TherapeuticsMD Inc. | | | investor protection violation | 2019 | $200,000 |
Walmart | Walmart | retailing | Foreign Corrupt Practices Act | 2019 | $144,000,000 |
Wedbush Securities Inc. | Wedbush Securities | financial services | investor protection violation | 2019 | $8,100,000 |
Channing Capital Management, LLC | | | investor protection violation | 2019 | $50,000 |
Portfolio Advisors Alliance | | | investor protection violation | 2019 | $1,259,721 |
Morgan Stanley Smith Barney LLC | Morgan Stanley | financial services | investor protection violation | 2019 | $1,545,758 |
Golden California Regional Center, LLC | | | investor protection violation | 2019 | $50,295,232 |
Capital Source Lending LLC | | | investor protection violation | 2019 | $5,720,451 |
XBT Corp Sarl dba First Global Credit | | | investor protection violation | 2019 | $131,952 |
UQM Technologies, Inc. | Danfoss | industrial equipment | investor protection violation | 2019 | $500,000 |
Northwest Biotherapeutics, Inc. | | | investor protection violation | 2019 | $250,000 |
Lek Securities Corp. | | | investor protection violation | 2019 | $1,525,892 |
PlexCorps | | | investor protection violation | 2019 | $4,911,613 |
Block.one | | | investor protection violation | 2019 | $24,000,000 |
Bill Few Associates Inc. | | | investor protection violation | 2019 | $2,398,304 |
Cargile Investment Management Inc. | | | investor protection violation | 2019 | $70,140 |
Comprehensive Capital Management Inc. | | | investor protection violation | 2019 | $93,631 |
Equity Services Inc. | | | investor protection violation | 2019 | $587,017 |
Essex Financial Services Inc. | | | investor protection violation | 2019 | $645,000 |
Folger Nolan Fleming Douglas Capital Management Inc. | | | investor protection violation | 2019 | $59,478 |
Henley & Company Wealth Management LLC | | | investor protection violation | 2019 | $36,866 |
Hilltop Securities Inc. and Hilltop Securities Independent Network Inc. | Hilltop Holdings | financial services | investor protection violation | 2019 | $810,785 |
IC Advisory Services Inc. | | | investor protection violation | 2019 | $1,195,186 |
Independent Financial Group LLC | | | investor protection violation | 2019 | $1,426,150 |
Investment Partners Ltd. | | | investor protection violation | 2019 | $43,384 |
IPG Investment Advisors LLC | | | investor protection violation | 2019 | $85,294 |
Michigan Advisors Inc. | | | investor protection violation | 2019 | $327,976 |
Saxony Capital Management LLC | | | investor protection violation | 2019 | $230,220 |
Wedbush Securities Inc. | Wedbush Securities | financial services | investor protection violation | 2019 | $1,852,540 |
Founders Financial Securities, LLC | | | investor protection violation | 2019 | $1,475,465 |
Outset Global LLP | | | investor protection violation | 2019 | $207,409 |
Virtu Americas LLC | Virtu Financial | financial services | investor protection violation | 2019 | $1,500,000 |
Nebulous, Inc. | | | investor protection violation | 2019 | $224,601 |
Mid Atlantic Financial Management, Inc. | | | investor protection violation | 2019 | $300,000 |
Longfin Corp. | | | investor protection violation | 2019 | $6,755,848 |
Cutting Edge Business Services, Inc. | | | investor protection violation | 2019 | $273,336 |
BMO Harris Financial Advisors Inc. and BMO Asset Management Corp. | Bank of Montreal | financial services | investor protection violation | 2019 | $37,980,000 |
Westport Fuels Systems, Inc. | | | Foreign Corrupt Practices Act | 2019 | $4,046,000 |
Fiat Chrysler Automobiles N.V. | Stellantis | motor vehicles | accounting fraud or deficiencies | 2019 | $40,000,000 |
Herbalife Nutrition Ltd. | Herbalife | food products | accounting fraud or deficiencies | 2019 | $20,000,000 |
Mylan N.V. | Viatris | pharmaceuticals | investor protection violation | 2019 | $30,000,000 |
Omgeo Matching Services US, LLC | | | investor protection violation | 2019 | $2,000,000 |
Barclays PLC | Barclays | financial services | Foreign Corrupt Practices Act | 2019 | $6,308,726 |
GFI Securities LLC | BGC Partners | financial services | investor protection violation | 2019 | $4,300,000 |
Harding Advisory LLC | | | investor protection violation | 2019 | $850,000 |
Pinnacle Companies, LLC | | | investor protection violation | 2019 | $1,112,000 |
Three Bridge Wealth Advisors, LLC | | | investor protection violation | 2019 | $60,000 |
Amadeus Wealth Advisors, LLC | | | investor protection violation | 2019 | $40,000 |
ECP Manager LP | | | investor protection violation | 2019 | $122,656 |
Quad/Graphics Inc. | Quad/Graphics | miscellaneous services | Foreign Corrupt Practices Act | 2019 | $9,895,334 |
BrixInvest, LLC | | | investor protection violation | 2019 | $300,000 |
Cetera Investment Advisers LLC | | | investor protection violation | 2019 | $185,000 |
