EFG Asset Management (Americas) Corp. | | | investor protection violation | 2019 | $62,505 |
BB&T Securities, LLC | Truist Financial | financial services | investor protection violation | 2019 | $376,059 |
Provise Management Group, LLC | | | investor protection violation | 2019 | $297,423 |
Next Financial Group, Inc. | Atria Wealth Solutions | financial services | investor protection violation | 2019 | $1,405,349 |
MIAI, Inc. | | | investor protection violation | 2019 | $488,579 |
First Kentucky Securities Corporation | | | investor protection violation | 2019 | $132,651 |
Bok Financial Securities, Inc. | BOK Financial | financial services | investor protection violation | 2019 | $197,801 |
Client One Securities, LLC | | | investor protection violation | 2019 | $35,275 |
National Asset Management, Inc. | | | investor protection violation | 2019 | $733,423 |
Investment Research Corp | | | investor protection violation | 2019 | $33,188 |
First National Capital Markets, Inc. | | | investor protection violation | 2019 | $138,117 |
Ameritas Investment Corp. | Ameritas Mutual Holding Company | financial services | investor protection violation | 2019 | $3,389,174 |
Principal Securities, Inc. | Principal Financial | financial services | investor protection violation | 2019 | $1,764,624 |
Lasalle St. Investment Advisors, L.L.C. | | | investor protection violation | 2019 | $458,082 |
L.M. Kohn & Company | | | investor protection violation | 2019 | $586,882 |
Benjamin F. Edwards & Co., Inc. | | | investor protection violation | 2019 | $3,445,264 |
Transamerica Financial Advisors, Inc. | Aegon | financial services | investor protection violation | 2019 | $6,023,072 |
The Huntington Investment Company | | | investor protection violation | 2019 | $207,946 |
Robert W. Baird & Co. Incorporated | | | investor protection violation | 2019 | $4,149,167 |
Questar Asset Management, Inc. | | | investor protection violation | 2019 | $527,566 |
J.J.B. Hilliard and W.L. Lyons, LLC | | | investor protection violation | 2019 | $925,023 |
Hefren-Tilotson, Inc. | | | investor protection violation | 2019 | $371,697 |
Financial Management Strategies, Inc. | | | investor protection violation | 2019 | $185,083 |
Comerica Securities, Inc. | Comerica | financial services | investor protection violation | 2019 | $186,377 |
Cambridge Investment Research Advisors, Inc. | | | investor protection violation | 2019 | $6,187,562 |
Blyth & Associates, Inc. | | | investor protection violation | 2019 | $103,071 |
Santander Securities LLC | Banco Santander | financial services | investor protection violation | 2019 | $270,539 |
Ryan Financial Advisors, Inc. | | | investor protection violation | 2019 | $258,670 |
Park Avenue Securities LLC | | | investor protection violation | 2019 | $564,267 |
Oppenheimer & Co. Inc. and Oppenheimer Asset Management Inc. | Oppenheimer Holdings | financial services | investor protection violation | 2019 | $3,528,377 |
LPL Financial LLC | LPL Financial | financial services | investor protection violation | 2019 | $9,333,516 |
Investmark Advisory Group LLC | | | investor protection violation | 2019 | $103,107 |
Investacorp Advisory Services, Inc. | | | investor protection violation | 2019 | $481,608 |
Infinex Investments, Inc. | | | investor protection violation | 2019 | $978,698 |
Commonwealth Equity Services, LLC | | | investor protection violation | 2019 | $1,637,303 |
Cantella & Co., Inc. | | | investor protection violation | 2019 | $919,597 |
Beacon Investment Management LLC | | | investor protection violation | 2019 | $165,848 |
TIAA-CREF Individual & Institutional Services, LLC | TIAA | financial services | investor protection violation | 2019 | $2,395,722 |
SSN Advisory, Inc. | | | investor protection violation | 2019 | $1,666,950 |
SA Stone Investment Advisors Inc. | | | investor protection violation | 2019 | $687,374 |
Raymond James Financial Services Advisors, Inc. | Raymond James Financial | financial services | investor protection violation | 2019 | $6,877,048 |
ProEquities, Inc. | Dai-ichi Life | financial services | investor protection violation | 2019 | $1,852,383 |
First Citizens Investor Services, Inc. | | | investor protection violation | 2019 | $402,665 |
First Citizens Asset Management, Inc. | | | investor protection violation | 2019 | $62,418 |
DLL CPAS, LLC | | | investor protection violation | 2019 | $51,387 |
Katz, Sapper & Miller, LLP | | | investor protection violation | 2019 | $101,834 |
Spark Trading Group LLC | | | investor protection violation | 2019 | $694,915 |
Pinnacle Accountancy Group, PLLC | | | accounting fraud or deficiencies | 2019 | $300,000 |
Deer Park Road Management Company LP | | | investor protection violation | 2019 | $5,000,000 |
