Natixis Securities Americas LLC | | | investor protection violation | 2018 | $1,250,000 |
Nationwide Life Insurance Company | Nationwide | financial services | investor protection violation | 2015 | $8,000,000 |
National Trust and Fiduciary Services Company, Inc. | | | investor protection violation | 2023 | $346,799 |
National Stock Transfer Inc. | | | investor protection violation | 2000 | $5,000 |
National Securities Corporation | | | investor protection violation | 2014 | $60,000 |
National Investment Enterprises, Inc. | | | fraud | 2004 | $2,602,490 |
National Institute Companies of America, Inc. | | | investor protection violation | 2004 | $1,600,000 |
National Financial Services LLC | | | investor protection violation | 2020 | $2,461,193 |
National Clearing Corporation | | | investor protection violation | 2006 | $2,000,000 |
National Beverage Corp. | National Beverage Corp. | beverages | investor protection violation | 2021 | $481,920 |
National Asset Management, Inc. | | | investor protection violation | 2019 | $733,423 |
NATCO Group Inc. | Schlumberger | oilfield services and supplies | Foreign Corrupt Practices Act | 2010 | $65,000 |
NASDAQ Stock Market, LLC and NASDAQ Execution Services, LLC | Nasdaq Inc. | financial services | investor protection violation | 2013 | $10,000,000 |
Nano-X Imaging Ltd. | | | investor protection violation | 2023 | $650,000 |
N.V.N.G. Investments, Inc. | | | investor protection violation | 2022 | $15,000 |
Mylan N.V. | Viatris | pharmaceuticals | investor protection violation | 2019 | $30,000,000 |
MVP Manager LLC | | | investor protection violation | 2019 | $249,739 |
Mutual Coin Fund LLC | | | investor protection violation | 2019 | $10,000 |
MusclePharm Corporation | | | accounting fraud or deficiencies | 2015 | $700,000 |
Murchinson Ltd. | | | investor protection violation | 2021 | $8,878,183 |
Municipal Finance Services, Inc. | | | investor protection violation | 2017 | $50,000 |
Municipal Capital Markets Group, Inc. | | | investor protection violation | 2016 | $60,000 |
MUFG Securities Americas Inc. | U.S. Bancorp | financial services | investor protection violation | 2018 | $1,400,000 |
MRA Advisory Group | | | investor protection violation | 2023 | $85,000 |
Mount Kellett Capital Management LP? | | | investor protection violation | 2018 | $160,000 |
Motorola Inc. | Motorola Solutions | telecommunications | accounting fraud or deficiencies | 2007 | $25,000,000 |
Motilal Oswal Securities Limited | | | investor protection violation | 2012 | $821,594 |
Mosaic Capital, LLC | | | investor protection violation | 2019 | $250,000 |
Mortgage Industry Advisory Corporation | | | investor protection violation | 2023 | $100,000 |
Morningstar Credit Ratings, LLC | Morningstar Inc. | miscellaneous services | investor protection violation | 2020 | $3,500,000 |
Morningstar Credit Ratings, LLC | Morningstar Inc. | miscellaneous services | investor protection violation | 2022 | $1,150,000 |
Morgan Wilshire Securities, Inc. | | | investor protection violation | 2020 | $179,017 |
Morgan Stanley Smith Barney, LLC | Morgan Stanley | financial services | investor protection violation | 2019 | $225,000 |
Morgan Stanley Smith Barney LLC | Morgan Stanley | financial services | investor protection violation | 2016 | $1,000,000 |
Morgan Stanley Smith Barney LLC | Morgan Stanley | financial services | investor protection violation | 2019 | $1,545,758 |
Morgan Stanley Smith Barney LLC | Morgan Stanley | financial services | investor protection violation | 2020 | $5,000,000 |
Morgan Stanley Smith Barney LLC | Morgan Stanley | financial services | investor protection violation | 2022 | $35,000,000 |
Morgan Stanley Smith Barney | Morgan Stanley | financial services | investor protection violation | 2017 | $13,000,000 |
Morgan Stanley Smith Barney | Morgan Stanley | financial services | investor protection violation | 2017 | $2,963,735 |
Morgan Stanley Smith Barney | Morgan Stanley | financial services | investor protection violation | 2017 | $8,000,000 |
Morgan Stanley Smith Barney | Morgan Stanley | financial services | investor protection violation | 2018 | $3,600,000 |
Morgan Stanley Investment Management | Morgan Stanley | financial services | investor protection violation | 2015 | $8,800,000 |
Morgan Stanley Investment Management | Morgan Stanley | financial services | investor protection violation | 2011 | $3,300,000 |
Morgan Stanley DW Inc. | Morgan Stanley | financial services | investor protection violation | 2003 | $50,000,000 |
Morgan Stanley & Co. LLC | Morgan Stanley | financial services | investor protection violation | 2014 | $4,000,000 |
Morgan Stanley & Co. LLC | Morgan Stanley | financial services | investor protection violation | 2015 | $500,000 |
Morgan Stanley & Co. LLC | Morgan Stanley | financial services | investor protection violation | 2016 | $7,500,000 |
Morgan Stanley & Co. LLC | Morgan Stanley | financial services | investor protection violation | 2020 | $5,000,000 |
Morgan Stanley & Co. LLC | Morgan Stanley | financial services | investor protection violation | 2022 | $125,000,000 |
Morgan Stanley & Co. LLC | Morgan Stanley | financial services | investor protection violation | 2024 | $83,000,000 |
Morgan Stanley & Co. Incorporated/ Morgan Stanley DW Inc. | Morgan Stanley | financial services | investor protection violation | 2006 | $1,500,000 |
