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 |
Dasan Zhone Solutions Inc. | | | investor protection violation | 2018 | $50,000 |
First Hartford Corporation | | | investor protection violation | 2018 | $50,000 |
Infrax Systems Inc. | | | investor protection violation | 2018 | $50,000 |
Crypto Asset Management LP | | | investor protection violation | 2018 | $200,000 |
TokenLot LLC | | | investor protection violation | 2018 | $478,929 |
NW Capital Markets Inc. | | | investor protection violation | 2018 | $87,065 |
TelexElectric, LLLP | | | investor protection violation | 2018 | $2,022,239 |
Telex Mobile Holdings, Inc. | | | investor protection violation | 2018 | $500,870 |
FX & Beyond Corporation | | | investor protection violation | 2018 | $1,392,656 |
Hope Advisors, LLC | | | investor protection violation | 2018 | $1,487,235 |
WealthCFO, LLC | | | investor protection violation | 2018 | $409,405 |
Retirement Capital Strategies, Inc.? | | | investor protection violation | 2018 | $50,000 |
Pennant Management, Inc. | | | investor protection violation | 2018 | $400,000 |
Hudson Housing Capital LLC | | | investor protection violation | 2018 | $65,000 |
Lichter, Yu and Associates, Inc., et al.? | | | investor protection violation | 2018 | $64,900 |
Ophrys, LLC | | | investor protection violation | 2018 | $500,000 |
Eric Hall & Associates, LLC | | | investor protection violation | 2018 | $54,761 |
Creative Planning, Inc. | | | investor protection violation | 2018 | $200,000 |
Abtech Holdings, Inc.? | | | investor protection violation | 2018 | $133,414 |
Cushing Asset Management, LP | | | investor protection violation | 2018 | $100,000 |
Capital Analysts, LLC | | | investor protection violation | 2018 | $1,820,349 |
Holthouse Carlin & Van Trigt LLP? | | | investor protection violation | 2018 | $300,000 |
Harbour Investments, Inc. | | | investor protection violation | 2018 | $241,479 |
Crypto Asset Management, LP | | | investor protection violation | 2018 | $200,000 |
VSS Fund Management LLC | | | investor protection violation | 2018 | $200,000 |
Milkie/Ferguson Investments, Inc. | | | investor protection violation | 2008 | $25,000 |
MedCap Management & Research LLC | | | investor protection violation | 2008 | $70,632 |
Victoire Finance Capital LLC | | | investor protection violation | 2008 | $215,631 |
Sirios Capital Management, L.P.? | | | investor protection violation | 2008 | $287,058 |
Moon Capital Management, LP? | | | investor protection violation | 2008 | $139,071 |
Finance 500, Inc. | | | investor protection violation | 2008 | $345,499 |
Pax World Management Corp. | | | investor protection violation | 2008 | $500,000 |
DKR Oasis Management Company, L.P.? | | | investor protection violation | 2008 | $282,413 |
First Southwest Company | | | investor protection violation | 2008 | $150,000 |
Quogue Capital LLC | | | investor protection violation | 2008 | $944,056 |
vFinance Investments, Inc. | | | investor protection violation | 2008 | $26,559 |
First Montauk Securities Corp. | | | investor protection violation | 2008 | $100,742 |
Heartland Advisors, Inc. | | | investor protection violation | 2008 | $3,500,000 |
Chronos Asset Management, Inc. | | | investor protection violation | 2008 | $2,176,915 |
Park Financial Group, Inc. | | | investor protection violation | 2007 | $30,373 |
Founding Partners Capital Management Compan | | | investor protection violation | 2007 | $182,244 |
Consulting Services Group, LLC | | | investor protection violation | 2007 | $20,000 |
MCL Financial Group, Inc. | | | investor protection violation | 2007 | $60,000 |
Intervoice | | | investor protection violation | 2007 | $942,628 |
D.M. Keck & Company, Inc. | | | investor protection violation | 2007 | $15,000 |
Financial Design Associates, Inc. | | | investor protection violation | 2007 | $300,000 |
Folger Nolan Fleming Douglas Capital Management, Inc. | | | investor protection violation | 2007 | $244,921 |
Haidar Capital Management, LLC | | | investor protection violation | 2007 | $4,580,000 |
GLG Partners, LP | | | investor protection violation | 2007 | $2,703,635 |
Amaranth Advisors L.L.C. | | | investor protection violation | 2007 | $716,819 |
Tier One, Inc. | | | investor protection violation | 2007 | $85,500 |
Imperium Advisors, LLC | | | investor protection violation | 2007 | $119,964 |
Temple Securities, Ltd. | | | investor protection violation | 2007 | $268,346 |
Vertical Capital Partners, Inc. | | | investor protection violation | 2007 | $490,432 |
Pacific Growth Equities, LLC | | | investor protection violation | 2007 | $425,000 |
Kelmoore Investment Company, Inc. | | | investor protection violation | 2007 | $100,000 |
Spinner Asset Management, LLC and Spinner Global Technology Fund, Ltd.? | | | investor protection violation | 2006 | $495,596 |
Kaplan & Co., Securities, Inc. | | | investor protection violation | 2006 | $100,000 |
FCA Corp. | | | investor protection violation | 2006 | $25,000 |
Wall Street Access | | | investor protection violation | 2006 | $688,084 |
Cantella & Company, Inc. | | | investor protection violation | 2006 | $50,000 |
Dunham & Associates Investment Counsel, Inc. | | | investor protection violation | 2006 | $150,000 |
Delaware Service Company, Inc. | | | investor protection violation | 2006 | $435,000 |
Senior Resources Asset Fund, LLC | | | investor protection violation | 2006 | $3,699,203 |
Herzog, Heine, Geduld, LLC | | | investor protection violation | 2006 | $1,500,000 |
IFMG Securities, Inc. | | | investor protection violation | 2006 | $1,000,000 |
Weiss Research, Inc | | | investor protection violation | 2006 | $1,991,141 |
CapitalWorks Investment Partners, LLC | | | investor protection violation | 2006 | $40,000 |
Hutchens Investment Management, Inc.? | | | investor protection violation | 2006 | $40,000 |
Computershare Trust Company of Canada | | | investor protection violation | 2006 | $1,101,868 |
INET ATS, Inc. | | | investor protection violation | 2006 | $350,000 |
Schultz Investment Advisors, Inc. | | | investor protection violation | 2005 | $114,534 |
Renn Capital Group, Inc. | | | investor protection violation | 2005 | $2,961,362 |
Blue River Capital LLC | | | investor protection violation | 2005 | $150,000 |
Instinet, LLC and INET ATS, Inc. | | | investor protection violation | 2005 | $700,000 |
International Equity Advisors, LLC | | | investor protection violation | 2005 | $3,190,000 |
Applied Financial Group Inc. | | | investor protection violation | 2005 | $50,000 |
Springer Investment Management, Inc.? | | | investor protection violation | 2005 | $50,000 |
CMS Fund Advisers, Inc. | | | investor protection violation | 2005 | $115,000 |