Liquidnet Inc. | | | investor protection violation | 2014 | $2,000,000 |
Rafferty Capital Markets | | | investor protection violation | 2014 | $849,626 |
New York Stock Exchange | IntercontinentalExchange Group | financial services | investor protection violation | 2014 | $4,500,000 |
Empire Stock Transfer Inc. | | | investor protection violation | 2014 | $50,000 |
CVS Caremark Corp. | CVS Health | retailing | accounting fraud or deficiencies | 2014 | $20,000,000 |
Transamerica Financial Advisors | Aegon | financial services | investor protection violation | 2014 | $1,107,248 |
Redfin Network Inc. | | | accounting fraud or deficiencies | 2014 | $19,480 |
A Chicago Convention Center, LLC and Intercontinental Regional Center Trust of Chicago, LLC | | | investor protection violation | 2014 | $12,950,000 |
Lions Gate Entertainment Corp. | Lions Gate Entertainment | entertainment | accounting fraud or deficiencies | 2014 | $7,500,000 |
Belmont Partners LLC | | | accounting fraud or deficiencies | 2014 | $224,500 |
Apple Six Advisors Inc. | | | accounting fraud or deficiencies | 2014 | $437,500 |
Apple Seven Advisors Inc. | | | accounting fraud or deficiencies | 2014 | $375,000 |
Apple Eight Advisors Inc. | | | accounting fraud or deficiencies | 2014 | $437,500 |
Apple Nine Advisors Inc. | | | accounting fraud or deficiencies | 2014 | $250,000 |
CITIC Securities International Investment Management (HK) Limited | | | investor protection violation | 2014 | $6,600,000 |
China Shenghai Investment Management Limited | | | investor protection violation | 2014 | $4,300,000 |
Onyx Capital Advisors | | | investor protection violation | 2014 | $9,100,000 |
Scottrade | Charles Schwab Corp. | financial services | data submission deficiencies | 2014 | $2,500,000 |
Western Asset Management Company | Franklin Resources | financial services | investor protection violation | 2014 | $19,400,000 |
KPMG | KPMG | business services | accounting fraud or deficiencies | 2014 | $8,200,000 |
Diamond Foods | Campbell Soup | food products | accounting fraud or deficiencies | 2014 | $5,000,000 |
Lally & Co., LLC | | | accounting fraud or deficiencies | 2014 | $10,000 |
Joseph Yafeh CPA, Inc. | | | accounting fraud or deficiencies | 2014 | $20,000 |
Eureeca Capital SPC | | | investor protection violation | 2014 | $25,000 |
Clean Energy Capital, LLC | | | investor protection violation | 2014 | $2,246,030 |
Rothman Securities, Inc. | | | investor protection violation | 2014 | $90,000 |
Highland Capital Management, L.P. | | | investor protection violation | 2014 | $225,000 |
Colorado Financial Service Corporation | | | investor protection violation | 2014 | $25,000 |
Westend Capital Management, LLC | | | investor protection violation | 2014 | $150,000 |
Security Capital Research & Management Incorporated | | | investor protection violation | 2014 | $88,000 |
Willis Lease Finance Corporation | | | investor protection violation | 2014 | $150,000 |
Tel-Instrument Electronics Corp. | | | investor protection violation | 2014 | $75,000 |
KMG Chemicals, Inc. | Entegris | electrical and electronic equipment | investor protection violation | 2014 | $150,000 |
Jones Lang LaSalle Incorporated | Jones Lang LaSalle | real estate | investor protection violation | 2014 | $150,000 |
Del Mar Asset Management, LP | | | investor protection violation | 2014 | $66,000 |
Brown Brothers Harriman & Co. | Brown Brothers Harriman | financial services | investor protection violation | 2014 | $120,000 |
Royal Bank of Scotland Group plc | NatWest Group PLC | financial services | investor protection violation | 2014 | $120,000 |
Starwood Hotel & Resorts Worldwide, Inc. | Marriott International | hotels | investor protection violation | 2014 | $75,000 |
Lazarus Management Company LLC | | | investor protection violation | 2014 | $60,000 |
P.A.W. Capital Partners, L.P. | | | investor protection violation | 2014 | $68,000 |
RIMA Senvest Management, LLC | | | investor protection violation | 2014 | $68,000 |
Sankaty Advisors, LLC | | | investor protection violation | 2014 | $68,000 |
Trinad Management, LLC | | | investor protection violation | 2014 | $95,000 |
Universal Electronics Inc. | Universal Electronics Inc. | electrical and electronic equipment | investor protection violation | 2014 | $75,000 |
Ridgeback Capital Management LP | | | investor protection violation | 2014 | $104,500 |
Structured Portfolio Management, L.L.C., SPM Jr., L.L.C., and SPM IV, L.L.C. | | | investor protection violation | 2014 | $300,000 |
Bank of America Corporation | Bank of America | financial services | investor protection violation | 2014 | $20,000,000 |
Monness, Crespi, Hardt & Co., Inc. | | | investor protection violation | 2014 | $150,000 |
The Phoenix Companies, Inc. | | | investor protection violation | 2014 | $100,000 |
