Clay Capital Management LLC | | | investor protection violation | 2012 | $850,000 |
FalconStor Software, Inc. | | | investor protection violation | 2012 | $2,900,000 |
AMMB Consultant Sendirian Berhad | | | investor protection violation | 2012 | $1,550,000 |
New Futures Trading International Corporation | | | investor protection violation | 2012 | $1,433,889 |
Global Development & Environmental Resources, Inc. | | | investor protection violation | 2012 | $2,645,798 |
Martin Currie | | | investor protection violation | 2012 | $8,300,000 |
Flatiron Capital Partners, LLC and Flatiron Systems, LLC | | | investor protection violation | 2012 | $1,817,277 |
Pentagon Capital Management | | | investor protection violation | 2012 | $98,600,000 |
United American Ventures, LLC | | | investor protection violation | 2012 | $9,079,372 |
Diamondback Capital Management LLC | | | investor protection violation | 2012 | $9,000,000 |
Drake Asset Management LLC | | | investor protection violation | 2011 | $175,000 |
Banco Espirito Santo S.A. | | | investor protection violation | 2011 | $7,000,000 |
Long Term-Short Term Inc., d/b/a BetterTrades | | | investor protection violation | 2011 | $750,000 |
Wall Street Capital Funding LLC | | | investor protection violation | 2011 | $300,000 |
Locke Capital Management Inc. | | | investor protection violation | 2011 | $3,673,996 |
LaBarge Inc. | | | accounting fraud or deficiencies | 2011 | $200,000 |
Onele Trading & Finance Ltd. | | | investor protection violation | 2011 | $5,729,276 |
Aerokinetic Energy Corporation | | | investor protection violation | 2011 | $859,571 |
LandOak Securities LLC | | | investor protection violation | 2011 | $992,140 |
Navigators International Management Co., Ltd. | | | investor protection violation | 2011 | $45,000 |
Deerfield Capital Corp. | | | accounting fraud or deficiencies | 2011 | $1,277,070 |
Hudson Highland Group | | | accounting fraud or deficiencies | 2011 | $200,000 |
Enzyme Environmental Solutions, Inc. | | | investor protection violation | 2011 | $371,135 |
BroCo Investments, Inc. | | | accounting fraud or deficiencies | 2010 | $627,633 |
Winning Kids Inc. | | | investor protection violation | 2010 | $2,183,964 |
Berkshire Resources, L.L.C. | | | investor protection violation | 2010 | $16,255,846 |
Prime Time Group Inc. | | | investor protection violation | 2010 | $325,000 |
ASMAC Financial, Inc. | | | investor protection violation | 2010 | $133,995 |
K&L International Enterprises, Inc., Signature Leisure, Inc., and Signature Worldwide Advisors, LLC | | | investor protection violation | 2010 | $12,574,582 |
Thompson Consulting Inc. | | | investor protection violation | 2010 | $400,000 |
Pequot Capital Management, Inc. | | | investor protection violation | 2010 | $28,000,000 |
CFO-5 LLC | | | investor protection violation | 2010 | $3,197,222 |
Quadrangle Group LLC | | | kickbacks and bribery | 2010 | $5,000,000 |
Presstek Inc. | | | investor protection violation | 2010 | $400,000 |
First Allied Securities, Inc. | | | investor protection violation | 2010 | $1,950,000 |
Wealth Management LLC | | | investor protection violation | 2010 | $1,471,002 |
AGB Partners LLC | | | investor protection violation | 2010 | $50,000 |
Palmyra Capital Advisors LLC, | | | investor protection violation | 2010 | $330,000 |
UTStarcom, Inc. | | | Foreign Corrupt Practices Act | 2009 | $1,500,000 |
Investools Inc. | | | fraud | 2009 | $3,000,000 |
Compass Capital Group, Inc. | | | investor protection violation | 2009 | $800,000 |
Concorde America, Inc. | | | investor protection violation | 2009 | $841,175 |
GMC Holding Corporation | | | investor protection violation | 2009 | $2,090,000 |
SafeNet, Inc. | | | accounting fraud or deficiencies | 2009 | $1,000,000 |
Value Line Inc. | | | investor protection violation | 2009 | $43,705,765 |
Thompson Price Holding Inc. | | | investor protection violation | 2009 | $288,815 |
Lion Gate Capital, Inc. | | | investor protection violation | 2009 | $150,000 |
Hazan Capital Management LLC | | | investor protection violation | 2009 | $4,000,000 |
TJM Proprietary Trading LLC | | | investor protection violation | 2009 | $541,000 |
Perry Corp. | | | investor protection violation | 2009 | $150,000 |
Marshall Holdings International, Inc. | | | investor protection violation | 2009 | $8,974,033 |
Colonial Fund LLC and Colonial Investment Management LLC | | | investor protection violation | 2009 | $1,400,000 |
Golden State Equity Investors, Inc. | | | investor protection violation | 2009 | $1,577,579 |
