ITG Inc. | | | investor protection violation | 2015 | $20,300,000 |
Guggenheim Partners Investment Management LLC | Guggenheim Partners | financial services | investor protection violation | 2015 | $20,000,000 |
ABS Manager | | | investor protection violation | 2015 | $1,087,648 |
The Baker Group, LP | | | investor protection violation | 2015 | $250,000 |
B.C. Ziegler and Company | | | investor protection violation | 2015 | $250,000 |
Benchmark Securities, LLC | | | investor protection violation | 2015 | $100,000 |
Bernardi Securities, Inc. | | | investor protection violation | 2015 | $100,000 |
BMO Capital Markets GKST Inc. | Piper Sandler | financial services | investor protection violation | 2015 | $250,000 |
BNY Mellon Capital Markets, LLC | Bank of New York Mellon | financial services | investor protection violation | 2015 | $120,000 |
BOSC, Inc. | | | investor protection violation | 2015 | $250,000 |
Central States Capital Markets, LLC | | | investor protection violation | 2015 | $60,000 |
Citigroup Global Markets Inc. | Citigroup | financial services | investor protection violation | 2015 | $500,000 |
City Securities Corporation | | | investor protection violation | 2015 | $250,000 |
Davenport & Company LLC | | | investor protection violation | 2015 | $80,000 |
Dougherty & Co. LLC | | | investor protection violation | 2015 | $250,000 |
First National Capital Markets, Inc. | | | investor protection violation | 2015 | $100,000 |
George K. Baum & Company | | | investor protection violation | 2015 | $250,000 |
Goldman, Sachs & Co. | Goldman Sachs | financial services | investor protection violation | 2015 | $500,000 |
Hutchinson, Shockey, Erley & Co. | Huntington Bancshares | financial services | investor protection violation | 2015 | $220,000 |
J.P. Morgan Securities LLC | JPMorgan Chase | financial services | investor protection violation | 2015 | $500,000 |
L.J. Hart and Company | | | investor protection violation | 2015 | $100,000 |
Loop Capital Markets, LLC | | | investor protection violation | 2015 | $60,000 |
Martin Nelson & Co., Inc. | | | investor protection violation | 2015 | $100,000 |
Merchant Capital, L.L.C. | | | investor protection violation | 2015 | $100,000 |
Merrill Lynch, Pierce, Fenner & Smith Incorporated | Bank of America | financial services | investor protection violation | 2015 | $500,000 |
Morgan Stanley & Co. LLC | Morgan Stanley | financial services | investor protection violation | 2015 | $500,000 |
The Northern Trust Company | Northern Trust | financial services | investor protection violation | 2015 | $60,000 |
Oppenheimer & Co. Inc. | Oppenheimer Holdings | financial services | investor protection violation | 2015 | $400,000 |
Piper Jaffray & Co. | Piper Sandler | financial services | investor protection violation | 2015 | $500,000 |
Raymond James & Associates, Inc. | Raymond James Financial | financial services | investor protection violation | 2015 | $500,000 |
RBC Capital Markets, LLC | Royal Bank of Canada | financial services | investor protection violation | 2015 | $500,000 |
Robert W. Baird & Co. Incorporated | | | investor protection violation | 2015 | $500,000 |
Siebert Brandford Shank & Co., LLC | | | investor protection violation | 2015 | $240,000 |
Smith Hayes Financial Services Corporation | | | investor protection violation | 2015 | $40,000 |
Stephens Inc. | | | investor protection violation | 2015 | $400,000 |
Sterne, Agee & Leach, Inc. | | | investor protection violation | 2015 | $80,000 |
Stifel, Nicolaus & Company, Inc. | Stifel Financial | financial services | investor protection violation | 2015 | $500,000 |
Wells Nelson & Associates, LLC | | | investor protection violation | 2015 | $100,000 |
William Blair & Co., L.L.C. | | | investor protection violation | 2015 | $80,000 |
Sand Hill Exchange | | | investor protection violation | 2015 | $20,000 |
China Valves Technology Inc. | | | investor protection violation | 2015 | $575,000 |
Nationwide Life Insurance Company | Nationwide | financial services | investor protection violation | 2015 | $8,000,000 |
Macquarie Capital (USA) Inc. | Macquarie | financial services | investor protection violation | 2015 | $15,000,000 |
BioChemics Inc. | | | investor protection violation | 2015 | $17,897,887 |
H.D. Vest Investment Securities | | | investor protection violation | 2015 | $225,000 |
VCAP Securities | | | investor protection violation | 2015 | $1,477,332 |
F-Squared Investments | | | investor protection violation | 2014 | $35,000,000 |
Wedbush Securities | Wedbush Securities | financial services | investor protection violation | 2014 | $2,440,000 |
