Ladenburg Thalmann Asset Management Inc. | Reverence Capital Partners | private equity (including portfolio companies) | investor protection violation | 2016 | $200,000 |
Banyan Partners, LLC | | | investor protection violation | 2016 | $200,000 |
Shamrock Asset Management LLC | | | investor protection violation | 2016 | $200,000 |
BB&T Securities, LLC | Truist Financial | financial services | investor protection violation | 2015 | $200,000 |
Ameritas Investment Corp. | Ameritas Mutual Holding Company | financial services | investor protection violation | 2015 | $200,000 |
Parallax Investments, LLC | | | investor protection violation | 2015 | $200,000 |
Gold Mountain Management, LLC | | | investor protection violation | 2015 | $200,000 |
New England Investment and Retirement Group, Inc. | | | investor protection violation | 2012 | $200,000 |
BTS Asset Management, Inc. | | | investor protection violation | 2012 | $200,000 |
Tilden Loucks & Woodnorth and LLC, Lasalle St. Securities, LLC | | | investor protection violation | 2012 | $200,000 |
World Group Securities, Inc. | Aegon | financial services | investor protection violation | 2010 | $200,000 |
Lockwood Advisors, Incorporated | | | investor protection violation | 2018 | $200,000 |
Aisling Capital LLC | | | investor protection violation | 2018 | $200,000 |
Crypto Asset Management LP | | | investor protection violation | 2018 | $200,000 |
Primoris Services Corporation | Primoris Services | construction and engineering | investor protection violation | 2018 | $200,000 |
Creative Planning, Inc. | | | investor protection violation | 2018 | $200,000 |
Crypto Asset Management, LP | | | investor protection violation | 2018 | $200,000 |
VSS Fund Management LLC | | | investor protection violation | 2018 | $200,000 |
Citigroup Global Markets, Inc. | Citigroup | financial services | investor protection violation | 2007 | $200,000 |
Credit Suisse First Boston, LLC | UBS | financial services | investor protection violation | 2005 | $200,000 |
ABN AMRO Incorporated | ABN AMRO | financial services | investor protection violation | 2001 | $200,000 |
Oechsle International Advisors L.L.C. | | | investor protection violation | 2001 | $200,000 |
Grupo Simec S.A.B de C.V. | | | accounting fraud or deficiencies | 2019 | $200,000 |
TherapeuticsMD Inc. | | | investor protection violation | 2019 | $200,000 |
Strategic Planning Group, Inc. | | | investor protection violation | 2019 | $200,000 |
Vandham Securities Corp. | | | investor protection violation | 2019 | $200,000 |
1Globe Capital, LLC | | | investor protection violation | 2020 | $200,000 |
First Western Capital Management Company | | | investor protection violation | 2020 | $200,000 |
Virtu ITG Canada Corp. | | | investor protection violation | 2020 | $200,000 |
KMS Financial Services Inc. | Reverence Capital Partners | private equity (including portfolio companies) | investor protection violation | 2021 | $200,000 |
KMS Financial Services, Inc. | Reverence Capital Partners | private equity (including portfolio companies) | investor protection violation | 2021 | $200,000 |
Tandy Leather Factory Inc. | | | accounting fraud or deficiencies | 2021 | $200,000 |
True Link Financial Advisors, LLC | | | investor protection violation | 2022 | $200,000 |
SparkLabs Global Ventures Management LLC and SparkLabs Management, LLC | | | investor protection violation | 2022 | $200,000 |
Waddell & Reed, LLC | Macquarie | financial services | investor protection violation | 2022 | $200,000 |
Simplex Trading, LLC | | | investor protection violation | 2023 | $200,000 |
SQN Capital Management, LLC | | | investor protection violation | 2023 | $200,000 |
Florence Capital Advisors, LLC | | | investor protection violation | 2023 | $200,000 |
Cumberland Pharmaceuticals Inc. | | | investor protection violation | 2023 | $200,000 |
Blotics Ltd | | | investor protection violation | 2021 | $201,687 |
First Western Advisors | | | investor protection violation | 2018 | $202,767 |
Feltl & Company, Inc. | | | investor protection violation | 2011 | $203,172 |
Capitol Securities Management, Inc. | | | investor protection violation | 2020 | $203,414 |
Howarth Financial Services, LLC | | | investor protection violation | 2017 | $203,444 |
Intervest International, Inc. | | | investor protection violation | 2021 | $205,277 |
Boenning & Scattergood, Inc. | | | investor protection violation | 2020 | $205,567 |
Outset Global LLP | | | investor protection violation | 2019 | $207,409 |
The Huntington Investment Company | | | investor protection violation | 2019 | $207,946 |
Guggenheim Securities, LLC | | | investor protection violation | 2021 | $208,912 |
