crespi, Hardt & Co., Inc. | | | investor protection violation | 2014 | $150,000 |
The Phoenix Companies, Inc. | | | investor protection violation | 2014 | $100,000 |
PHL Variable Insurance Company | | | investor protection violation | 2014 | $100,000 |
Dominick & Dominick LLC | | | investor protection violation | 2014 | $75,000 |
Lakeside Capital Management, LLC | | | investor protection violation | 2014 | $590,152 |
EFP Rotenberg, LLP | | | accounting fraud or deficiencies | 2014 | $50,000 |
Paradigm Capital Management, Inc. | | | investor protection violation | 2014 | $2,181,771 |
UASNM, Inc. | | | investor protection violation | 2014 | $100,000 |
Genesis Advisory Services Corp. and ABJ Societe Anonyme Corp. | | | investor protection violation | 2014 | $1,583,942 |
Ironbird Capital LLC | | | investor protection violation | 2014 | $335,435 |
HD Mile High Marketing, Inc. | | | investor protection violation | 2014 | $250,076 |
Ruby Corporation | | | investor protection violation | 2014 | $1,100,000 |
Lightspeed Trading LLC | | | investor protection violation | 2014 | $478,216 |
The Phoenix Companies, Inc. | | | investor protection violation | 2014 | $375,000 |
PHL Variable Insurance Company | | | investor protection violation | 2014 | $375,000 |
BDL Manager LLC | | | investor protection violation | 2014 | $3,297,740 |
Worldwide Capital, Inc. | | | investor protection violation | 2014 | $7,253,726 |
Axius Holdings, LLC | | | investor protection violation | 2014 | $60,881 |
Securities Compliance Group, Ltd. | | | investor protection violation | 2018 | $27,655 |
Revolutionary Concepts, Inc. | | | investor protection violation | 2018 | $25,000 |
SEI Investments Global Funds Services | | | investor protection violation | 2018 | $225,000 |
Altaba Inc. | | | investor protection violation | 2018 | $35,000,000 |
WCAS Management Corporation? | | | investor protection violation | 2018 | $778,819 |
Arlington Capital Management, Inc. | | | investor protection violation | 2018 | $125,000 |
Jim Poe and Associates, Inc. | | | investor protection violation | 2013 | $35,000 |
West Coast Asset Management, Inc. | | | investor protection violation | 2013 | $56,186 |
John Thomas Financial Inc. | | | investor protection violation | 2013 | $500,000 |
Mazuma Corporation et al. | | | investor protection violation | 2013 | $1,449,978 |
Agamas Capital Management, LP | | | investor protection violation | 2013 | $250,000 |
Fry Hensley and Company | | | investor protection violation | 2013 | $894,657 |
Ox Trading, LLC, et al. | | | investor protection violation | 2013 | $50,000 |
Manarin Investment Counsel, Ltd., et al. | | | investor protection violation | 2013 | $1,052,747 |
Commonwealth Income & Growth Fund, Inc. | | | investor protection violation | 2013 | $367,656 |
Sarkauskas and Associates, Inc. | | | investor protection violation | 2013 | $449,837 |
North East Capital, LLC | | | investor protection violation | 2013 | $346,132 |
A.R. Schmeidler & Co., Inc. | | | investor protection violation | 2013 | $1,011,564 |
Goelzer Investment Management, Inc.? | | | investor protection violation | 2013 | $463,793 |
Comprehensive Capital Management, Inc. | | | investor protection violation | 2013 | $120,000 |
Rosenberg Rich Baker Berman & Company | | | investor protection violation | 2013 | $37,000 |
Noonan Capital Management, LLC | | | investor protection violation | 2013 | $104,825 |
Northern Lights Compliance Services, LLC, et al. | | | investor protection violation | 2013 | $50,000 |
HarborLight Capital Management, LLC? | | | investor protection violation | 2013 | $270,615 |
Foxhall Capital Management, Inc | | | investor protection violation | 2013 | $122,430 |
Banco Comercial Portugues, S.A. | | | investor protection violation | 2013 | $1,892,058 |
Oxford Investment Partners, LLC | | | investor protection violation | 2013 | $274,295 |
Ardsley Advisory Partners | | | investor protection violation | 2013 | $815,071 |
