Nano-X Imaging Ltd. | | | investor protection violation | 2023 | $650,000 |
Luther Speight & Company, LLC | | | investor protection violation | 2023 | $20,000 |
Appomattox Advisory, Inc. | | | investor protection violation | 2023 | $150,000 |
Florence Capital Advisors, LLC | | | investor protection violation | 2023 | $200,000 |
Maxim Group, LLC | | | investor protection violation | 2023 | $800,000 |
Spruce Power Holding Corporation | | | investor protection violation | 2023 | $11,000,000 |
Exelon Corporation | Exelon | utilities and power generation | fraud | 2023 | $46,200,000 |
Clear Channel Outdoor Holdings Inc. | Clear Channel Outdoor Holdings | business services | Foreign Corrupt Practices Act | 2023 | $26,100,000 |
Woodbury Financial Services, Inc. | Reverence Capital Partners | private equity (including portfolio companies) | investor protection violation | 2023 | $100,000 |
SagePoint Financial, Inc. | Reverence Capital Partners | private equity (including portfolio companies) | investor protection violation | 2023 | $100,000 |
Osaic Wealth, Inc. | | | investor protection violation | 2023 | $100,000 |
FSC Securities Corporation | | | investor protection violation | 2023 | $100,000 |
Salomon Whitney LLC | | | investor protection violation | 2023 | $236,173 |
Forepont Capital LLC | | | investor protection violation | 2023 | $150,000 |
Apexium Financial LP | | | investor protection violation | 2023 | $150,000 |
Citigroup Global Markets, Inc. | Citigroup | financial services | investor protection violation | 2023 | $1,975,000 |
TAL Education Group | | | investor protection violation | 2023 | $1,250,000 |
Cloudastructure, Inc. | | | investor protection violation | 2023 | $558,071 |
Hightimes Holding Corp | | | investor protection violation | 2023 | $558,071 |
Cumberland Pharmaceuticals Inc. | | | investor protection violation | 2023 | $200,000 |
AgEagle Aerial Systems Inc. | | | investor protection violation | 2023 | $190,000 |
eXp World Holdings, Inc. | | | investor protection violation | 2023 | $115,000 |
SolarEdge Technologies, Inc. | | | investor protection violation | 2023 | $125,000 |
Lattice Semiconductor Corporation | Lattice Semiconductor | electrical and electronic equipment | investor protection violation | 2023 | $185,000 |
Hyzon Motors Inc. | | | fraud | 2023 | $25,000,000 |
AssetMark Inc. | | | investor protection violation | 2023 | $18,000,000 |
Bruderman Asset Management LLC | | | investor protection violation | 2023 | $250,000 |
DWS Investment Management Americas Inc. | Deutsche Bank | financial services | investor protection violation | 2023 | $25,000,000 |
Highlander Capital Management, LLC | | | investor protection violation | 2023 | $150,000 |
Fieldman Rolapp & Associates, Inc. | | | investor protection violation | 2023 | $127,916 |
Wellesley Asset Management, Inc | | | investor protection violation | 2023 | $1,000,000 |
American Infrastructure Funds LLC | | | investor protection violation | 2023 | $1,600,000 |
Citadel Securities LLC | | | investor protection violation | 2023 | $7,000,000 |
Goldman Sachs & Co. LLC | Goldman Sachs | financial services | investor protection violation | 2023 | $6,000,000 |
J.H. Darbie & Co., Inc. | | | investor protection violation | 2023 | $125,000 |
Carl M. Hennig, Inc. | | | investor protection violation | 2023 | $50,000 |
Kandi Technologies Group, Inc. | | | investor protection violation | 2023 | $710,000 |
CBRE, Inc. | CBRE Group | real estate | investor protection violation | 2023 | $375,000 |
Lyft Inc. | Lyft Inc. | miscellaneous services | investor protection violation | 2023 | $10,000,000 |
GGToor, Inc. | | | investor protection violation | 2023 | $40,000 |
Summit Planning Group, Inc. | | | investor protection violation | 2023 | $109,401 |
Rio Tinto PLC | Rio Tinto | mining and minerals | investor protection violation | 2023 | $28,000,000 |
Laidlaw & Company (UK) Ltd. | | | investor protection violation | 2023 | $822,884 |
Bell Rock Capital, LLC | | | investor protection violation | 2023 | $1,509,048 |
Charter Communications Inc. | Charter Communications | telecommunications | accounting fraud or deficiencies | 2023 | $25,000,000 |
Royal Bank of Canada | Royal Bank of Canada | financial services | accounting fraud or deficiencies | 2023 | $6,000,000 |
BlackRock Advisors, LLC | BlackRock | financial services | investor protection violation | 2023 | $2,500,000 |
Thor Technologies, Inc. | | | investor protection violation | 2023 | $1,053,193 |
Anson Advisors Inc | | | investor protection violation | 2023 | $3,330,394 |
Eagan Capital Management, LLC | | | investor protection violation | 2023 | $50,000 |
Brooge Energy Limited | | | investor protection violation | 2023 | $5,000,000 |
