Coastal Equities, Inc. and Coastal Investment Advisors, Inc. | | | investor protection violation | 2017 | $80,000 |
Horter Investment Management, LLC | | | investor protection violation | 2017 | $778,804 |
Institutional Investor Advisers, Inc. | | | investor protection violation | 2017 | $200,000 |
Brahman Capital Corp. | | | investor protection violation | 2017 | $250,000 |
Gray Financial Group, Inc. | | | investor protection violation | 2017 | $401,298 |
Millennium Management LLC | | | investor protection violation | 2017 | $638,709 |
Canterbury Consulting, Inc. | | | investor protection violation | 2017 | $172,986 |
Loop Capital Markets, LLC | | | investor protection violation | 2017 | $25,000 |
Success Holding Group International, Inc. | | | investor protection violation | 2017 | $139,737 |
SIX Financial Information USA Inc. | | | investor protection violation | 2017 | $107,707 |
LBMZ Securities, Inc. | | | investor protection violation | 2017 | $240,000 |
VisionPoint Advisory Group, LLC | | | investor protection violation | 2017 | $45,000 |
360 Financial, Inc. | | | investor protection violation | 2017 | $40,000 |
TRH Financial LLC | | | investor protection violation | 2017 | $35,000 |
Sagent Wealth Management, LLC | | | investor protection violation | 2017 | $181,110 |
Howarth Financial Services, LLC | | | investor protection violation | 2017 | $203,444 |
JL Capital Management | | | investor protection violation | 2017 | $278,289 |
Potomac Asset Management Company, Inc | | | investor protection violation | 2017 | $300,000 |
Envoy Advisory, Inc. | | | investor protection violation | 2017 | $51,892 |
Municipal Finance Services, Inc. | | | investor protection violation | 2017 | $50,000 |
O'Connor & Company Securities, Inc. | | | investor protection violation | 2017 | $150,000 |
Vertical Capital Asset Management, LLC | | | investor protection violation | 2017 | $9,034,957 |
Ironridge Global Partners, LLC and Ironridge Global IV, Ltd. | | | investor protection violation | 2017 | $4,400,000 |
Institutional Investors Advisory Company | | | investor protection violation | 2017 | $843,187 |
Capital Dynamics, Inc. | | | investor protection violation | 2017 | $275,000 |
Coachman Energy Partners LLC | | | investor protection violation | 2017 | $941,507 |
Cadaret and Grant & Co., Inc. | | | investor protection violation | 2017 | $3,048,000 |
Columbia River Advisors, LLC | | | investor protection violation | 2017 | $80,000 |
Windsor Street Capital, L.P. fka Meyers Associates | | | investor protection violation | 2017 | $200,000 |
Bradway Financial, LLC and Bradway Capital Management, LLC | | | investor protection violation | 2017 | $150,000 |
Umbrella Research, LLC | | | investor protection violation | 2017 | $16,676 |
Paramount Group Real Estate Advisor LLC | | | investor protection violation | 2017 | $250,000 |
Landwin Management, LLC | | | investor protection violation | 2017 | $75,000 |
Bantry Bay Capital, LLC | | | investor protection violation | 2017 | $100,000 |
Resilience Management, LLC | | | investor protection violation | 2017 | $250,000 |
Wm Smith & Co. | | | investor protection violation | 2017 | $50,000 |
Bonwick Capital Partners, LLC | | | investor protection violation | 2017 | $50,000 |
New York REIT, Inc. and New York Recovery Advisors, LLC | | | investor protection violation | 2017 | $165,000 |
Windsor Street Capital, L.P. fka Meyers Associates | | | investor protection violation | 2017 | $10,000 |
Tellone Management Group, Inc. | | | investor protection violation | 2017 | $75,000 |
Calvert Investment Distributors, Inc. and Calvert Investment Management, Inc. | | | investor protection violation | 2017 | $22,614,534 |
William Blair & Company, L.L.C. | | | investor protection violation | 2017 | $4,500,000 |
Lebenthal & Co., LLC | | | investor protection violation | 2017 | $150,000 |
Wilson-Davis & Company, Inc. | | | investor protection violation | 2017 | $310,713 |
Lion Biotechnologies, Inc. | | | investor protection violation | 2017 | $100,000 |
Lawson Financial Corporation | | | investor protection violation | 2017 | $396,652 |
Cygs, LLC | | | investor protection violation | 2017 | $60,879 |
Covenant Financial Services, LLC | | | investor protection violation | 2017 | $144,845 |
Louis Capital Markets, LP | | | investor protection violation | 2017 | $2,500,000 |
MKJJ Consulting LLC | | | investor protection violation | 2017 | $2,973,916 |
