NGN Capital | | | investor protection violation | 2017 | $100,000 |
Pershing Square Capital Management | | | investor protection violation | 2017 | $75,000 |
The Banc Funds Company | | | investor protection violation | 2017 | $75,000 |
Citadel Securities LLC | | | investor protection violation | 2017 | $22,600,000 |
Morgan Stanley Smith Barney | Morgan Stanley | financial services | investor protection violation | 2017 | $13,000,000 |
Sociedad Quimica y Minera de Chile S.A. | | | Foreign Corrupt Practices Act | 2017 | $15,000,000 |
BNY Mellon | Bank of New York Mellon | financial services | investor protection violation | 2017 | $6,600,000 |
ITG | | | investor protection violation | 2017 | $24,400,000 |
Zimmer Biomet Holdings Inc. | Zimmer Biomet | medical equipment and supplies | Foreign Corrupt Practices Act | 2017 | $13,022,000 |
L3 Technologies Inc. | L3Harris Technologies | aerospace and military contracting | accounting fraud or deficiencies | 2017 | $1,600,000 |
Port Authority of New York and New Jersey | | | investor protection violation | 2017 | $400,000 |
Mondelez International, Inc. | Mondelez International | food products | accounting fraud or deficiencies | 2017 | $13,000,000 |
Orthofix International | Orthofix Medical | medical equipment and supplies | Foreign Corrupt Practices Act | 2017 | $14,250,000 |
General Motors | General Motors | motor vehicles | accounting fraud or deficiencies | 2017 | $1,000,000 |
MDC Partners | | | accounting fraud or deficiencies | 2017 | $1,500,000 |
HomeStreet Inc | HomeStreet Inc. | financial services | accounting fraud or deficiencies | 2017 | $500,000 |
Overseas Shipholding Group | Overseas Shipholding Group | freight and logistics | accounting fraud or deficiencies | 2017 | $5,000,000 |
Citigroup Global Markets | Citigroup | financial services | investor protection violation | 2017 | $2,963,735 |
Morgan Stanley Smith Barney | Morgan Stanley | financial services | investor protection violation | 2017 | $2,963,735 |
Citigroup Global Markets | Citigroup | financial services | investor protection violation | 2017 | $18,300,000 |
AMG Energy, LLC and R. Thomas?& Co., LLC | | | investor protection violation | 2017 | $150,000 |
Arcturus Corporation and Aschere Energy LLC | | | investor protection violation | 2017 | $15,500,000 |
Morgan Stanley Smith Barney | Morgan Stanley | financial services | investor protection violation | 2017 | $8,000,000 |
Sidoti & Company LLC | | | investor protection violation | 2017 | $100,000 |
Oxford City Football Club, Inc. | | | investor protection violation | 2017 | $6,853,358 |
Hold Brothers Online Investment Services, LLC | | | investor protection violation | 2017 | $707,764 |
TeamVinh.com LLC | | | investor protection violation | 2017 | $2,681,072 |
MagnaChip Semiconductor Corporation | | | accounting fraud or deficiencies | 2017 | $3,000,000 |
Galena Biopharma, Inc. | SELLAS Life Sciences Group | pharmaceuticals | accounting fraud or deficiencies | 2017 | $200,000 |
Momentum Investment Partners LLC dba Avatar Investment Management | | | investor protection violation | 2017 | $193,676 |
Rhode Island Commerce Corporation f/k/a Rhode Island Economic Development Corporation | | | investor protection violation | 2017 | $50,000 |
Barclays Capital | Barclays | financial services | investor protection violation | 2017 | $97,037,659 |
Verto Capital Management | | | investor protection violation | 2017 | $4,158,517 |
Enviso Capital LLC | | | investor protection violation | 2017 | $50,000 |
Ascenergy LLC | | | investor protection violation | 2017 | $6,859,690 |
State Street Bank and Trust Company | State Street Corp. | financial services | investor protection violation | 2017 | $35,300,000 |
Banca IMI Securities Corp. | Intesa Sanpaolo | financial services | investor protection violation | 2017 | $35,300,000 |
KPMG LLP | KPMG | business services | accounting fraud or deficiencies | 2017 | $6,230,999 |
7S Oil & Gas, LLC | | | investor protection violation | 2017 | $750,000 |
Halliburton Company | Halliburton | oilfield services and supplies | Foreign Corrupt Practices Act | 2017 | $29,200,000 |
Petroforce Energy, LLC | | | investor protection violation | 2017 | $300,000 |
Green Tree Investment Group | | | investor protection violation | 2017 | $770,356 |
Osiris Therapeutics | Smith & Nephew | medical equipment and supplies | accounting fraud or deficiencies | 2017 | $1,500,000 |
Millennium Management LLC | | | investor protection violation | 2017 | $630,000 |
Augustine Capital Management LLC | | | investor protection violation | 2017 | $878,305 |
JustInfo LLC | | | fraud | 2017 | $1,293,675 |
Alere Inc. | Abbott Laboratories | pharmaceuticals | accounting fraud or deficiencies | 2017 | $13,023,885 |
Aegerion Pharmaceuticals | Amryt Pharma | pharmaceuticals | investor protection violation | 2017 | $4,100,000 |
Paritz & Company | | | accounting fraud or deficiencies | 2017 | $132,049 |
Telia Company AB | Telia Company AB | telecommunications | Foreign Corrupt Practices Act | 2017 | $457,000,000 |
