Independent Financial Group LLC | | | investor protection violation | 2019 | $1,426,150 |
Investment Partners Ltd. | | | investor protection violation | 2019 | $43,384 |
IPG Investment Advisors LLC | | | investor protection violation | 2019 | $85,294 |
Michigan Advisors Inc. | | | investor protection violation | 2019 | $327,976 |
Saxony Capital Management LLC | | | investor protection violation | 2019 | $230,220 |
Founders Financial Securities, LLC | | | investor protection violation | 2019 | $1,475,465 |
Outset Global LLP | | | investor protection violation | 2019 | $207,409 |
Nebulous, Inc. | | | investor protection violation | 2019 | $224,601 |
Mid Atlantic Financial Management, Inc. | | | investor protection violation | 2019 | $300,000 |
Longfin Corp. | | | investor protection violation | 2019 | $6,755,848 |
Cutting Edge Business Services, Inc. | | | investor protection violation | 2019 | $273,336 |
Westport Fuels Systems, Inc. | | | Foreign Corrupt Practices Act | 2019 | $4,046,000 |
Omgeo Matching Services US, LLC | | | investor protection violation | 2019 | $2,000,000 |
Harding Advisory LLC | | | investor protection violation | 2019 | $850,000 |
Pinnacle Companies, LLC | | | investor protection violation | 2019 | $1,112,000 |
Three Bridge Wealth Advisors, LLC | | | investor protection violation | 2019 | $60,000 |
Amadeus Wealth Advisors, LLC | | | investor protection violation | 2019 | $40,000 |
ECP Manager LP | | | investor protection violation | 2019 | $122,656 |
BrixInvest, LLC | | | investor protection violation | 2019 | $300,000 |
Cetera Investment Advisers LLC | | | investor protection violation | 2019 | $185,000 |
Hefren-Tillotson, Inc. | | | investor protection violation | 2019 | $379,965 |
Strong Investment Management | | | investor protection violation | 2019 | $1,061,157 |
TMC Bonds LLC | | | privacy violation | 2019 | $2,100,000 |
Strategic Planning Group, Inc. | | | investor protection violation | 2019 | $200,000 |
HCR Wealth Advisors | | | investor protection violation | 2019 | $220,000 |
The Bancorp, Inc. | | | investor protection violation | 2019 | $1,400,000 |
Sigma Planning Corp. | | | investor protection violation | 2019 | $2,546,718 |
Vandham Securities Corp. | | | investor protection violation | 2019 | $200,000 |
Garrison Investment Group LP and Garrison Capital Advisers LLC | | | investor protection violation | 2019 | $250,000 |
ED Capital Management, LLC | | | investor protection violation | 2019 | $75,000 |
Bio Defense Corp. | | | investor protection violation | 2019 | $37,475,717 |
Enigma MPC | | | investor protection violation | 2020 | $500,000 |
Blockchain of Things Inc. | | | investor protection violation | 2019 | $250,000 |
Hill International, Inc. | | | accounting fraud or deficiencies | 2020 | $500,000 |
Palm Beach Atlantic Financial Group, LLC | | | investor protection violation | 2019 | $75,000 |
Global Corporate Strategies LLC | | | investor protection violation | 2019 | $4,120,000 |
Sica Wealth Management, LLC | | | investor protection violation | 2020 | $378,693 |
Fortress Investment Management, LLC | | | investor protection violation | 2020 | $104,097 |
Lone Star Value Management LLC | | | investor protection violation | 2020 | $100,000 |
BPU Investment Management, Inc. | | | investor protection violation | 2020 | $927,107 |
Cannell Capital, LLC | | | investor protection violation | 2020 | $150,000 |
Catalyst Capital Advisors, LLC | | | investor protection violation | 2020 | $10,508,481 |
Bluefin Trading, LLC | | | investor protection violation | 2019 | $303,638 |
Critical Trading, LLC | | | investor protection violation | 2019 | $219,092 |
Stonemor Partners L.P. and Stonemor GP LLC | | | investor protection violation | 2019 | $250,000 |
Kornitzer Capital Management, Inc. | | | investor protection violation | 2019 | $3,626,995 |
Argo Group International Holdings, Ltd. | | | investor protection violation | 2020 | $900,000 |
TSP Capital Management Group, LLC | | | investor protection violation | 2020 | $60,000 |
Oxbow Advisors, LLC | | | investor protection violation | 2020 | $321,958 |
BitClave PTE Ltd | | | investor protection violation | 2020 | $29,744,197 |
1Globe Capital, LLC | | | investor protection violation | 2020 | $200,000 |
