Bank Leumi | Bank Leumi | financial services | investor protection violation | 2016 | $1,600,000 |
L3 Technologies Inc. | L3Harris Technologies | aerospace and military contracting | accounting fraud or deficiencies | 2017 | $1,600,000 |
American Infrastructure Funds LLC | | | investor protection violation | 2023 | $1,600,000 |
Crown Capital Securities, L.P. | | | investor protection violation | 2021 | $1,587,912 |
Ernst & Young LLP | Ernst & Young | business services | investor protection violation | 2007 | $1,587,170 |
Biomet Inc. | Zimmer Biomet | medical equipment and supplies | Foreign Corrupt Practices Act | 2012 | $1,586,032 |
Genesis Advisory Services Corp. and ABJ Societe Anonyme Corp. | | | investor protection violation | 2014 | $1,583,942 |
Golden State Equity Investors, Inc. | | | investor protection violation | 2009 | $1,577,579 |
FacePrint Global Solutions, Inc. | | | investor protection violation | 2008 | $1,573,825 |
AMMB Consultant Sendirian Berhad | | | investor protection violation | 2012 | $1,550,000 |
SG Americas Securities LLC | Societe Generale | financial services | investor protection violation | 2020 | $1,550,000 |
Morgan Stanley Smith Barney LLC | Morgan Stanley | financial services | investor protection violation | 2019 | $1,545,758 |
Aon Investments USA Inc. | Aon | financial services | investor protection violation | 2024 | $1,542,187 |
Lek Securities Corp. | | | investor protection violation | 2019 | $1,525,892 |
World Class Limousines, Inc. and 1-800-GET-LIMO, Inc. | | | investor protection violation | 2004 | $1,522,500 |
Bell Rock Capital, LLC | | | investor protection violation | 2023 | $1,509,048 |
Future Strategies Srl a/k/a Future Strategies International | | | investor protection violation | 2001 | $1,500,073 |
Home Loan Servicing Solutions Ltd. | | | accounting fraud or deficiencies | 2015 | $1,500,000 |
Trinity Capital Corporation | | | accounting fraud or deficiencies | 2015 | $1,500,000 |
UTStarcom, Inc. | | | Foreign Corrupt Practices Act | 2009 | $1,500,000 |
Lucent Technologies Inc. | Nokia | telecommunications | Foreign Corrupt Practices Act | 2007 | $1,500,000 |
Bear, Stearns & Co., Inc. | JPMorgan Chase | financial services | investor protection violation | 2006 | $1,500,000 |
Citigroup Global Markets, Inc. | Citigroup | financial services | investor protection violation | 2006 | $1,500,000 |
Goldman Sachs & Co. | Goldman Sachs | financial services | investor protection violation | 2006 | $1,500,000 |
J.P. Morgan Securities, Inc. | JPMorgan Chase | financial services | investor protection violation | 2006 | $1,500,000 |
Lehman Brothers Inc. | | | investor protection violation | 2006 | $1,500,000 |
Merrill Lynch, Pierce, Fenner & Smith Incorporated | Bank of America | financial services | investor protection violation | 2006 | $1,500,000 |
Morgan Stanley & Co. Incorporated/ Morgan Stanley DW Inc. | Morgan Stanley | financial services | investor protection violation | 2006 | $1,500,000 |
RBC Dain Rauscher Inc | Royal Bank of Canada | financial services | investor protection violation | 2006 | $1,500,000 |
Tyson Foods, Inc. | Tyson Foods | food products | accounting fraud or deficiencies | 2005 | $1,500,000 |
Grant Thornton LLP | Grant Thornton | business services | accounting fraud or deficiencies | 2004 | $1,500,000 |
MDC Partners | | | accounting fraud or deficiencies | 2017 | $1,500,000 |
Osiris Therapeutics | Smith & Nephew | medical equipment and supplies | accounting fraud or deficiencies | 2017 | $1,500,000 |
Blackrock Fund Advisors | BlackRock | financial services | investor protection violation | 2017 | $1,500,000 |
Federated Global Investment Management Corp. | | | investor protection violation | 2016 | $1,500,000 |
Barrett Business Services Inc. | Barrett Business Services | miscellaneous services | accounting fraud or deficiencies | 2018 | $1,500,000 |
Tangoe Inc. | Tangoe Inc. | information technology | accounting fraud or deficiencies | 2018 | $1,500,000 |
Herzog, Heine, Geduld, LLC | | | investor protection violation | 2006 | $1,500,000 |
Banc of America Investment Services, Inc., and Bacap Distributors, LLC | Bank of America | financial services | investor protection violation | 2005 | $1,500,000 |
Crowe LLP | | | accounting fraud or deficiencies | 2018 | $1,500,000 |
Santander Consumer USA Holdings Inc. | Banco Santander | financial services | investor protection violation | 2018 | $1,500,000 |
Virtu Americas LLC | Virtu Financial | financial services | investor protection violation | 2019 | $1,500,000 |
MiMedx Group Inc. | MiMedx Group, Inc | medical equipment and supplies | accounting fraud or deficiencies | 2019 | $1,500,000 |
Fulton Financial Corporation | Fulton Financial | financial services | investor protection violation | 2020 | $1,500,000 |
GWFS Equities Inc. | | | anti-money-laundering deficiencies | 2021 | $1,500,000 |
BNY Mellon Investment Adviser, Inc. | Bank of New York Mellon | financial services | investor protection violation | 2022 | $1,500,000 |
Perceptive Advisors LLC | | | investor protection violation | 2022 | $1,500,000 |
Cantaloupe, Inc. | | | investor protection violation | 2023 | $1,500,000 |