Credit Suisse Securities (USA) LLC | UBS | financial services | investor protection violation | 2023 | $10,000,000 |
OEP Capital Advisors, L.P. | | | investor protection violation | 2023 | $4,000,000 |
BarnBridge DAO | | | investor protection violation | 2023 | $1,457,000 |
J.P. Morgan Securities LLC | JPMorgan Chase | financial services | investor protection violation | 2024 | $18,000,000 |
Morgan Stanley & Co. LLC | Morgan Stanley | financial services | investor protection violation | 2024 | $83,000,000 |
SAP SE | SAP | information technology | Foreign Corrupt Practices Act | 2024 | $98,400,000 |
Medsis International, Inc. | | | investor protection violation | 2024 | $15,871,200 |
TIAA-CREF Individual & Institutional Services LLC | TIAA | financial services | investor protection violation | 2024 | $2,200,000 |
Van Eck Associates Corporation | | | investor protection violation | 2024 | $1,750,000 |
Northwestern Mutual Investment Services LLC | Northwestern Mutual | financial services | investor protection violation | 2024 | $16,500,000 |
Guggenheim Securities LLC | | | investor protection violation | 2024 | $15,000,000 |
Oppenheimer & Co. Inc. | Oppenheimer Holdings | financial services | investor protection violation | 2024 | $12,000,000 |
Cambridge Investment Research Inc. | | | investor protection violation | 2024 | $10,000,000 |
Key Investment Services LLC | | | investor protection violation | 2024 | $10,000,000 |
Lincoln Financial Advisors Corporation | Lincoln National | financial services | investor protection violation | 2024 | $8,500,000 |
U.S. Bancorp Investments Inc. | U.S. Bancorp | financial services | investor protection violation | 2024 | $8,000,000 |
Huntington Investment Company | | | investor protection violation | 2024 | $1,250,000 |
TradeStation Crypto, Inc. | | | investor protection violation | 2024 | $1,500,000 |
Rockwell Capital Management | | | investor protection violation | 2024 | $1,602,089 |
Northern Star Investment Corp. II | | | investor protection violation | 2024 | $1,500,000 |
Aon Investments USA Inc. | Aon | financial services | investor protection violation | 2024 | $1,542,187 |
SHE Beverage Company, Inc. | | | investor protection violation | 2024 | $12,760,274 |
Comer Capital Group, LLC | | | investor protection violation | 2024 | $55,000 |
Crowd Machine, Inc. and Metavine, Inc. | | | investor protection violation | 2024 | $24,234,548 |
Adar Bays, LLC and Adar Alef, LLC | | | investor protection violation | 2024 | $1,145,000 |
Grenda Group, LLC | | | investor protection violation | 2024 | $400,000 |
Skechers U.S.A. Inc. | Skechers USA Inc. | apparel | investor protection violation | 2024 | $1,250,000 |
HG Vora Capital Management LLC | | | investor protection violation | 2024 | $950,000 |
Lordstown Motors Corp. | Lordstown Motors | motor vehicles | investor protection violation | 2024 | $25,500,000 |
RenovaCare, Inc. | | | investor protection violation | 2024 | $500,000 |
3D/L Capital Management, LLC | | | investor protection violation | 2024 | $285,607 |
ShapeShift AG | | | investor protection violation | 2024 | $275,000 |
Clark Schaefer Hackett & Co. | | | investor protection violation | 2024 | $80,881 |
Contrarian Capital Management, L.L.C. | | | investor protection violation | 2024 | $521,326 |
GeaSphere LLC | | | investor protection violation | 2024 | $100,000 |
Bradesco Global Advisors Inc. | | | investor protection violation | 2024 | $20,000 |
Credicorp Capital Advisors LLC | | | investor protection violation | 2024 | $30,000 |
InSight Securities Inc. | | | investor protection violation | 2024 | $20,000 |
Monex Asset Management Inc. | | | investor protection violation | 2024 | $30,000 |
Senvest Management LLC | | | investor protection violation | 2024 | $6,500,000 |
Genesis Global Capital, LLC | | | investor protection violation | 2024 | $21,000,000 |
Delphia (USA) Inc. | | | investor protection violation | 2024 | $225,000 |
Global Predictions Inc. | | | investor protection violation | 2024 | $175,000 |
Volkswagen AG | Volkswagen | motor vehicles | investor protection violation | 2024 | $48,750,000 |
Commonwealth Equity Services, LLC d/b/a Commonwealth Financial Network | | | investor protection violation | 2024 | $93,274,068 |
ClearPath Wealth Management, LLC | | | investor protection violation | 2024 | $27,130,905 |
GA Investors | | | investor protection violation | 2024 | $1,191,938 |
Advisor Resource Council | | | investor protection violation | 2024 | $300,000 |
Halitron, Inc. | | | investor protection violation | 2024 | $191,024 |
Wayzata Investment Partners LLC | | | investor protection violation | 2024 | $60,000 |