Securities Transfer Corporation | | | investor protection violation | 2011 | $10,000 |
Envision Capital Management, Ltd. | | | investor protection violation | 2011 | $100,000 |
Alpine Woods Capital Investors, LLC | | | investor protection violation | 2011 | $650,000 |
Horseman Capital Management, L.P.? | | | investor protection violation | 2011 | $1,484,952 |
American Pegasus LDG, LLC and American Pegasus Investment Management, Inc. | | | investor protection violation | 2010 | $850,000 |
Gartmore Investment Limited | | | investor protection violation | 2010 | $1,347,251 |
New Castle Funds LLC | | | investor protection violation | 2010 | $293,064 |
The Buckingham Research Group, Inc. and Buckingham Capital Management | | | investor protection violation | 2010 | $125,000 |
Sands Brothers Asset Management LLC | | | investor protection violation | 2010 | $60,000 |
Ark Asset Management Co., Inc. | | | investor protection violation | 2010 | $750,000 |
Valentine Capital Asset Management, Inc.? | | | investor protection violation | 2010 | $432,007 |
Carlson Capital, L.P. | | | investor protection violation | 2010 | $2,653,234 |
Sierra Financial Advisors, LLC | | | investor protection violation | 2010 | $14,599 |
LACE Financial Corp. | | | investor protection violation | 2010 | $20,000 |
Pinnacle Capital Markets LLC | | | investor protection violation | 2010 | $25,000 |
Spencer International Advisors, Inc. | | | investor protection violation | 2010 | $75,000 |
Appaloosa Management L.P. | | | investor protection violation | 2010 | $1,304,523 |
Haberman Value Fund, L.P. | | | investor protection violation | 2010 | $263,443 |
GPS Partners, LLC | | | investor protection violation | 2010 | $1,284,171 |
Prime Capital Services, Inc. | | | investor protection violation | 2010 | $144,262 |
Warrior Fund LLC | | | investor protection violation | 2010 | $221,384 |
Axiom Capital Management, Inc. | | | investor protection violation | 2010 | $60,000 |
First Western Advisors | | | investor protection violation | 2018 | $202,767 |
Intertech Solutions, Inc. | | | investor protection violation | 2018 | $7,400,000 |
NW Capital Markets Inc. | | | investor protection violation | 2018 | $87,065 |
BGC Financial | | | accounting fraud or deficiencies | 2018 | $1,250,000 |
Alexander Capital L.P. | | | investor protection violation | 2018 | $410,987 |
deVere USA, Inc. | | | investor protection violation | 2018 | $8,000,000 |
Bachrach Asset Management Inc. | | | investor protection violation | 2018 | $75,000 |
Brahma Management Ltd. | | | investor protection violation | 2018 | $75,000 |
Bristol Group Inc. | | | investor protection violation | 2018 | $75,000 |
CAI Managers & Co. L.P. | | | investor protection violation | 2018 | $75,000 |
Cherokee Investment Partners LLC | | | investor protection violation | 2018 | $75,000 |
Ecosystem Investment Partners LLC | | | investor protection violation | 2018 | $75,000 |
Elm Partners Management LLC | | | investor protection violation | 2018 | $75,000 |
HEP Management Corp. | | | investor protection violation | 2018 | $75,000 |
Prescott General Partners LLC | | | investor protection violation | 2018 | $75,000 |
RLJ Equity Partners LLC | | | investor protection violation | 2018 | $75,000 |
Rose Park Advisors LLC | | | investor protection violation | 2018 | $75,000 |
Veteri Place Corp. | | | investor protection violation | 2018 | $75,000 |
Chardan Capital Markets LLC | | | anti-money-laundering deficiencies | 2018 | $1,000,000 |
Barcelona Strategies LLC | | | investor protection violation | 2018 | $542,120 |
Visium Asset Management LP | | | investor protection violation | 2018 | $10,120,711 |
Moon River Studios, Inc. | | | investor protection violation | 2018 | $1,824,368 |
Guardians Trustee, LLC | | | investor protection violation | 2018 | $179,253 |
Malachi Financial Products, Inc. | | | investor protection violation | 2018 | $85,858 |
Texas Coastal Energy Company | | | investor protection violation | 2018 | $7,200,000 |
Aria Partners GP, LLC | | | investor protection violation | 2018 | $150,000 |
Biltmore Wealth Management, LLC | | | investor protection violation | 2018 | $183,043 |
BKS Advisors LLC | | | investor protection violation | 2018 | $75,000 |
Lockwood Advisors, Incorporated | | | investor protection violation | 2018 | $200,000 |
