In Ovations Holdings, Inc. | | | investor protection violation | 2022 | $150,000 |
Nexo Capital Inc. | | | investor protection violation | 2023 | $22,500,000 |
Moors & Cabot, Inc. | | | investor protection violation | 2023 | $1,899,456 |
National Trust and Fiduciary Services Company, Inc. | | | investor protection violation | 2023 | $346,799 |
Exela Technologies, Inc. | | | investor protection violation | 2022 | $175,000 |
Energy & Environmental Investments, LLC and Energy & Environment, Inc. | | | investor protection violation | 2023 | $5,428,694 |
Back to Green Mining, LLC | | | investor protection violation | 2023 | $3,442,175 |
African Gold Acquisition Corp. | | | investor protection violation | 2023 | $103,591 |
Ensign Peak Advisers Inc. | | | investor protection violation | 2023 | $4,000,000 |
Church of Jesus Christ of Latter-day Saints | | | investor protection violation | 2023 | $1,000,000 |
HITE Hedge Asset Management LLC et al. | | | investor protection violation | 2023 | $214,591 |
Candlestick Capital Management LP | | | investor protection violation | 2023 | $810,000 |
The Options Clearing Corporation | | | investor protection violation | 2023 | $17,000,000 |
Payward Ventures, Inc. and Payward Trading Ltd. | | | investor protection violation | 2023 | $30,000,000 |
Centaurus Financial, Inc. | | | investor protection violation | 2023 | $755,499 |
Silver Edge Financial LLC | | | investor protection violation | 2023 | $3,475,000 |
E. Magnus Oppenheim & Co. Inc | | | investor protection violation | 2023 | $50,000 |
Equity Acquisition Company Ltd. | | | investor protection violation | 2023 | $3,917,436 |
Chembio Diagnostics, Inc. | | | investor protection violation | 2023 | $500,000 |
Cambria Capital, LLC | | | investor protection violation | 2023 | $100,000 |
Huntleigh Advisors, Inc. | | | investor protection violation | 2023 | $843,502 |
Datatex Investment Services, Inc. | | | investor protection violation | 2023 | $50,000 |
Foresight Wealth Management, LLC | | | investor protection violation | 2023 | $1,893,486 |
Windy Inc. | | | investor protection violation | 2023 | $89,979 |
Braverock Investments LLC | | | investor protection violation | 2023 | $132,000 |
Betterment LLC | | | investor protection violation | 2023 | $9,000,000 |
Corvex Management LP | | | investor protection violation | 2023 | $1,000,000 |
Gaia Inc. | | | investor protection violation | 2023 | $2,000,000 |
Chicago Crypto Capital LLC | | | investor protection violation | 2023 | $1,071,686 |
CW Petroleum Corp. | | | investor protection violation | 2023 | $5,000 |
DNA Brands Inc. | | | investor protection violation | 2023 | $10,000 |
Graystone Company Inc. | | | investor protection violation | 2023 | $25,000 |
Green Stream Holdings Inc. | | | investor protection violation | 2023 | $75,000 |
Hemp Naturals Inc. | | | investor protection violation | 2023 | $50,000 |
LiveWire Ergogenics Inc. | | | investor protection violation | 2023 | $50,000 |
Principal Solar Inc. | | | investor protection violation | 2023 | $40,000 |
SFLMaven Corp. | | | investor protection violation | 2023 | $25,000 |
The Marquie Group Inc. | | | investor protection violation | 2023 | $10,000 |
Verde Bio Holdings Inc. | | | investor protection violation | 2023 | $90,000 |
Pinnacle Investments LLC | | | investor protection violation | 2023 | $476,000 |
Classic Asset Management LLC | | | investor protection violation | 2023 | $195,228 |
Coinme Inc. | | | investor protection violation | 2023 | $250,000 |
Up Global SEZC | | | investor protection violation | 2023 | $3,520,000 |
Trends Investments Inc. | | | investor protection violation | 2023 | $4,007,027 |
Expro Group Holdings N.V. | | | investor protection violation | 2023 | $7,998,721 |
Pacific Investment Management Company LLC (PIMCO) | | | investor protection violation | 2023 | $9,000,000 |
BHP Capital NY, Inc. | | | investor protection violation | 2023 | $2,500,000 |
Hydrogen Technology Corporation | | | investor protection violation | 2023 | $2,796,234 |
Boyle CP LLC | | | accounting fraud or deficiencies | 2023 | $50,000 |
Cantaloupe, Inc. | | | investor protection violation | 2023 | $1,500,000 |
First Guaranty Bancshares, Inc. | | | investor protection violation | 2023 | $600,000 |