Tiber Creek Corp. | | | investor protection violation | 2019 | $209,797 |
Trust Advisory Group, Ltd. | | | investor protection violation | 2022 | $214,460 |
HITE Hedge Asset Management LLC et al. | | | investor protection violation | 2023 | $214,591 |
Victoire Finance Capital LLC | | | investor protection violation | 2008 | $215,631 |
Critical Trading, LLC | | | investor protection violation | 2019 | $219,092 |
Retirement Investment Advisors, Inc. and Research Holdings, LLC | | | investor protection violation | 2015 | $219,243 |
Philadelphia Financial Management of San Francisco | | | investor protection violation | 2013 | $219,443 |
Hutchinson, Shockey, Erley & Co. | Huntington Bancshares | financial services | investor protection violation | 2015 | $220,000 |
Northland Securities, Inc. | | | investor protection violation | 2015 | $220,000 |
Ross, Sinclaire & Associates, LLC | | | investor protection violation | 2015 | $220,000 |
HCR Wealth Advisors | | | investor protection violation | 2019 | $220,000 |
GLB Trading, Inc. | | | investor protection violation | 2009 | $220,670 |
Warrior Fund LLC | | | investor protection violation | 2010 | $221,384 |
First Southwest Company, LLC | | | investor protection violation | 2016 | $222,400 |
Students of Strength, Inc. | | | investor protection violation | 2021 | $222,517 |
Belmont Partners LLC | | | accounting fraud or deficiencies | 2014 | $224,500 |
Nebulous, Inc. | | | investor protection violation | 2019 | $224,601 |
Ontario Teachers' Pension Plan Board | | | investor protection violation | 2013 | $224,835 |
Bolton Securities Corporation | | | investor protection violation | 2021 | $224,994 |
H.D. Vest Investment Securities | | | investor protection violation | 2015 | $225,000 |
Equitas Capital Advisers LLC | | | investor protection violation | 2013 | $225,000 |
PACCAR | Paccar | motor vehicles | accounting fraud or deficiencies | 2013 | $225,000 |
Cambridge Investment Research Advisors, Inc. | | | investor protection violation | 2016 | $225,000 |
JH Partners, LLC | | | investor protection violation | 2015 | $225,000 |
Highland Capital Management, L.P. | | | investor protection violation | 2014 | $225,000 |
SEI Investments Global Funds Services | | | investor protection violation | 2018 | $225,000 |
Goldman Sachs Execution & Clearing, L.P. | Goldman Sachs | financial services | investor protection violation | 2010 | $225,000 |
Morgan Stanley Smith Barney, LLC | Morgan Stanley | financial services | investor protection violation | 2019 | $225,000 |
Monolith Resources LLC | | | workplace whistleblower retaliation | 2023 | $225,000 |
Disruptive Technology Advisers LLC | | | investor protection violation | 2023 | $225,000 |
Delphia (USA) Inc. | | | investor protection violation | 2024 | $225,000 |
Dynamic Intelligence, Inc. | | | investor protection violation | 2018 | $228,552 |
KPMG LLP | KPMG | business services | accounting fraud or deficiencies | 2016 | $230,000 |
Ameriprise Financial Services | Ameriprise Financial | financial services | investor protection violation | 2018 | $230,000 |
Saxony Capital Management LLC | | | investor protection violation | 2019 | $230,220 |
Wesley Capital Management, LLC | | | investor protection violation | 2012 | $232,289 |
Marco Investment Management, LLC | | | investor protection violation | 2016 | $232,345 |
Salomon Whitney LLC | | | investor protection violation | 2023 | $236,173 |
Rock and Roll Cycles, LLC and Cycle For Life, Inc. | | | investor protection violation | 2020 | $236,314 |
Rockwood Investment Management | | | investor protection violation | 2014 | $237,988 |
Siebert Brandford Shank & Co., LLC | | | investor protection violation | 2015 | $240,000 |
LBMZ Securities, Inc. | | | investor protection violation | 2017 | $240,000 |
Janney Montgomery Scott LLC | Penn Mutual | financial services | investor protection violation | 2019 | $241,227 |
KPMG | KPMG | business services | accounting fraud or deficiencies | 2018 | $241,305 |
Harbour Investments, Inc. | | | investor protection violation | 2018 | $241,479 |
Africa Gemstone Corporation | | | investor protection violation | 2003 | $242,840 |
Big Country AGS, Inc. d/b/a AGS, Inc. | | | investor protection violation | 2002 | $242,840 |
Crews & Associates Inc. | | | investor protection violation | 2021 | $244,072 |
Folger Nolan Fleming Douglas Capital Management, Inc. | | | investor protection violation | 2007 | $244,921 |
Northwest Advisors, Inc. | | | investor protection violation | 2021 | $245,000 |
Deloitte & Touche South Africa | Deloitte | business services | accounting fraud or deficiencies | 2012 | $247,043 |
USA Financial Securities Corporation | | | investor protection violation | 2021 | $249,455 |