Hamlin Capital Management, LLC? | | | investor protection violation | 2018 | $900,000 |
Knowledge Leaders Capital, LLC | | | investor protection violation | 2018 | $50,000 |
Sycamore Lane Partners LLC | | | investor protection violation | 2018 | $134,042 |
Beverly Hills Wealth Management, LLC | | | investor protection violation | 2018 | $100,000 |
New Silk Route Advisors, L.P. | | | investor protection violation | 2018 | $75,000 |
Mount Kellett Capital Management LP? | | | investor protection violation | 2018 | $160,000 |
Genesis Associates Limited Partnership | | | investor protection violation | 2018 | $50,000 |
FP Resources USA Inc | | | investor protection violation | 2018 | $92,383 |
Lobster Point Holdings Limited | | | investor protection violation | 2018 | $92,383 |
HBA Advisors, LLC | | | investor protection violation | 2018 | $15,000 |
Sofinnova Ventures, Inc. | | | investor protection violation | 2018 | $120,000 |
Romano Brothers & Company | | | investor protection violation | 2018 | $15,000 |
THL Managers V, LLC and THL Managers VI, LLC | | | investor protection violation | 2018 | $6,506,016 |
Aisling Capital LLC | | | investor protection violation | 2018 | $200,000 |
Grand Teton Capital Management, LLC? | | | investor protection violation | 2018 | $141,443 |
Bayes Capital, LLC | | | investor protection violation | 2018 | $300,000 |
Constant Contact, Inc. and Endurance International Group Holdings, Inc. | | | investor protection violation | 2018 | $8,000,000 |
Lyxor Asset Management, Inc. | | | investor protection violation | 2018 | $500,000 |
Manhattan Transfer Registrar Company | | | investor protection violation | 2018 | $52,493 |
Winter, Kloman, Moter & Repp, S.C. | | | investor protection violation | 2018 | $33,848 |
Equity Services, Inc. | | | investor protection violation | 2009 | $300,000 |
Simpson Capital Management, Inc. | | | investor protection violation | 2009 | $6,650,000 |
Merriman Curhan Ford & Co. | | | investor protection violation | 2009 | $100,000 |
Rhino Trading, LLC and Fat Squirrel Trading Group, LLC | | | investor protection violation | 2009 | $395,000 |
Perceptive Advisors LLC | | | investor protection violation | 2009 | $439,755 |
First New York Securities L.L.C. | | | investor protection violation | 2009 | $69,008 |
GLB Trading, Inc. | | | investor protection violation | 2009 | $220,670 |
Commonwealth Equity Services, LLP d/b/a Commonwealth Financial Network | | | investor protection violation | 2009 | $100,000 |
United Global Securities, Inc. | | | investor protection violation | 2009 | $25,000 |
Lightspeed Trading LLC | | | investor protection violation | 2009 | $77,260 |
Merchant Capital, L.L.C. | | | investor protection violation | 2009 | $55,000 |
United Industrial Corporation | | | investor protection violation | 2009 | $337,679 |
Wolfe & Hurst Bond Brokers, Inc | | | investor protection violation | 2009 | $25,000 |
INTECH Investment Management LLC | | | investor protection violation | 2009 | $300,000 |
Hennessee Group LLC | | | investor protection violation | 2009 | $814,644 |
Cornerstone Capital Management, Inc.? | | | investor protection violation | 2009 | $335,758 |
Susquehanna Investment Group | | | investor protection violation | 2009 | $7,640,000 |
Group One Trading, L.P. | | | investor protection violation | 2009 | $1,800,000 |
Equitec Proprietary Markets, LLC | | | investor protection violation | 2009 | $2,080,000 |
Botta Capital Management, L.L.C. | | | investor protection violation | 2009 | $825,000 |
Diamondback Capital Management, LLC | | | investor protection violation | 2009 | $162,175 |
Retirement Capital Strategies, Inc.? | | | investor protection violation | 2018 | $50,000 |
Vantage Drilling International | | | Foreign Corrupt Practices Act | 2018 | $5,000,000 |
CarrierEQ Inc. (Airfox) | | | investor protection violation | 2018 | $250,000 |
Paragon Coin Inc. | | | investor protection violation | 2018 | $250,000 |
ITG Inc. | | | investor protection violation | 2018 | $12,000,000 |
COR Clearing LLC | | | data submission deficiencies | 2018 | $800,000 |
CMB Export LLC | | | investor protection violation | 2018 | $5,150,000 |
Cardiff Lexington Corporation | | | investor protection violation | 2018 | $25,000 |
Cool Technologies Inc. | | | investor protection violation | 2018 | $75,000 |