SunTrust Banks | Truist Financial | financial services | investor protection violation | 2017 | $1,100,000 |
Deerfield Management Company L.P. | | | investor protection violation | 2017 | $4,600,000 |
BlackRock Inc. | BlackRock | financial services | investor protection violation | 2017 | $340,000 |
Mohlman Asset Management, LLC and Mohlman Asset Management Fund, LLC | | | investor protection violation | 2017 | $100,937 |
Penn West Petroleum Ltd. | | | accounting fraud or deficiencies | 2017 | $8,500,000 |
Capital Financial Partners, LLC et al. | | | investor protection violation | 2017 | $15,700,000 |
Train, Babcock Advisors LLC | | | investor protection violation | 2017 | $1,700,725 |
Southwind Associates of NJ, Inc. d/b/a Villafranco Wealth Management | | | investor protection violation | 2017 | $50,000 |
TPG Capital Advisors, LLC | TPG Capital | private equity (including portfolio companies) | investor protection violation | 2017 | $12,487,620 |
Packerland Brokerage Services, Inc. and Atlas Capital Management Corp. | | | investor protection violation | 2017 | $536,886 |
Merrill Lynch, Pierce, Fenner & Smith Incorporated | Bank of America | financial services | anti-money-laundering deficiencies | 2017 | $13,000,000 |
Coastal Equities, Inc. and Coastal Investment Advisors, Inc. | | | investor protection violation | 2017 | $80,000 |
Horter Investment Management, LLC | | | investor protection violation | 2017 | $778,804 |
Ameriprise Financial Services, Inc. | Ameriprise Financial | financial services | investor protection violation | 2017 | $8,750,000 |
Institutional Investor Advisers, Inc. | | | investor protection violation | 2017 | $200,000 |
Brahman Capital Corp. | | | investor protection violation | 2017 | $250,000 |
Gray Financial Group, Inc. | | | investor protection violation | 2017 | $401,298 |
Wells Fargo Advisors, LLC | Wells Fargo | financial services | anti-money-laundering deficiencies | 2017 | $3,500,000 |
Millennium Management LLC | | | investor protection violation | 2017 | $638,709 |
UBS Financial Services, Inc. | UBS | financial services | investor protection violation | 2017 | $3,500,000 |
YourPeople, Inc., dba Zenefits FTW Insurance Services | TriNet Group | business services | investor protection violation | 2017 | $450,000 |
Canterbury Consulting, Inc. | | | investor protection violation | 2017 | $172,986 |
Loop Capital Markets, LLC | | | investor protection violation | 2017 | $25,000 |
Success Holding Group International, Inc. | | | investor protection violation | 2017 | $139,737 |
SIX Financial Information USA Inc. | | | investor protection violation | 2017 | $107,707 |
LBMZ Securities, Inc. | | | investor protection violation | 2017 | $240,000 |
VisionPoint Advisory Group, LLC | | | investor protection violation | 2017 | $45,000 |
360 Financial, Inc. | | | investor protection violation | 2017 | $40,000 |
TRH Financial LLC | | | investor protection violation | 2017 | $35,000 |
Sagent Wealth Management, LLC | | | investor protection violation | 2017 | $181,110 |
Platinum Equity Advisors, LLC | Platinum Equity | private equity (including portfolio companies) | investor protection violation | 2017 | $3,402,132 |
Howarth Financial Services, LLC | | | investor protection violation | 2017 | $203,444 |
JL Capital Management | | | investor protection violation | 2017 | $278,289 |
Potomac Asset Management Company, Inc | | | investor protection violation | 2017 | $300,000 |
Envoy Advisory, Inc. | | | investor protection violation | 2017 | $51,892 |
Municipal Finance Services, Inc. | | | investor protection violation | 2017 | $50,000 |
O'Connor & Company Securities, Inc. | | | investor protection violation | 2017 | $150,000 |
Vertical Capital Asset Management, LLC | | | investor protection violation | 2017 | $9,034,957 |
Ironridge Global Partners, LLC and Ironridge Global IV, Ltd. | | | investor protection violation | 2017 | $4,400,000 |
Institutional Investors Advisory Company | | | investor protection violation | 2017 | $843,187 |
Capital Dynamics, Inc. | | | investor protection violation | 2017 | $275,000 |
Coachman Energy Partners LLC | | | investor protection violation | 2017 | $941,507 |
Cadaret and Grant & Co., Inc. | | | investor protection violation | 2017 | $3,048,000 |
Columbia River Advisors, LLC | | | investor protection violation | 2017 | $80,000 |
Windsor Street Capital, L.P. fka Meyers Associates | | | investor protection violation | 2017 | $200,000 |
Bradway Financial, LLC and Bradway Capital Management, LLC | | | investor protection violation | 2017 | $150,000 |
Umbrella Research, LLC | | | investor protection violation | 2017 | $16,676 |
KMS Financial Services, Inc. | Reverence Capital Partners | private equity (including portfolio companies) | investor protection violation | 2017 | $552,086 |
Paramount Group Real Estate Advisor LLC | | | investor protection violation | 2017 | $250,000 |
Landwin Management, LLC | | | investor protection violation | 2017 | $75,000 |
Bantry Bay Capital, LLC | | | investor protection violation | 2017 | $100,000 |