Morgan Stanley & Co. Incorporated | Morgan Stanley | financial services | investor protection violation | 2007 | $7,957,200 |
Morgan Stanley & Co. Incorporated | Morgan Stanley | financial services | investor protection violation | 2003 | $125,000,000 |
Morgan Stanley & Co. Incorporated | Morgan Stanley | financial services | data submission deficiencies | 2002 | $1,650,000 |
Morgan Stanley & Co. Incorporated | Morgan Stanley | financial services | investor protection violation | 2000 | $2,500,000 |
Morgan Stanley & Co. Incorporated | Morgan Stanley | financial services | investor protection violation | 2007 | $17,000,000 |
Morgan Stanley & Co. Incorporated | Morgan Stanley | financial services | investor protection violation | 2007 | $7,500,000 |
Morgan Stanley & Co. | Morgan Stanley | financial services | investor protection violation | 2006 | $10,000,000 |
Morgan Stanley & Co. | Morgan Stanley | financial services | data submission deficiencies | 2006 | $10,000,000 |
Morgan Stanley & Co. | Morgan Stanley | financial services | investor protection violation | 2005 | $40,000,000 |
Morgan Stanley | Morgan Stanley | financial services | toxic securities abuses | 2014 | $275,000,000 |
Morgan Stanley | Morgan Stanley | financial services | investor protection violation | 2009 | $500,000 |
Morgan Keegan & Company, Inc. | Raymond James Financial | financial services | investor protection violation | 2006 | $125,000 |
Morgan Keegan & Company | Raymond James Financial | financial services | toxic securities abuses | 2011 | $200,000,000 |
Morgan Keegan & Co., Inc. | Raymond James Financial | financial services | investor protection violation | 2004 | $875,000 |
Morgan Keegan & Co., Inc. | Raymond James Financial | financial services | investor protection violation | 2006 | $558,806 |
Moret Ernst & Young Accountants | | | accounting fraud or deficiencies | 2002 | $400,000 |
Moors & Cabot, Inc. | | | investor protection violation | 2023 | $1,899,456 |
Moon River Studios, Inc. | | | investor protection violation | 2018 | $1,824,368 |
Moon Capital Management, LP? | | | investor protection violation | 2008 | $139,071 |
Moody's Investors Service, Inc. | Moody's | information technology | investor protection violation | 2018 | $1,250,000 |
Moody's Investors Service, Inc. | Moody's | information technology | investor protection violation | 2018 | $15,000,000 |
Montgomery Street Research, LLC | | | investor protection violation | 2015 | $342,718 |
Monster Worldwide, Inc. | Randstad | business services | accounting fraud or deficiencies | 2009 | $2,500,000 |
Monster Arts Inc. | | | investor protection violation | 2014 | $25,000 |
Monsoon Capital, LLC | | | investor protection violation | 2020 | $100,000 |
Monsanto Company | Bayer | chemicals | accounting fraud or deficiencies | 2016 | $80,000,000 |
Monsanto Company | Bayer | chemicals | Foreign Corrupt Practices Act | 2005 | $500,000 |
Monroe Capital Management Advisors, LLC | | | investor protection violation | 2023 | $1,000,000 |
Monomoy Capital Management, L.P. | Monomoy Capital Partners | private equity (including portfolio companies) | investor protection violation | 2020 | $1,926,579 |
Monolith Resources LLC | | | workplace whistleblower retaliation | 2023 | $225,000 |
Monness, Crespi, Hardt & Co., Inc. | | | investor protection violation | 2014 | $150,000 |
Monex Asset Management Inc. | | | investor protection violation | 2024 | $30,000 |
Mondial Ventures Inc. | | | investor protection violation | 2014 | $50,000 |
Mondelez International, Inc. | Mondelez International | food products | accounting fraud or deficiencies | 2017 | $13,000,000 |
Momentus Inc. | | | investor protection violation | 2021 | $7,000,000 |
Momentum Investment Partners LLC dba Avatar Investment Management | | | investor protection violation | 2017 | $193,676 |
Moloney Securities Co., Inc. | | | investor protection violation | 2016 | $41,500 |
Mohlman Asset Management, LLC and Mohlman Asset Management Fund, LLC | | | investor protection violation | 2017 | $100,937 |
Moelis & Company LLC | | | investor protection violation | 2023 | $10,000,000 |
ModusLink Global Solutions Inc. | Steel Connect Inc. | freight and logistics | accounting fraud or deficiencies | 2016 | $1,600,000 |
Modern Portfolio Management Inc. | | | investor protection violation | 2013 | $175,000 |
Mobile TeleSystems PJSC | Mobile TeleSystems PJSC | telecommunications | Foreign Corrupt Practices Act | 2019 | $100,000,000 |
MML Investors Services, LLC | Massachusetts Mutual Life Insurance | financial services | investor protection violation | 2021 | $2,109,458 |
MKJJ Consulting LLC | | | investor protection violation | 2017 | $2,973,916 |
Mizuho Securities USA LLC | Mizuho Financial | financial services | investor protection violation | 2018 | $1,250,000 |
Mizuho Securities USA LLC | Mizuho Financial | financial services | investor protection violation | 2023 | $25,000,000 |
Mizuho Financial Group | Mizuho Financial | financial services | investor protection violation | 2012 | $127,500,000 |
Mitsubishi UFJ Securities (USA), Inc. | Mitsubishi UFJ Financial Group | financial services | investor protection violation | 2016 | $20,000 |
MIO Partners Inc. | | | investor protection violation | 2021 | $18,000,000 |
Minot DeBlois Advisors LLC | | | investor protection violation | 2021 | $97,523 |