Angel Oak Capital Partners, LLC | | | investor protection violation | 2017 | $3,666,370 |
Lone Star Value Management and Heartland Advisors | | | investor protection violation | 2017 | $300,000 |
Jaypee International, Inc. | | | investor protection violation | 2017 | $25,000 |
Jeffrey Slocum & Associates, Inc. | | | investor protection violation | 2017 | $300,000 |
Olde Monmouth Stock Transfer Co., Inc. | | | investor protection violation | 2017 | $126,183 |
Palestra Capital Management LLC | | | investor protection violation | 2017 | $180,968 |
Mer Telemanagement Solutions Ltd. | | | investor protection violation | 2017 | $50,000 |
Centre Partners Management, LLC | | | investor protection violation | 2017 | $50,000 |
Essex Financial Services, Inc. | | | investor protection violation | 2017 | $183,181 |
Berman & Company, P.A. | | | investor protection violation | 2017 | $25,000 |
Empire Stock Transfer, Inc. | | | investor protection violation | 2016 | $154,239 |
M2 Law Professional Corp. | | | investor protection violation | 2016 | $154,267 |
TPG Advisors LLC | | | investor protection violation | 2016 | $328,437 |
New Silk Route Advisors, L.P. | | | investor protection violation | 2016 | $275,000 |
Grassi & Co., CPAs and P.C. | | | investor protection violation | 2016 | $401,510 |
PMB Helin Donovan, LLP | | | investor protection violation | 2016 | $160,000 |
OTC Global Partners, LLC | | | investor protection violation | 2016 | $87,499 |
Henning-Carey Proprietary Trading, LLC | | | investor protection violation | 2016 | $110,000 |
Hope Capital, Inc. | | | investor protection violation | 2016 | $579,747 |
Dupree Financial Group, LLC | | | investor protection violation | 2016 | $25,000 |
Elray Resources, Inc. | | | investor protection violation | 2016 | $50,000 |
Moloney Securities Co., Inc. | | | investor protection violation | 2016 | $41,500 |
Altair Nanotechnologies, Inc. | | | investor protection violation | 2016 | $250,000 |
Bluefire Renewables, Inc. | | | investor protection violation | 2016 | $25,000 |
Connexus Corporation | | | investor protection violation | 2016 | $50,000 |
Aviva Investors Americas, LLC | | | investor protection violation | 2016 | $250,000 |
Wilmington Savings Fund Society, FSB | | | investor protection violation | 2016 | $375,000 |
3C Advisors & Associates, Inc. | | | investor protection violation | 2016 | $7,500 |
First Reserve Management, L.P. | | | investor protection violation | 2016 | $3,500,000 |
Orinda Asset Management, LLC | | | investor protection violation | 2016 | $75,000 |
AssetMark, Inc. | | | investor protection violation | 2016 | $500,000 |
Congress Wealth Management LLC | | | investor protection violation | 2016 | $100,000 |
Constellation Wealth Advisors LLC | | | investor protection violation | 2016 | $100,000 |
Risk Paradigm Group, LLC | | | investor protection violation | 2016 | $100,000 |
Executive Monetary Management, LLC | | | investor protection violation | 2016 | $100,000 |
W.L. Lyons, LLC | | | investor protection violation | 2016 | $200,000 |
HT Partners LLC | | | investor protection violation | 2016 | $100,000 |
Banyan Partners, LLC | | | investor protection violation | 2016 | $200,000 |
Prospera Financial Services, Inc. | | | investor protection violation | 2016 | $100,000 |
Schneider Downs Wealth Management Advisors, LP | | | investor protection violation | 2016 | $100,000 |
Shamrock Asset Management LLC | | | investor protection violation | 2016 | $200,000 |
Delaney Equity Group LLC | | | investor protection violation | 2016 | $20,000 |
Fortius Financial Advisors, LLC | | | investor protection violation | 2016 | $94,070 |
Concert Global Group Limited and Concert Wealth Management, Inc. | | | investor protection violation | 2016 | $120,000 |
Washington Wealth Management, LLC | | | investor protection violation | 2016 | $50,000 |
Advantage Investment Management, LLC | | | investor protection violation | 2016 | $60,000 |
Riverfront Investment Group, LLC | | | investor protection violation | 2016 | $300,000 |
Secondmarket, Inc. | | | investor protection violation | 2016 | $53,755 |
WFG Advisors, L.P. | | | investor protection violation | 2016 | $100,000 |
Ross, Sinclaire & Associates, LLC | | | investor protection violation | 2016 | $903,574 |
Simpson Hughes Financial, LLC | | | investor protection violation | 2016 | $287,119 |