Wilson-Davis & Co., Inc. | | | investor protection violation | 2019 | $300,000 |
Corinthian Capital Group, LLC | | | investor protection violation | 2019 | $100,000 |
GT Advanced Technologies Inc. | | | investor protection violation | 2019 | $140,000 |
Deutsche Bank Trust Company Americas | Deutsche Bank | financial services | investor protection violation | 2019 | $500,000 |
Charter Capital Management, LLC | | | investor protection violation | 2019 | $40,000 |
ZBS Group LLP | | | investor protection violation | 2019 | $48,461 |
Prosper Funding LLC | | | accounting fraud or deficiencies | 2019 | $3,000,000 |
Clear Scope Advisors, Inc. | | | investor protection violation | 2019 | $25,678 |
Mutual Coin Fund LLC | | | investor protection violation | 2019 | $10,000 |
Fresenius Medical Care AG & Co KGaA | Fresenius Medical Care | healthcare services | Foreign Corrupt Practices Act | 2019 | $147,000,000 |
Vision Financial Markets LLC | | | anti-money-laundering deficiencies | 2019 | $625,000 |
Sweetwater Investments, Inc. | | | investor protection violation | 2019 | $1,164,747 |
Tiber Creek Corp. | | | investor protection violation | 2019 | $209,797 |
Telefonica Brasil S.A. | | | Foreign Corrupt Practices Act | 2019 | $4,124,000 |
Account Management LLC | | | investor protection violation | 2019 | $100,000 |
AOC Securities LLC | | | investor protection violation | 2019 | $250,000 |
AR Capital LLC | | | investor protection violation | 2019 | $53,000,000 |
Bitqyck Inc. | | | investor protection violation | 2019 | $8,375,617 |
BMO Capital Markets Corporation | Bank of Montreal | financial services | investor protection violation | 2019 | $3,946,000 |
Brixmor Property Group Inc. | | | accounting fraud or deficiencies | 2019 | $7,000,000 |
Canaccord Genuity LLC | | | investor protection violation | 2019 | $250,000 |
Cantor Fitzgerald & Co. | Cantor Fitzgerald | financial services | investor protection violation | 2019 | $647,000 |
Conn's Inc. | | | accounting fraud or deficiencies | 2019 | $1,100,000 |
Dale Scott & Company, Inc. | | | investor protection violation | 2019 | $25,000 |
Deutsche Bank AG | Deutsche Bank | financial services | Foreign Corrupt Practices Act | 2019 | $16,178,850 |
DFRF Enterprises LLC and DFRF Enterprises, LLC | | | investor protection violation | 2019 | $19,390,352 |
EMS Capital LP | | | investor protection violation | 2019 | $317,415 |
Equal Earth, Inc. | | | investor protection violation | 2019 | $7,655,000 |
Facebook Inc. | Meta Platforms Inc. | information technology | investor protection violation | 2019 | $100,000,000 |
Fieldstone Financial Management Group LLC | | | investor protection violation | 2019 | $1,322,971 |
Financial Sherpa, Inc. | | | investor protection violation | 2019 | $436,861 |
Foundations Asset Management, LLC | | | investor protection violation | 2019 | $363,947 |
Guaranteed Investigations, Inc. | | | investor protection violation | 2019 | $16,846 |
ICO Rating | | | investor protection violation | 2019 | $268,998 |
IFS Securities | | | investor protection violation | 2019 | $50,000 |
Industrial and Commercial Bank of China Financial Services LLC | Industrial and Commercial Bank of China | financial services | investor protection violation | 2019 | $42,700,000 |
Juniper Networks, Inc. | Juniper Networks | electrical and electronic equipment | Foreign Corrupt Practices Act | 2019 | $11,745,018 |
KPMG LLP | KPMG | business services | accounting fraud or deficiencies | 2019 | $50,000,000 |
Laurel Wealth Advisors, Inc. | | | investor protection violation | 2019 | $100,000 |
Lefavi Wealth Management, Inc. | | | investor protection violation | 2019 | $1,288,735 |
Microsoft Corporation | Microsoft | information technology | Foreign Corrupt Practices Act | 2019 | $16,565,150 |
Mosaic Capital, LLC | | | investor protection violation | 2019 | $250,000 |
MVP Manager LLC | | | investor protection violation | 2019 | $249,739 |
Nomura Securities International Inc. | Nomura | financial services | investor protection violation | 2019 | $26,400,000 |
Omega Protein Corporation | Cooke Inc. | food products | investor protection violation | 2019 | $400,000 |
RSM US LLP | | | accounting fraud or deficiencies | 2019 | $950,000 |
School Services of California, Inc. | | | investor protection violation | 2019 | $10,000 |
Spring Hill Capital Markets, LLC, et al. | | | investor protection violation | 2019 | $485,803 |
State Street Bank and Trust Company | State Street Corp. | financial services | investor protection violation | 2019 | $88,780,000 |
The Options Clearing Corporation | | | investor protection violation | 2019 | $15,000,000 |
The Parrish Group, LLC | | | investor protection violation | 2019 | $184,767 |
TherapeuticsMD Inc. | | | investor protection violation | 2019 | $200,000 |