D. E. Shaw & Co., L.P. | | | investor protection violation | 2023 | $10,000,000 |
Robert W. Baird & Co. Inc. | | | investor protection violation | 2023 | $15,000,000 |
William Blair & Company LLC | | | investor protection violation | 2023 | $10,000,000 |
Perella Weinberg Partners LP | | | investor protection violation | 2023 | $2,500,000 |
DBRS Inc. | | | investor protection violation | 2023 | $6,000,000 |
Kroll Bond Rating Agency, LLC | | | investor protection violation | 2023 | $4,000,000 |
Nano-X Imaging Ltd. | | | investor protection violation | 2023 | $650,000 |
Luther Speight & Company, LLC | | | investor protection violation | 2023 | $20,000 |
Appomattox Advisory, Inc. | | | investor protection violation | 2023 | $150,000 |
Florence Capital Advisors, LLC | | | investor protection violation | 2023 | $200,000 |
Maxim Group, LLC | | | investor protection violation | 2023 | $800,000 |
Spruce Power Holding Corporation | | | investor protection violation | 2023 | $11,000,000 |
Osaic Wealth, Inc. | | | investor protection violation | 2023 | $100,000 |
FSC Securities Corporation | | | investor protection violation | 2023 | $100,000 |
Salomon Whitney LLC | | | investor protection violation | 2023 | $236,173 |
Forepont Capital LLC | | | investor protection violation | 2023 | $150,000 |
Apexium Financial LP | | | investor protection violation | 2023 | $150,000 |
TAL Education Group | | | investor protection violation | 2023 | $1,250,000 |
Cloudastructure, Inc. | | | investor protection violation | 2023 | $558,071 |
Hightimes Holding Corp | | | investor protection violation | 2023 | $558,071 |
Cumberland Pharmaceuticals Inc. | | | investor protection violation | 2023 | $200,000 |
AgEagle Aerial Systems Inc. | | | investor protection violation | 2023 | $190,000 |
eXp World Holdings, Inc. | | | investor protection violation | 2023 | $115,000 |
SolarEdge Technologies, Inc. | | | investor protection violation | 2023 | $125,000 |
Hyzon Motors Inc. | | | fraud | 2023 | $25,000,000 |
AssetMark Inc. | | | investor protection violation | 2023 | $18,000,000 |
Bruderman Asset Management LLC | | | investor protection violation | 2023 | $250,000 |
Highlander Capital Management, LLC | | | investor protection violation | 2023 | $150,000 |
Fieldman Rolapp & Associates, Inc. | | | investor protection violation | 2023 | $127,916 |
Wellesley Asset Management, Inc | | | investor protection violation | 2023 | $1,000,000 |
American Infrastructure Funds LLC | | | investor protection violation | 2023 | $1,600,000 |
Citadel Securities LLC | | | investor protection violation | 2023 | $7,000,000 |
J.H. Darbie & Co., Inc. | | | investor protection violation | 2023 | $125,000 |
Carl M. Hennig, Inc. | | | investor protection violation | 2023 | $50,000 |
Kandi Technologies Group, Inc. | | | investor protection violation | 2023 | $710,000 |
GGToor, Inc. | | | investor protection violation | 2023 | $40,000 |
Summit Planning Group, Inc. | | | investor protection violation | 2023 | $109,401 |
Laidlaw & Company (UK) Ltd. | | | investor protection violation | 2023 | $822,884 |
Bell Rock Capital, LLC | | | investor protection violation | 2023 | $1,509,048 |
Thor Technologies, Inc. | | | investor protection violation | 2023 | $1,053,193 |
Anson Advisors Inc | | | investor protection violation | 2023 | $3,330,394 |
Eagan Capital Management, LLC | | | investor protection violation | 2023 | $50,000 |
Brooge Energy Limited | | | investor protection violation | 2023 | $5,000,000 |
Medsis International, Inc. | | | investor protection violation | 2024 | $15,871,200 |
OEP Capital Advisors, L.P. | | | investor protection violation | 2023 | $4,000,000 |
BarnBridge DAO | | | investor protection violation | 2023 | $1,457,000 |
Van Eck Associates Corporation | | | investor protection violation | 2024 | $1,750,000 |
Guggenheim Securities LLC | | | investor protection violation | 2024 | $15,000,000 |
Cambridge Investment Research Inc. | | | investor protection violation | 2024 | $10,000,000 |
Key Investment Services LLC | | | investor protection violation | 2024 | $10,000,000 |
Huntington Investment Company | | | investor protection violation | 2024 | $1,250,000 |
TradeStation Crypto, Inc. | | | investor protection violation | 2024 | $1,500,000 |
Rockwell Capital Management | | | investor protection violation | 2024 | $1,602,089 |