Hefren-Tillotson, Inc. | | | investor protection violation | 2019 | $379,965 |
Strong Investment Management | | | investor protection violation | 2019 | $1,061,157 |
TMC Bonds LLC | | | privacy violation | 2019 | $2,100,000 |
Comscore, Inc. | ComScore | information services | accounting fraud or deficiencies | 2019 | $5,000,000 |
Strategic Planning Group, Inc. | | | investor protection violation | 2019 | $200,000 |
PricewaterhouseCoopers LLP | PricewaterhouseCoopers | business services | investor protection violation | 2019 | $7,944,055 |
Nissan | Nissan | motor vehicles | accounting fraud or deficiencies | 2019 | $15,000,000 |
TechnipFMC plc | TechnipFMC | oilfield services and supplies | Foreign Corrupt Practices Act | 2019 | $5,061,906 |
HCR Wealth Advisors | | | investor protection violation | 2019 | $220,000 |
The Bancorp, Inc. | | | investor protection violation | 2019 | $1,400,000 |
Sigma Planning Corp. | | | investor protection violation | 2019 | $2,546,718 |
Raymond James & Associates, Inc. et al. | Raymond James Financial | financial services | investor protection violation | 2019 | $15,000,000 |
Morgan Stanley Smith Barney, LLC | Morgan Stanley | financial services | investor protection violation | 2019 | $225,000 |
Stifel, Nicolaus & Co., Inc. | Stifel Financial | financial services | investor protection violation | 2019 | $2,700,000 |
BMO Capital Markets Corp. | Bank of Montreal | financial services | investor protection violation | 2019 | $1,950,000 |
Prudential Financial Inc. | Prudential Financial | financial services | investor protection violation | 2019 | $32,600,000 |
Marvell Technology Group, Ltd. | Marvell Technology | electrical and electronic equipment | accounting fraud or deficiencies | 2019 | $5,500,000 |
Vandham Securities Corp. | | | investor protection violation | 2019 | $200,000 |
Garrison Investment Group LP and Garrison Capital Advisers LLC | | | investor protection violation | 2019 | $250,000 |
ED Capital Management, LLC | | | investor protection violation | 2019 | $75,000 |
Bio Defense Corp. | | | investor protection violation | 2019 | $37,475,717 |
MetLife, Inc. | MetLife | financial services | investor protection violation | 2019 | $10,000,000 |
Blockchain of Things Inc. | | | investor protection violation | 2019 | $250,000 |
Jefferies LLC | Jefferies Financial Group | diversified | investor protection violation | 2019 | $3,918,000 |
Ericsson | Ericsson | telecommunications | Foreign Corrupt Practices Act | 2019 | $539,000,000 |
Iconix Brand Group Inc. | Iconix Brand Group | apparel | accounting fraud or deficiencies | 2019 | $5,500,000 |
MiMedx Group Inc. | MiMedx Group, Inc | medical equipment and supplies | accounting fraud or deficiencies | 2019 | $1,500,000 |
Palm Beach Atlantic Financial Group, LLC | | | investor protection violation | 2019 | $75,000 |
Global Corporate Strategies LLC | | | investor protection violation | 2019 | $4,120,000 |
Quantum Corporation | Quantum Corp. | electrical and electronic equipment | investor protection violation | 2019 | $1,000,000 |
Bluefin Trading, LLC | | | investor protection violation | 2019 | $303,638 |
Critical Trading, LLC | | | investor protection violation | 2019 | $219,092 |
Stonemor Partners L.P. and Stonemor GP LLC | | | investor protection violation | 2019 | $250,000 |
Kornitzer Capital Management, Inc. | | | investor protection violation | 2019 | $3,626,995 |
Calumet Specialty Products Partners, L.P. | Calumet Specialty Products | chemicals | investor protection violation | 2019 | $250,000 |
Credit Karma, Inc. | | | investor protection violation | 2018 | $160,000 |
Valor Capital Asset Management, LLC | | | investor protection violation | 2018 | $715,871 |
Financial Fiduciaries, LLC | | | investor protection violation | 2018 | $40,000 |
Equitystar Capital Management, LLC | | | investor protection violation | 2018 | $2,890,518 |
Dynamic Intelligence, Inc. | | | investor protection violation | 2018 | $228,552 |
Wedbush Securities Inc. | Wedbush Securities | financial services | investor protection violation | 2018 | $1,304,197 |
Americafirst Capital Management, LLC | | | investor protection violation | 2018 | $50,000 |
Gemini Fund Services, LLC | | | investor protection violation | 2018 | $400,000 |
Industrial and Commercial Bank of China Financial Services LLC | Industrial and Commercial Bank of China | financial services | investor protection violation | 2018 | $1,250,000 |
LKL Investment Counsel LLC | | | investor protection violation | 2018 | $100,000 |
BDO Canada | | | accounting fraud or deficiencies | 2018 | $50,000 |
KPMG | KPMG | business services | accounting fraud or deficiencies | 2018 | $241,305 |
Deloitte & Touche | Deloitte | business services | accounting fraud or deficiencies | 2018 | $99,057 |
Voya Holdings Inc. | Voya Financial | financial services | investor protection violation | 2018 | $3,600,000 |