PHL Variable Insurance Company | | | investor protection violation | 2014 | $100,000 |
Dominick & Dominick LLC | | | investor protection violation | 2014 | $75,000 |
Lakeside Capital Management, LLC | | | investor protection violation | 2014 | $590,152 |
EFP Rotenberg, LLP | | | accounting fraud or deficiencies | 2014 | $50,000 |
Paradigm Capital Management, Inc. | | | investor protection violation | 2014 | $2,181,771 |
UASNM, Inc. | | | investor protection violation | 2014 | $100,000 |
Genesis Advisory Services Corp. and ABJ Societe Anonyme Corp. | | | investor protection violation | 2014 | $1,583,942 |
Ironbird Capital LLC | | | investor protection violation | 2014 | $335,435 |
HD Mile High Marketing, Inc. | | | investor protection violation | 2014 | $250,076 |
Ruby Corporation | | | investor protection violation | 2014 | $1,100,000 |
Lightspeed Trading LLC | | | investor protection violation | 2014 | $478,216 |
The Phoenix Companies, Inc. | | | investor protection violation | 2014 | $375,000 |
PHL Variable Insurance Company | | | investor protection violation | 2014 | $375,000 |
BDL Manager LLC | | | investor protection violation | 2014 | $3,297,740 |
Worldwide Capital, Inc. | | | investor protection violation | 2014 | $7,253,726 |
Axius Holdings, LLC | | | investor protection violation | 2014 | $60,881 |
Merrill Lynch | Bank of America | financial services | toxic securities abuses | 2013 | $131,800,000 |
Fifth Third Bancorp | Fifth Third Bancorp | financial services | accounting fraud or deficiencies | 2013 | $6,500,000 |
RBS Securities Inc. | NatWest Group PLC | financial services | toxic securities abuses | 2013 | $153,700,000 |
JPMorgan & Co. | JPMorgan Chase | financial services | accounting fraud or deficiencies | 2013 | $200,000,000 |
UBS Securities | UBS | financial services | toxic securities abuses | 2013 | $50,000,000 |
Capital One Financial Corporation | Capital One Financial | financial services | accounting fraud or deficiencies | 2013 | $3,500,000 |
Archer-Daniels-Midland Company | Archer Daniels Midland | agribusiness | Foreign Corrupt Practices Act | 2013 | $36,000,000 |
Weatherford International Limited | Weatherford International | oilfield services and supplies | Foreign Corrupt Practices Act | 2013 | $65,600,000 |
Stryker Corporation | Stryker | medical equipment and supplies | Foreign Corrupt Practices Act | 2013 | $13,200,000 |
Diebold Inc. | Diebold Nixdorf | miscellaneous manufacturing | Foreign Corrupt Practices Act | 2013 | $22,900,000 |
Total, S.A. | TotalEnergies SE | oil and gas | Foreign Corrupt Practices Act | 2013 | $153,000,000 |
Ralph Lauren Corporation | Ralph Lauren Corp. | apparel | Foreign Corrupt Practices Act | 2013 | $734,846 |
Parker Drilling Company | Parker Drilling | oil and gas | Foreign Corrupt Practices Act | 2013 | $4,090,818 |
Philips Electronics | Royal Philips | diversified | Foreign Corrupt Practices Act | 2013 | $4,515,178 |
Instinet LLC | | | investor protection violation | 2013 | $813,280 |
ConvergEx Group | Toronto-Dominion Bank | financial services | investor protection violation | 2013 | $107,424,429 |
GLG Partners L.P. | | | accounting fraud or deficiencies | 2013 | $8,954,346 |
Sherb & Co. LLP | | | accounting fraud or deficiencies | 2013 | $75,000 |
Greater Wenatchee Regional Events Center Public Facilities District | | | investor protection violation | 2013 | $20,000 |
Milan Group Inc. | | | investor protection violation | 2013 | $4,141,148 |
Further Lane Asset Management | | | investor protection violation | 2013 | $150,000 |
Knelman Asset Management Group | | | investor protection violation | 2013 | $60,000 |
GW & Wade | | | investor protection violation | 2013 | $250,000 |
Modern Portfolio Management Inc. | | | investor protection violation | 2013 | $175,000 |
Equitas Capital Advisers LLC | | | investor protection violation | 2013 | $225,000 |
ChinaMedia Express Holdings | | | investor protection violation | 2013 | $41,144,082 |
Petro-Suisse Ltd. | | | investor protection violation | 2013 | $8,370,000 |
Patrizio & Zhao LLC | | | accounting fraud or deficiencies | 2013 | $30,000 |
Universal Travel Group | | | accounting fraud or deficiencies | 2013 | $750,000 |
TD Bank | Toronto-Dominion Bank | financial services | investor protection violation | 2013 | $15,000,000 |
Medifast Inc. | Medifast Inc. | miscellaneous services | accounting fraud or deficiencies | 2013 | $200,000 |
Blackthorn Investment Group | | | investor protection violation | 2013 | $520,207 |
Claritas Investments Ltd. | Principal Financial | financial services | investor protection violation | 2013 | $144,819 |
Credentia Group | | | investor protection violation | 2013 | $69,204 |
D.E. Shaw & Co. | | | investor protection violation | 2013 | $667,492 |
Deerfield Management Company | | | investor protection violation | 2013 | $1,902,224 |