Tri Energy, Inc. | | | fraud | 2009 | $37,048,466 |
M.A.G. Capital LLC | | | investor protection violation | 2009 | $100,000 |
Lazard Capital Markets LLC | | | investor protection violation | 2008 | $2,847,008 |
Conversion Solutions Holding Corporation | | | accounting fraud or deficiencies | 2008 | $250,000 |
H&M Petroleum Corporation and American Energy Resources Corporation | | | investor protection violation | 2008 | $510,000 |
Oriental New Investments, Ltd. and Orienstar Finance, Ltd. | | | investor protection violation | 2008 | $41,774,923 |
Quogue Capital LLC | | | investor protection violation | 2008 | $390,000 |
Elfindepan, S.A., Strategic Asset Funds, S.A. and Southern Financial Group | | | investor protection violation | 2008 | $6,417,122 |
FacePrint Global Solutions, Inc. | | | investor protection violation | 2008 | $1,573,825 |
Ritchie Multi-Strategy Global Trading Ltd. and Ritchie Capital Management LLC | | | investor protection violation | 2008 | $39,900,000 |
AirTrac Inc. | | | investor protection violation | 2008 | $2,005,401 |
Halt, Buzas & Powell, Ltd. | | | accounting fraud or deficiencies | 2008 | $101,711 |
K.W. Brown & Company, 21st Century Advisors Inc., and K.W. Brown Investments, Inc. | | | accounting fraud or deficiencies | 2008 | $9,983,586 |
Lazare Industries, Inc. | | | investor protection violation | 2008 | $1,975,911 |
Armstrong Capital Ltd. and Bay Capital Investment Ltd. | | | investor protection violation | 2007 | $1,795,000 |
TCMP3 Partners L.P., TCMP3 Capital LLC, and Titan Capital Management, LLC | | | investor protection violation | 2007 | $1,045,060 |
Microphase Corp. | | | investor protection violation | 2007 | $700,000 |
Nortel Networks Corporation | | | accounting fraud or deficiencies | 2007 | $35,000,000 |
Sandell Asset Management Corp. | | | investor protection violation | 2007 | $8,097,494 |
Regional Brokers, Inc. | | | investor protection violation | 2007 | $100,000 |
Electronic Data Systems Corporation | | | accounting fraud or deficiencies | 2007 | $490,902 |
Sure Trace Security Corporation | | | investor protection violation | 2007 | $1,098,900 |
Commonwealth Equity Services, LLP | | | investor protection violation | 2007 | $250,000 |
Detwiler, Mitchell, Fenton & Graves, Inc. | | | investor protection violation | 2007 | $250,000 |
Platforms Wireless International Corp. | | | investor protection violation | 2007 | $2,431,213 |
GLG Partners, L.P. | | | investor protection violation | 2007 | $3,203,639 |
Camden Consulting, Inc. and SKS Consulting, Inc. | | | investor protection violation | 2007 | $3,925,000 |
Mercury Interactive, LLC | | | accounting fraud or deficiencies | 2007 | $28,000,000 |
Blue Bottle Limited | | | investor protection violation | 2007 | $10,846,785 |
Ashlin Capital, LLC and Kyoto Capital Group, LLC | | | investor protection violation | 2007 | $455,700 |
Crestview Capital Partners | | | investor protection violation | 2007 | $394,640 |
GetAnswers, Inc. | | | investor protection violation | 2007 | $15,713,676 |
20th Century Jackson Equities, Inc. | | | investor protection violation | 2007 | $470,269 |
1st Global Capital Corp. | | | investor protection violation | 2006 | $100,000 |
Focus Financial Associates, Inc. and Focus Development Center, Inc. | | | fraud | 2006 | $6,272,264 |
U.S. Wind Farming, Inc. | | | investor protection violation | 2006 | $38,487 |
U.S. Gas & Electric, Inc. | | | investor protection violation | 2006 | $167,000 |
Graycort Financial, LLC | | | investor protection violation | 2006 | $100,000 |
BISYS Fund Services, Inc. | | | investor protection violation | 2006 | $21,400,000 |
Doral Financial Corporation | | | accounting fraud or deficiencies | 2006 | $25,000,000 |
American-Amicable Life Insurance Company of Texas, Pioneer American Insurance Company, and Pioneer Security Life Insurance Company | | | investor protection violation | 2006 | $10,000,000 |
Endocare, Inc. | | | accounting fraud or deficiencies | 2006 | $750,000 |
Lehman Brothers Inc. | | | investor protection violation | 2006 | $1,500,000 |
Unified Fund Services, Inc. | | | investor protection violation | 2006 | $125,000 |
Bio-Heal Laboratories, Inc. | | | investor protection violation | 2006 | $618,135 |
Deephaven Capital Management, LLC | | | insider trading | 2006 | $5,709,958 |
National Clearing Corporation | | | investor protection violation | 2006 | $2,000,000 |
Langley Partners, North Olmsted Partners and Quantico Partners | | | investor protection violation | 2006 | $13,517,928 |