American Bondholders Foundation, LLC | | | investor protection violation | 2020 | $65,000 |
Everest Capital LLC | | | investor protection violation | 2020 | $3,208,226 |
Monsoon Capital, LLC | | | investor protection violation | 2020 | $100,000 |
Semper Capital Management, L.P. | | | investor protection violation | 2020 | $503,228 |
Biltmore International Corporation | | | investor protection violation | 2020 | $125,000 |
Eagle Strategies LLC | | | investor protection violation | 2020 | $101,090 |
Old Ironsides Energy, LLC | | | investor protection violation | 2020 | $1,000,000 |
Cozad Asset Management, Inc. | | | investor protection violation | 2020 | $416,870 |
Boenning & Scattergood, Inc. | | | investor protection violation | 2020 | $205,567 |
Schulman Lobel Zand Katzen Williams & Blackman and LLP | | | investor protection violation | 2020 | $98,510 |
Naya Ventures, LLC | | | investor protection violation | 2020 | $40,000 |
BMA Securities, LLC | | | investor protection violation | 2020 | $333,537 |
Stiefel Laboratories Inc. | | | investor protection violation | 2020 | $26,510,000 |
Navellier & Associates, Inc. | | | investor protection violation | 2020 | $37,478,190 |
Berkshire Capital Management Company, Inc. and Eat at Joe's, Ltd. (n/k/a SPYR, Inc.) | | | investor protection violation | 2020 | $3,500,000 |
International Investment Group, LLC | | | investor protection violation | 2020 | $35,000,000 |
The Lighthouse Events, LLC | | | investor protection violation | 2020 | $3,381,686 |
Rock and Roll Cycles, LLC and Cycle For Life, Inc. | | | investor protection violation | 2020 | $236,314 |
Hologram USA Networks Inc. | | | investor protection violation | 2020 | $22,419 |
Strategic Capital Partners Muster Limited and Strategic Wealth Investments, Inc. | | | investor protection violation | 2020 | $1,031,270 |
ICOBox | | | investor protection violation | 2020 | $16,059,428 |
WCAS Management Corporation | | | investor protection violation | 2020 | $100,000 |
Gilder Gagnon Howe & Co. LLC | | | investor protection violation | 2020 | $1,700,000 |
Navian Capital Securities LLC | | | investor protection violation | 2020 | $40,000 |
Coordinated Capital Securities, Inc. | | | investor protection violation | 2020 | $581,961 |
Unikrn Inc. | | | investor protection violation | 2020 | $6,100,000 |
Park View School, Inc. | | | investor protection violation | 2020 | $30,000 |
Roosevelt & Cross, Inc. | | | investor protection violation | 2020 | $1,017,015 |
Graham, Bordelon and Golson & Gilbert, Inc. | | | investor protection violation | 2020 | $176,399 |
SQN Capital Management, LLC | | | investor protection violation | 2020 | $75,000 |
Signature Financial Services, Ltd. | | | investor protection violation | 2020 | $276,580 |
National Financial Services LLC | | | investor protection violation | 2020 | $2,461,193 |
Vstock Transfer LLC | | | investor protection violation | 2020 | $65,000 |
NPB Financial Group, LLC | | | investor protection violation | 2020 | $1,050,188 |
SCF Investment Advisors, Inc. | | | investor protection violation | 2020 | $767,192 |
Boon Tech | | | investor protection violation | 2020 | $5,600,334 |
Rialto Capital Management, LLC | | | investor protection violation | 2020 | $350,000 |
WBI Investments Inc. | | | investor protection violation | 2020 | $750,000 |
Millington Securities Inc. | | | investor protection violation | 2020 | $250,000 |
Birinyi Associates, Inc. | | | investor protection violation | 2020 | $100,000 |
Celadon Financial Group LLC | | | investor protection violation | 2020 | $125,000 |
IRTH Communications, LLC | | | investor protection violation | 2020 | $74,233 |
First Western Capital Management Company | | | investor protection violation | 2020 | $200,000 |
Abetterfinancialplan.Com, LLC | | | investor protection violation | 2020 | $581,962 |
Plutus Technologies Philippines Corp. | | | investor protection violation | 2020 | $150,000 |
BNB Wealth Management, LLC | | | investor protection violation | 2020 | $74,417 |
Telegram Group Inc. | | | investor protection violation | 2020 | $18,500,000 |
Spiderworx Media LLC | | | investor protection violation | 2020 | $60,000 |
An L.A. Minute LLC | | | investor protection violation | 2020 | $100,000 |
Winston Reed Investments LLC | | | investor protection violation | 2020 | $255,850 |