Gateway Technologies, Inc. and The Cheyenne Holding Corp. | | | fraud | 2001 | $5,083,378 |
PinkMonkey.com, Inc. | | | fraud | 2001 | $20,000 |
TAC International Ltd. | | | fraud | 2001 | $11,548,454 |
Golf Emporium Corporation | | | fraud | 2000 | $8,622,014 |
Commonwealth Communications Group and Marjet Corp. | | | fraud | 2000 | $1,407,284 |
California Financial Services, Inc., Internet Telecommunications Albany System SMR, Internet Telecommunications Reno System SMR and Internet Telecommu | | | fraud | 2000 | $2,876,405 |
Secured Income Reserve, Inc. | | | fraud | 2016 | $1,318,476 |
Aegis Oil, LLC | | | fraud | 2016 | $41,319,067 |
Southlake Resources Group, LLC | | | fraud | 2016 | $5,681,411 |
JustInfo LLC | | | fraud | 2017 | $1,293,675 |
Exelon Corporation | Exelon | utilities and power generation | fraud | 2023 | $46,200,000 |
Hyzon Motors Inc. | | | fraud | 2023 | $25,000,000 |
Goldman Sachs & Co. | Goldman Sachs | financial services | illicit political contributions | 2012 | $12,000,000 |
State Street Bank and Trust Company | State Street Corp. | financial services | illicit political contributions | 2016 | $12,000,000 |
TL Ventures Inc | | | illicit political contributions | 2014 | $294,894 |
Barclays Bank PLC | Barclays | financial services | insider trading | 2007 | $10,943,561 |
Friedman, Billings, Ramsey & Co., Inc. | Arlington Asset Investment Corp. | financial services | insider trading | 2006 | $3,755,839 |
Deephaven Capital Management, LLC | | | insider trading | 2006 | $5,709,958 |
Zomax Inc. | | | insider trading | 2005 | $2,000,000 |
Barclays Capital Inc. | Barclays | financial services | investor protection violation | 2016 | $35,000,000 |
Credit Suisse Securities (USA) LLC | UBS | financial services | investor protection violation | 2016 | $54,300,000 |
Goldman Sachs & Co. | Goldman Sachs | financial services | investor protection violation | 2016 | $15,000,000 |
J.P. Morgan Securities LLC | JPMorgan Chase | financial services | investor protection violation | 2016 | $4,000,000 |
Morgan Stanley Investment Management | Morgan Stanley | financial services | investor protection violation | 2015 | $8,800,000 |
J.P. Morgan Securities LLC and JPMorgan Chase Bank N.A. | JPMorgan Chase | financial services | investor protection violation | 2015 | $267,000,000 |
ICBC Standard Bank Plc | Industrial and Commercial Bank of China | financial services | investor protection violation | 2015 | $4,200,000 |
UBS Willow Management LLC and UBS Fund Advisor LLC | UBS | financial services | investor protection violation | 2015 | $17,500,000 |
UBS AG | UBS | financial services | investor protection violation | 2015 | $19,500,000 |
Blackstone Group | Blackstone | private equity (including portfolio companies) | investor protection violation | 2015 | $39,000,000 |
UBS Financial Services Inc. of Puerto Rico | UBS | financial services | investor protection violation | 2015 | $15,000,000 |
Citigroup Global Markets | Citigroup | financial services | investor protection violation | 2015 | $15,000,000 |
Citigroup Global Markets Inc. and Citigroup Alternative Investments LLC | Citigroup | financial services | investor protection violation | 2015 | $180,000,000 |
Edward D. Jones & Co. LP | Jones Financial | financial services | investor protection violation | 2015 | $20,000,000 |
Goldman Sachs & Co. | Goldman Sachs | financial services | investor protection violation | 2015 | $7,000,000 |
Kohlberg Kravis Roberts & Co. | KKR & Co. | private equity (including portfolio companies) | investor protection violation | 2015 | $30,000,000 |
Merrill Lynch | Bank of America | financial services | investor protection violation | 2015 | $10,900,000 |
Deutsche Bank AG | Deutsche Bank | financial services | investor protection violation | 2015 | $55,000,000 |
BlackRock Advisors LLC | BlackRock | financial services | investor protection violation | 2015 | $12,000,000 |
UBS Securities LLC | UBS | financial services | investor protection violation | 2015 | $14,400,000 |
Morgan Stanley & Co. LLC | Morgan Stanley | financial services | investor protection violation | 2014 | $4,000,000 |
HSBC Private Bank (Suisse) | HSBC | financial services | investor protection violation | 2014 | $12,500,000 |
Bank of America Corporation | Bank of America | financial services | investor protection violation | 2014 | $7,650,000 |
Barclays Capital Inc. | Barclays | financial services | investor protection violation | 2014 | $15,000,000 |
Wells Fargo Advisors LLC | Wells Fargo | financial services | investor protection violation | 2014 | $5,000,000 |
Jefferies LLC | Jefferies Financial Group | diversified | investor protection violation | 2014 | $25,000,000 |
Credit Suisse Group AG | UBS | financial services | investor protection violation | 2014 | $196,000,000 |