RTW Investments, LP | | | investor protection violation | 2023 | $1,400,000 |
Sciens Investment Management, LLC and Sciens Diversified Managers, LLC | | | investor protection violation | 2023 | $275,000 |
RSE Markets Inc. | | | investor protection violation | 2023 | $350,000 |
Foresee Inc. et al. | | | investor protection violation | 2023 | $5,374,482 |
Marcum LLP | | | accounting fraud or deficiencies | 2023 | $10,000,000 |
Insight Venture Management LLC | | | investor protection violation | 2023 | $2,364,958 |
Legendary Partners, LLC | | | investor protection violation | 2023 | $412,542 |
Empires Consulting Corp. | | | investor protection violation | 2023 | $34,839,951 |
Vuuzle Media Corp. et al. | | | investor protection violation | 2023 | $28,599,662 |
Co-Diagnostics, Inc. | | | investor protection violation | 2023 | $250,000 |
Future Fintech Group Inc. | | | investor protection violation | 2023 | $1,650,000 |
Quantstamp, Inc. | | | investor protection violation | 2023 | $1,000,000 |
Monroe Capital Management Advisors, LLC | | | investor protection violation | 2023 | $1,000,000 |
Digital World Acquisition Corp. | | | investor protection violation | 2023 | $18,000,000 |
Benecke Economics | | | investor protection violation | 2023 | $60,000 |
Crowe U.K. LLP | | | accounting fraud or deficiencies | 2023 | $750,000 |
Grupo Aval Acciones y Valores S.A. | | | Foreign Corrupt Practices Act | 2023 | $40,000,000 |
Bittrex Inc. et al. | | | investor protection violation | 2023 | $24,000,000 |
Houlihan Lokey Capital, Inc. | | | investor protection violation | 2023 | $15,000,000 |
Moelis & Company LLC | | | investor protection violation | 2023 | $10,000,000 |
Theorem Fund Services LLC | | | investor protection violation | 2023 | $122,271 |
Exchange Traded Managers Group LLC | | | investor protection violation | 2023 | $4,000,000 |
Vika Ventures LLC | | | investor protection violation | 2023 | $8,929,120 |
Ustocktrade LLC | | | investor protection violation | 2023 | $75,000 |
Summitcrest Capital, Inc. | | | investor protection violation | 2023 | $23,181,761 |
Valo Holdings Group | | | investor protection violation | 2023 | $668,240 |
DST Asset Manager Solutions, Inc. | | | investor protection violation | 2023 | $500,000 |
Malvern Bancorp, Inc. | | | investor protection violation | 2023 | $350,000 |
Ault Alliance, Inc. | | | investor protection violation | 2023 | $700,000 |
Sica Wealth Management, LLC and Circle Squared Alternative Investments, LLC | | | investor protection violation | 2023 | $584,333 |
GlennCap LLC | | | investor protection violation | 2023 | $3,000,000 |
Artemis Wealth Advisors, LLC | | | investor protection violation | 2023 | $150,000 |
Stoner Cats 2 LLC | | | investor protection violation | 2023 | $1,000,000 |
Esos Rings, Inc. | | | investor protection violation | 2023 | $613,319 |
True Capital Management, LLC | | | investor protection violation | 2023 | $821,793 |
YieldStreet Inc. | | | investor protection violation | 2023 | $1,900,000 |
Banorte Asset Management Inc. | | | investor protection violation | 2023 | $50,000 |
BTS Asset Management Inc. | | | investor protection violation | 2023 | $135,000 |
Elm Partners Management LLC | | | investor protection violation | 2023 | $175,000 |
Hansen and Associates Financial Group Inc | | | investor protection violation | 2023 | $50,000 |
Linden Thomas Advisory Services LLC | | | investor protection violation | 2023 | $135,000 |
Macroclimate LLC | | | investor protection violation | 2023 | $100,000 |
McElhenny Sheffield Capital Management LLC | | | investor protection violation | 2023 | $60,000 |
Mortgage Industry Advisory Corporation | | | investor protection violation | 2023 | $100,000 |
MRA Advisory Group | | | investor protection violation | 2023 | $85,000 |
Simplex Trading, LLC | | | investor protection violation | 2023 | $200,000 |
Trowbridge Capital Partners LLC | | | investor protection violation | 2023 | $60,000 |
Monolith Resources LLC | | | workplace whistleblower retaliation | 2023 | $225,000 |
Ameritrust Corporation | | | investor protection violation | 2023 | $15,802,376 |
Beespoke Capital, Inc. | | | investor protection violation | 2023 | $5,196,518 |