Canoo Inc. | Canoo Inc. | motor vehicles | investor protection violation | 2023 | $1,500,000 |
Archipelago Trading Services Inc. | | | investor protection violation | 2023 | $1,500,000 |
TradeStation Crypto, Inc. | | | investor protection violation | 2024 | $1,500,000 |
Northern Star Investment Corp. II | | | investor protection violation | 2024 | $1,500,000 |
Hope Advisors, LLC | | | investor protection violation | 2018 | $1,487,235 |
Horseman Capital Management, L.P.? | | | investor protection violation | 2011 | $1,484,952 |
VCAP Securities | | | investor protection violation | 2015 | $1,477,332 |
Founders Financial Securities, LLC | | | investor protection violation | 2019 | $1,475,465 |
Wealth Management LLC | | | investor protection violation | 2010 | $1,471,002 |
BarnBridge DAO | | | investor protection violation | 2023 | $1,457,000 |
Mazuma Corporation et al. | | | investor protection violation | 2013 | $1,449,978 |
New Futures Trading International Corporation | | | investor protection violation | 2012 | $1,433,889 |
Global Telecom Services, L.L.C. d/b/a Medical Disposal Devices | | | investor protection violation | 2004 | $1,431,369 |
Independent Financial Group LLC | | | investor protection violation | 2019 | $1,426,150 |
Commonwealth Communications Group and Marjet Corp. | | | fraud | 2000 | $1,407,284 |
Assured International, Inc. and Sharp Financial Corp. | | | investor protection violation | 2000 | $1,407,217 |
Next Financial Group, Inc. | Atria Wealth Solutions | financial services | investor protection violation | 2019 | $1,405,349 |
Merrill Lynch, Pierce, Fenner & Smith Inc | Bank of America | financial services | investor protection violation | 2018 | $1,404,000 |
Colonial Fund LLC and Colonial Investment Management LLC | | | investor protection violation | 2009 | $1,400,000 |
SandRidge Energy, Inc. | SandRidge Energy | oil and gas | investor protection violation | 2016 | $1,400,000 |
MUFG Securities Americas Inc. | U.S. Bancorp | financial services | investor protection violation | 2018 | $1,400,000 |
The Bancorp, Inc. | | | investor protection violation | 2019 | $1,400,000 |
BGC Partners, Inc. | BGC Partners | financial services | investor protection violation | 2020 | $1,400,000 |
RTW Investments, LP | | | investor protection violation | 2023 | $1,400,000 |
Cantor Fitzgerald & Co. | Cantor Fitzgerald | financial services | investor protection violation | 2023 | $1,400,000 |
FX & Beyond Corporation | | | investor protection violation | 2018 | $1,392,656 |
Harbinger Capital Partners, LLC | | | investor protection violation | 2012 | $1,378,763 |
House Asset Management, L.L.C. and House Edge, L.P. | | | investor protection violation | 2005 | $1,375,767 |
Benjamin F. Edwards & Company, Inc. | | | investor protection violation | 2020 | $1,366,551 |
Pacific Air Transport | | | investor protection violation | 2001 | $1,364,692 |
Gartmore Investment Limited | | | investor protection violation | 2010 | $1,347,251 |
Platinum Wealth Partners, Inc. | | | investor protection violation | 2020 | $1,330,847 |
Wilmington Trust Investment Management, LLC | M&T Bank | financial services | investor protection violation | 2023 | $1,327,147 |
Fieldstone Financial Management Group LLC | | | investor protection violation | 2019 | $1,322,971 |
Westport Capital Markets, LLC | | | investor protection violation | 2021 | $1,320,761 |
Colonial Tidewater Realty Income Partners | | | investor protection violation | 2015 | $1,319,386 |
Secured Income Reserve, Inc. | | | fraud | 2016 | $1,318,476 |
American Portfolios Financial Services, Inc. and American Portfolios Advisors, Inc. | | | investor protection violation | 2020 | $1,305,660 |
Appaloosa Management L.P. | | | investor protection violation | 2010 | $1,304,523 |
Wedbush Securities Inc. | Wedbush Securities | financial services | investor protection violation | 2018 | $1,304,197 |
Touradji Capital Management, L.P. | | | investor protection violation | 2011 | $1,303,336 |
Koppers Holdings Inc. | Koppers | chemicals | investor protection violation | 2022 | $1,300,000 |
JustInfo LLC | | | fraud | 2017 | $1,293,675 |
Lefavi Wealth Management, Inc. | | | investor protection violation | 2019 | $1,288,735 |
GPS Partners, LLC | | | investor protection violation | 2010 | $1,284,171 |
Centaurus Financial, Inc. | | | investor protection violation | 2021 | $1,281,396 |
Deerfield Capital Corp. | | | accounting fraud or deficiencies | 2011 | $1,277,070 |
Texon Energy Corp. and Lonestar Petroleum Corp. | | | investor protection violation | 2002 | $1,268,253 |
Portfolio Advisors Alliance | | | investor protection violation | 2019 | $1,259,721 |
RAE Systems Inc. | Honeywell International | diversified | Foreign Corrupt Practices Act | 2010 | $1,250,000 |
Industrial and Commercial Bank of China Financial Services LLC | Industrial and Commercial Bank of China | financial services | investor protection violation | 2018 | $1,250,000 |
Moody's Investors Service, Inc. | Moody's | information technology | investor protection violation | 2018 | $1,250,000 |
Mizuho Securities USA LLC | Mizuho Financial | financial services | investor protection violation | 2018 | $1,250,000 |