Maxim Group, LLC | | | investor protection violation | 2023 | $800,000 |
Educators Financial Services, Inc. | | | investor protection violation | 2021 | $790,365 |
MiddleCove Capital, LLC | | | investor protection violation | 2013 | $788,118 |
Western Pacific Capital Management, LLC | | | investor protection violation | 2012 | $781,940 |
Jack Henry & Associates, Inc. | Jack Henry & Associates | information technology | accounting fraud or deficiencies | 2016 | $780,000 |
WCAS Management Corporation? | | | investor protection violation | 2018 | $778,819 |
Horter Investment Management, LLC | | | investor protection violation | 2017 | $778,804 |
Legendary Capital REIT III, LLC | | | investor protection violation | 2023 | $774,331 |
Green Tree Investment Group | | | investor protection violation | 2017 | $770,356 |
Welhouse & Associates, Inc. | | | investor protection violation | 2015 | $769,059 |
Cowen Prime Advisors LLC | | | investor protection violation | 2021 | $768,879 |
SCF Investment Advisors, Inc. | | | investor protection violation | 2020 | $767,192 |
Nu Skin Enterprises, Inc. | Nu Skin Enterprises | household and personal care products | investor protection violation | 2016 | $765,688 |
Highpoint Advisor Group, LLC | | | investor protection violation | 2022 | $764,737 |
Millennium Software Solutions, Inc. | | | investor protection violation | 2000 | $760,450 |
Centaurus Financial, Inc. | | | investor protection violation | 2023 | $755,499 |
Mesirow Financial Investment Management, Inc. | | | investor protection violation | 2022 | $752,834 |
Icon Capital | | | accounting fraud or deficiencies | 2016 | $750,000 |
Uni-Pixel Inc. | | | investor protection violation | 2016 | $750,000 |
Polycom Inc. | Plantronics | miscellaneous manufacturing | accounting fraud or deficiencies | 2015 | $750,000 |
JDA Software Group Inc. | New Mountain Capital | private equity (including portfolio companies) | accounting fraud or deficiencies | 2014 | $750,000 |
Universal Travel Group | | | accounting fraud or deficiencies | 2013 | $750,000 |
Long Term-Short Term Inc., d/b/a BetterTrades | | | investor protection violation | 2011 | $750,000 |
Endocare, Inc. | | | accounting fraud or deficiencies | 2006 | $750,000 |
Banc of America Securities LLC | Bank of America | financial services | investor protection violation | 2006 | $750,000 |
Deutsche Asset Management, Inc. | Deutsche Bank | financial services | investor protection violation | 2003 | $750,000 |
7S Oil & Gas, LLC | | | investor protection violation | 2017 | $750,000 |
Aegis Capital Corporation | | | anti-money-laundering deficiencies | 2018 | $750,000 |
Ark Asset Management Co., Inc. | | | investor protection violation | 2010 | $750,000 |
Deutsche Bank Trust Company Americas | Deutsche Bank | financial services | investor protection violation | 2007 | $750,000 |
The Bank Of New York | Bank of New York Mellon | financial services | investor protection violation | 2007 | $750,000 |
WBI Investments Inc. | | | investor protection violation | 2020 | $750,000 |
Crowe U.K. LLP | | | accounting fraud or deficiencies | 2023 | $750,000 |
Ralph Lauren Corporation | Ralph Lauren Corp. | apparel | Foreign Corrupt Practices Act | 2013 | $734,846 |
National Asset Management, Inc. | | | investor protection violation | 2019 | $733,423 |
H.D. Vest Investment Securities, Inc. | | | investor protection violation | 2004 | $725,216 |
HSBC Securities (USA) Inc. | HSBC | financial services | investor protection violation | 2020 | $725,000 |
Amaranth Advisors L.L.C. | | | investor protection violation | 2007 | $716,819 |
Commonwealth Communications Group | | | investor protection violation | 2001 | $716,516 |
ISC Advisors, Inc. | | | investor protection violation | 2021 | $716,345 |
Valor Capital Asset Management, LLC | | | investor protection violation | 2018 | $715,871 |
NPA Asset Management, LLC | | | investor protection violation | 2022 | $711,628 |
Kandi Technologies Group, Inc. | | | investor protection violation | 2023 | $710,000 |
Fifth Third Securities, Inc. | Fifth Third Bancorp | financial services | investor protection violation | 2023 | $709,971 |
Hold Brothers Online Investment Services, LLC | | | investor protection violation | 2017 | $707,764 |
PPS Advisors Inc. | | | investor protection violation | 2018 | $706,746 |
Cantella & Co., Inc. | | | investor protection violation | 2021 | $701,630 |
MusclePharm Corporation | | | accounting fraud or deficiencies | 2015 | $700,000 |
Microphase Corp. | | | investor protection violation | 2007 | $700,000 |
Ford Motor Credit Company | Ford Motor | motor vehicles | investor protection violation | 2005 | $700,000 |