Northern Star Investment Corp. II | | | investor protection violation | 2024 | $1,500,000 |
SHE Beverage Company, Inc. | | | investor protection violation | 2024 | $12,760,274 |
Comer Capital Group, LLC | | | investor protection violation | 2024 | $55,000 |
Crowd Machine, Inc. and Metavine, Inc. | | | investor protection violation | 2024 | $24,234,548 |
Adar Bays, LLC and Adar Alef, LLC | | | investor protection violation | 2024 | $1,145,000 |
Grenda Group, LLC | | | investor protection violation | 2024 | $400,000 |
HG Vora Capital Management LLC | | | investor protection violation | 2024 | $950,000 |
RenovaCare, Inc. | | | investor protection violation | 2024 | $500,000 |
3D/L Capital Management, LLC | | | investor protection violation | 2024 | $285,607 |
ShapeShift AG | | | investor protection violation | 2024 | $275,000 |
Clark Schaefer Hackett & Co. | | | investor protection violation | 2024 | $80,881 |
Contrarian Capital Management, L.L.C. | | | investor protection violation | 2024 | $521,326 |
GeaSphere LLC | | | investor protection violation | 2024 | $100,000 |
Bradesco Global Advisors Inc. | | | investor protection violation | 2024 | $20,000 |
Credicorp Capital Advisors LLC | | | investor protection violation | 2024 | $30,000 |
InSight Securities Inc. | | | investor protection violation | 2024 | $20,000 |
Monex Asset Management Inc. | | | investor protection violation | 2024 | $30,000 |
Senvest Management LLC | | | investor protection violation | 2024 | $6,500,000 |
Genesis Global Capital, LLC | | | investor protection violation | 2024 | $21,000,000 |
Delphia (USA) Inc. | | | investor protection violation | 2024 | $225,000 |
Global Predictions Inc. | | | investor protection violation | 2024 | $175,000 |
Commonwealth Equity Services, LLC d/b/a Commonwealth Financial Network | | | investor protection violation | 2024 | $93,274,068 |
ClearPath Wealth Management, LLC | | | investor protection violation | 2024 | $27,130,905 |
GA Investors | | | investor protection violation | 2024 | $1,191,938 |
Advisor Resource Council | | | investor protection violation | 2024 | $300,000 |
Halitron, Inc. | | | investor protection violation | 2024 | $191,024 |
Wayzata Investment Partners LLC | | | investor protection violation | 2024 | $60,000 |
Hudson Valley Wealth Management Inc. | | | investor protection violation | 2024 | $200,000 |
BF Borgers CPA PCÂ | | | accounting fraud or deficiencies | 2024 | $12,000,000 |
Magna Group, LLC | | | investor protection violation | 2024 | $497,840 |
Magna Equities II, LLC | | | investor protection violation | 2024 | $817,941 |
MG Partners, Ltd | | | investor protection violation | 2024 | $817,941 |
C-Bond Systems, Inc. | | | investor protection violation | 2024 | $175,000 |
Gainvest Legal Corp | | | investor protection violation | 2024 | $15,000 |
Eastone Equities, LLC | | | investor protection violation | 2024 | $125,000 |
Catalyst Capital Advisors LLC | | | investor protection violation | 2024 | $327,226 |
LM Global Investments LLC dba Fratarcangeli Wealth Management | | | investor protection violation | 2024 | $100,000 |
3M Company | 3M Company | miscellaneous manufacturing | Foreign Corrupt Practices Act | 2023 | $6,500,000 |
ABB Ltd. | ABB Ltd. | utilities and power generation | Foreign Corrupt Practices Act | 2010 | $39,300,000 |
ABB Ltd | ABB Ltd. | utilities and power generation | Foreign Corrupt Practices Act | 2004 | $5,900,000 |
ABB Ltd | ABB Ltd. | utilities and power generation | Foreign Corrupt Practices Act | 2022 | $75,000,000 |
Alere Inc. | Abbott Laboratories | pharmaceuticals | accounting fraud or deficiencies | 2017 | $13,023,885 |
Allergan Inc. | AbbVie | pharmaceuticals | investor protection violation | 2017 | $15,000,000 |
ABN AMRO Bank, N.V. | ABN AMRO | financial services | investor protection violation | 2013 | $5,547,408 |
ABN AMRO Incorporated | ABN AMRO | financial services | investor protection violation | 2001 | $200,000 |
ABN AMRO Clearing Chicago LLC | ABN AMRO | financial services | investor protection violation | 2020 | $586,000 |
Advanced Drainage Systems, Inc. | Advanced Drainage Systems | building materials | investor protection violation | 2018 | $1,000,000 |
Advanced Emissions Solutions, Inc. | Advanced Emissions Solutions | miscellaneous energy products and systems | investor protection violation | 2017 | $500,000 |