IMC Asset Management, Inc. | | | investor protection violation | 2013 | $30,000 |
Egan-Jones Ratings Company | | | investor protection violation | 2013 | $30,000 |
MiddleCove Capital, LLC | | | investor protection violation | 2013 | $788,118 |
New America High Income Fund, Inc. | | | investor protection violation | 2012 | $413,399 |
New England Investment and Retirement Group, Inc. | | | investor protection violation | 2012 | $200,000 |
Aladdin Capital Management LLC | | | investor protection violation | 2012 | $1,618,831 |
Edelweiss Financial Services Limited | | | investor protection violation | 2012 | $568,347 |
JM Financial Institutional Securities Private Limited | | | investor protection violation | 2012 | $443,545 |
Motilal Oswal Securities Limited | | | investor protection violation | 2012 | $821,594 |
Ambit Capital Pvt. Ltd. | | | investor protection violation | 2012 | $30,910 |
EM Capital Management, LLC? | | | investor protection violation | 2012 | $20,000 |
BTS Asset Management, Inc. | | | investor protection violation | 2012 | $200,000 |
Tilden Loucks & Woodnorth and LLC, Lasalle St. Securities, LLC | | | investor protection violation | 2012 | $200,000 |
JCSD Capital, LLC | | | investor protection violation | 2012 | $94,222 |
Prescient Capital Partners, Ltd. | | | investor protection violation | 2012 | $29,968 |
Stock Markets Institute, Inc. | | | investor protection violation | 2012 | $75,000 |
Western Pacific Capital Management, LLC | | | investor protection violation | 2012 | $781,940 |
JP Turner & Company, LLC | | | investor protection violation | 2012 | $416,051 |
Consultiva Internacional, Inc. | | | investor protection violation | 2012 | $35,000 |
Wesley Capital Management, LLC | | | investor protection violation | 2012 | $232,289 |
Delaware Asset Advisers | | | investor protection violation | 2012 | $4,814,520 |
Centaur Management Co. LLC | | | investor protection violation | 2012 | $364,322 |
Calhoun Asset Management, LLC | | | investor protection violation | 2012 | $50,000 |
Harbinger Capital Partners, LLC | | | investor protection violation | 2012 | $1,378,763 |
Sharespost, Inc. | | | investor protection violation | 2012 | $80,000 |
EB Financial Group, LLC | | | investor protection violation | 2012 | $310,499 |
Mercury Capital | | | investor protection violation | 2012 | $45,747 |
1st Discount Brokerage, Inc. | | | investor protection violation | 2012 | $40,000 |
Investment Placement Group | | | investor protection violation | 2011 | $4,072,027 |
Touradji Capital Management, L.P. | | | investor protection violation | 2011 | $1,303,336 |
Hanes Morgan & Co., Inc | | | investor protection violation | 2011 | $100,000 |
Feltl & Company, Inc. | | | investor protection violation | 2011 | $203,172 |
Asset Advisors, LLC | | | investor protection violation | 2011 | $20,000 |
FTN Financial Securities Corp. | | | investor protection violation | 2011 | $1,873,636 |
Pipeline Trading Systems LLC | | | investor protection violation | 2011 | $1,000,000 |
Gilford Securities, Incorporated | | | investor protection violation | 2011 | $612,113 |
Global Sentry Equity Transfer, Inc. | | | investor protection violation | 2011 | $375,000 |
Fontana Capital, LLC | | | investor protection violation | 2011 | $984,790 |
Brookside Capital, LLC | | | investor protection violation | 2011 | $2,124,079 |
Level Global Investors, L.P. | | | investor protection violation | 2011 | $3,244,171 |
Pegasus Investment Management, LLC | | | investor protection violation | 2011 | $95,469 |
Wunderlich Securities, Inc. | | | investor protection violation | 2011 | $532,624 |
Legend Securities, Inc. | | | investor protection violation | 2011 | $50,000 |
Aristeia Capital, LLC | | | investor protection violation | 2011 | $1,762,776 |
JSK Associates, Inc. | | | investor protection violation | 2011 | $60,000 |
Securities Transfer Corporation | | | investor protection violation | 2011 | $10,000 |