Needham & Company, Inc. | | | investor protection violation | 2004 | $700,000 |
Instinet, LLC and INET ATS, Inc. | | | investor protection violation | 2005 | $700,000 |
UBS Securities LLC | UBS | financial services | investor protection violation | 2005 | $700,000 |
J.P. Morgan Securities Inc. | JPMorgan Chase | financial services | investor protection violation | 2005 | $700,000 |
Ault Alliance, Inc. | | | investor protection violation | 2023 | $700,000 |
Alpha Titans LLC | | | investor protection violation | 2015 | $698,450 |
Spark Trading Group LLC | | | investor protection violation | 2019 | $694,915 |
BTIG, LLC | | | investor protection violation | 2022 | $690,000 |
EyeCashNetworks, Inc. and Alliance Equities, Inc. | | | investor protection violation | 2003 | $688,230 |
Wall Street Access | | | investor protection violation | 2006 | $688,084 |
SA Stone Investment Advisors Inc. | | | investor protection violation | 2019 | $687,374 |
Womack Investment Advisers, Inc. | | | investor protection violation | 2022 | $677,955 |
Akamai Technologies | Akamai Technologies | information technology | Foreign Corrupt Practices Act | 2016 | $671,885 |
Valo Holdings Group | | | investor protection violation | 2023 | $668,240 |
D.E. Shaw & Co. | | | investor protection violation | 2013 | $667,492 |
Herman's World of Sports, Inc. | | | investor protection violation | 2005 | $663,685 |
Pan Capital AB | | | investor protection violation | 2013 | $662,497 |
Stracq, Inc. | | | investor protection violation | 2005 | $660,000 |
Frontier Wealth Management, LLC | | | investor protection violation | 2021 | $658,712 |
D.A. Davidson & Co. | | | investor protection violation | 2019 | $654,276 |
Alpine Woods Capital Investors, LLC | | | investor protection violation | 2011 | $650,000 |
Wireline, Inc. | | | investor protection violation | 2021 | $650,000 |
Belden Inc. | Belden | industrial equipment | investor protection violation | 2020 | $650,000 |
Nano-X Imaging Ltd. | | | investor protection violation | 2023 | $650,000 |
World Tree Financial, LLC | | | investor protection violation | 2021 | $647,947 |
Cantor Fitzgerald & Co. | Cantor Fitzgerald | financial services | investor protection violation | 2019 | $647,000 |
Essex Financial Services Inc. | | | investor protection violation | 2019 | $645,000 |
Millennium Management LLC | | | investor protection violation | 2017 | $638,709 |
OneStep Financial Services, LLC | | | investor protection violation | 2022 | $631,179 |
Millennium Management LLC | | | investor protection violation | 2017 | $630,000 |
BroCo Investments, Inc. | | | accounting fraud or deficiencies | 2010 | $627,633 |
Vision Financial Markets LLC | | | anti-money-laundering deficiencies | 2019 | $625,000 |
Ambassador Advisors, LLC | | | investor protection violation | 2022 | $622,642 |
Verto Capital Management LLC | | | investor protection violation | 2018 | $620,594 |
Auriga Global Investors, Sociedad de Valores, S.A. | | | investor protection violation | 2015 | $618,401 |
Bio-Heal Laboratories, Inc. | | | investor protection violation | 2006 | $618,135 |
GE InVision, Inc. | | | Foreign Corrupt Practices Act | 2005 | $617,703 |
Esos Rings, Inc. | | | investor protection violation | 2023 | $613,319 |
Gilford Securities, Incorporated | | | investor protection violation | 2011 | $612,113 |
Securities America Advisors, Inc. | Reverence Capital Partners | private equity (including portfolio companies) | investor protection violation | 2020 | $603,776 |
Phoenix Companies | | | accounting fraud or deficiencies | 2016 | $600,000 |
Nature's Sunshine Products Inc. | Nature's Sunshine Products | household and personal care products | Foreign Corrupt Practices Act | 2009 | $600,000 |
Beacon Hill Asset Management, LLC | | | investor protection violation | 2004 | $600,000 |
Raymond James & Associates | Raymond James Financial | financial services | investor protection violation | 2016 | $600,000 |
Hilton Worldwide Holdings Inc. | Hilton Worldwide | hotels | accounting fraud or deficiencies | 2020 | $600,000 |
Credit Suisse Securities (USA) LLC | UBS | financial services | investor protection violation | 2020 | $600,000 |
First Guaranty Bancshares, Inc. | | | investor protection violation | 2023 | $600,000 |
Landaas & Company | | | investor protection violation | 2018 | $598,941 |
Spire Wealth Mangement, LLC | | | investor protection violation | 2019 | $594,072 |
Lakeside Capital Management, LLC | | | investor protection violation | 2014 | $590,152 |
Equity Services Inc. | | | investor protection violation | 2019 | $587,017 |