APT MotoVox Group Inc. | | | investor protection violation | 2014 | $25,000 |
CoroWare Inc. | | | investor protection violation | 2014 | $25,000 |
ERF Wireless Inc. | | | investor protection violation | 2014 | $50,000 |
Green Automotive Company | | | investor protection violation | 2014 | $50,000 |
MineralRite Corporation | | | investor protection violation | 2014 | $25,000 |
Mondial Ventures Inc. | | | investor protection violation | 2014 | $50,000 |
Monster Arts Inc. | | | investor protection violation | 2014 | $25,000 |
Red Giant Entertainment Inc. | | | investor protection violation | 2014 | $25,000 |
Seaniemac International Ltd. | | | investor protection violation | 2014 | $50,000 |
Worthington Energy Inc. | | | investor protection violation | 2014 | $25,000 |
Charles Schwab & Co. | Charles Schwab Corp. | financial services | investor protection violation | 2014 | $61,800 |
Hapoalim Securities USA | | | investor protection violation | 2014 | $54,000 |
Interactive Brokers LLC | Interactive Brokers Group | financial services | investor protection violation | 2014 | $56,000 |
Investment Professionals Inc. | Ameriprise Financial | financial services | investor protection violation | 2014 | $67,800 |
J.P. Morgan Securities | JPMorgan Chase | financial services | investor protection violation | 2014 | $54,000 |
Lebenthal & Co. | | | investor protection violation | 2014 | $54,000 |
National Securities Corporation | | | investor protection violation | 2014 | $60,000 |
Oppenheimer & Co. | Oppenheimer Holdings | financial services | investor protection violation | 2014 | $61,200 |
Riedl First Securities Co. of Kansas | | | investor protection violation | 2014 | $130,000 |
Stifel Nicolaus & Co. | Stifel Financial | financial services | investor protection violation | 2014 | $60,000 |
TD Ameritrade | Charles Schwab Corp. | financial services | investor protection violation | 2014 | $100,800 |
UBS Financial Services | UBS | financial services | investor protection violation | 2014 | $56,400 |
Wedbush Securities Inc. | Wedbush Securities | financial services | investor protection violation | 2014 | $67,200 |
OTC Solutions LLC | | | investor protection violation | 2014 | $373,239 |
Athena Capital Research | | | investor protection violation | 2014 | $1,000,000 |
E*TRADE Securities | Morgan Stanley | financial services | investor protection violation | 2014 | $2,500,000 |
Tradebot Systems Inc. | | | investor protection violation | 2014 | $50,000 |
Lincolnshire Management | | | investor protection violation | 2014 | $2,300,000 |
Strategic Capital Group LLC | | | investor protection violation | 2014 | $586,290 |
Latour Trading LLC | | | investor protection violation | 2014 | $16,000,000 |
Advent Capital Management | | | investor protection violation | 2014 | $144,128 |
Antipodean Advisors | | | investor protection violation | 2014 | $93,672 |
BlackRock Institutional Trust Company | BlackRock | financial services | investor protection violation | 2014 | $1,675,350 |
East Side Holdings II | | | investor protection violation | 2014 | $157,010 |
Explorador Capital Management | | | investor protection violation | 2014 | $155,658 |
Formula Growth | | | investor protection violation | 2014 | $111,743 |
Great Point Partners | | | investor protection violation | 2014 | $109,597 |
Indaba Capital Management | | | investor protection violation | 2014 | $304,185 |
Ironman Capital Management | | | investor protection violation | 2014 | $87,226 |
Midwood Capital Management | | | investor protection violation | 2014 | $142,947 |
RA Capital Management | | | investor protection violation | 2014 | $3,624,359 |
Rockwood Investment Management | | | investor protection violation | 2014 | $237,988 |
Seawolf Capital | | | investor protection violation | 2014 | $296,937 |
Solus Alternative Asset Management | | | investor protection violation | 2014 | $105,495 |
SuttonBrook Capital Management | | | investor protection violation | 2014 | $70,000 |
Troubh Partners | | | investor protection violation | 2014 | $408,710 |
Vinci Partners Investimentos | | | investor protection violation | 2014 | $448,707 |
Whitebox Advisors | | | investor protection violation | 2014 | $1,202,924 |
Advanced Cell Technology | | | investor protection violation | 2014 | $375,000 |
Linkbrokers Derivatives LLC | | | investor protection violation | 2014 | $14,000,000 |
AIC Inc. | | | investor protection violation | 2014 | $66,760,521 |
LavaFlow Inc. | Citigroup | financial services | investor protection violation | 2014 | $5,000,000 |
Liquidnet Inc. | | | investor protection violation | 2014 | $2,000,000 |