Massachusetts Mutual Life Insurance Company | Massachusetts Mutual Life Insurance | financial services | investor protection violation | 2012 | $1,625,000 |
Mizuho Financial Group | Mizuho Financial | financial services | investor protection violation | 2012 | $127,500,000 |
OppenheimerFunds Inc. | Invesco | financial services | investor protection violation | 2012 | $35,000,000 |
UBS Financial Services Inc. of Puerto Rico | UBS | financial services | investor protection violation | 2012 | $26,600,000 |
Goldman Sachs & Co. | Goldman Sachs | financial services | investor protection violation | 2012 | $22,000,000 |
UBS Global Asset Management | UBS | financial services | investor protection violation | 2012 | $300,000 |
Morgan Stanley Investment Management | Morgan Stanley | financial services | investor protection violation | 2011 | $3,300,000 |
UBS Securities LLC | UBS | financial services | investor protection violation | 2011 | $8,000,000 |
RBC Capital Markets LLC | Royal Bank of Canada | financial services | investor protection violation | 2011 | $30,400,000 |
Janney Montgomery Scott LLC | Penn Mutual | financial services | investor protection violation | 2011 | $850,000 |
TD Ameritrade Inc. | Charles Schwab Corp. | financial services | investor protection violation | 2011 | $10,000,000 |
Charles Schwab Investment Management and Charles Schwab & Co., Inc. | Charles Schwab Corp. | financial services | investor protection violation | 2011 | $118,000,000 |
Bank of America | Bank of America | financial services | investor protection violation | 2010 | $150,000,000 |
BlueLinx Holdings Inc. | BlueLinx Holdings | wholesalers | investor protection violation | 2016 | $265,000 |
Luca International Group, LLC | | | investor protection violation | 2016 | $68,300,000 |
State Street Bank and Trust Company | State Street Corp. | financial services | investor protection violation | 2016 | $382,400,000 |
Merrill Lynch | Bank of America | financial services | investor protection violation | 2016 | $10,000,000 |
Merrill Lynch | Bank of America | financial services | investor protection violation | 2016 | $415,000,000 |
Ethiopian Electric Power | | | investor protection violation | 2016 | $6,448,854 |
Morgan Stanley Smith Barney LLC | Morgan Stanley | financial services | investor protection violation | 2016 | $1,000,000 |
First Mortgage Corporation | | | investor protection violation | 2016 | $12,700,000 |
Navistar International Corp. | Volkswagen | motor vehicles | investor protection violation | 2016 | $7,500,000 |
AVEO Pharmaceuticals Inc. | LG | diversified | investor protection violation | 2016 | $4,000,000 |
Royal Alliance Associates, SagePoint Financial and FSC Securities Corporation | Reverence Capital Partners | private equity (including portfolio companies) | investor protection violation | 2016 | $9,500,000 |
Uni-Pixel Inc. | | | investor protection violation | 2016 | $750,000 |
Westlands Water District | | | investor protection violation | 2016 | $125,000 |
Marwood Group Research LLC | | | investor protection violation | 2015 | $375,000 |
Sands Brothers Asset Management LLC | | | investor protection violation | 2015 | $1,000,000 |
Fenway Partners LLC | | | investor protection violation | 2015 | $8,716,471 |
DBRS Inc. | | | investor protection violation | 2015 | $5,814,482 |
Premiere Power LLC | | | investor protection violation | 2015 | $2,587,523 |
Auriga Global Investors, Sociedad de Valores, S.A. | | | investor protection violation | 2015 | $618,401 |
Harvest Capital Strategies LLC | | | investor protection violation | 2015 | $84,454 |
J.P. Morgan Investment Management Inc. | JPMorgan Chase | financial services | investor protection violation | 2015 | $1,084,210 |
Omega Advisors, Inc. | Omega Advisors | financial services | investor protection violation | 2015 | $134,026 |
Sabby Management LLC | | | investor protection violation | 2015 | $278,747 |
War Chest Capital Partners LLC | | | investor protection violation | 2015 | $351,818 |
Wolverine Trading LLC and Wolverine Asset Management LLC | | | investor protection violation | 2015 | $1,153,303 |
Briargate Trading LLP | | | investor protection violation | 2015 | $912,842 |
Spencer Pharmaceutical Inc. | | | investor protection violation | 2015 | $1,000,000 |
Focus Media Holding Limited | | | investor protection violation | 2015 | $55,600,000 |
First Eagle Investment Management and FEF Distributors | | | investor protection violation | 2015 | $39,748,260 |
8000 Inc. | | | investor protection violation | 2015 | $6,500,000 |
Taberna Capital Management | | | investor protection violation | 2015 | $21,500,000 |
EnviraTrends, Inc. | | | investor protection violation | 2015 | $150,000 |
Colonial Tidewater Realty Income Partners | | | investor protection violation | 2015 | $1,319,386 |
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 |