Simpson Hughes Financial, LLC | | | investor protection violation | 2016 | $287,119 |
Feltl & Company, Inc. | | | investor protection violation | 2016 | $183,128 |
Apex Fund Services (US), Inc. | | | investor protection violation | 2016 | $171,836 |
2 West, Inc., et al. | | | investor protection violation | 2016 | $2,025,179 |
School Business Consulting, Inc | | | investor protection violation | 2016 | $30,000 |
Keygent LLC | | | investor protection violation | 2016 | $100,000 |
American Life, Inc. | | | investor protection violation | 2016 | $1,000,000 |
Blackstreet Capital Management, LLC | | | investor protection violation | 2016 | $2,622,737 |
Federated Global Investment Management Corp. | | | investor protection violation | 2016 | $1,500,000 |
Biscayne Capital International, LLC | | | investor protection violation | 2016 | $158,087 |
American Registrar & Transfer Company | | | investor protection violation | 2016 | $25,649 |
MaloneBailey, LL | | | investor protection violation | 2016 | $100,000 |
Santos, Postal & Company, P.C. | | | investor protection violation | 2016 | $29,076 |
Innovative Business Solutions, LLC | | | investor protection violation | 2016 | $357,986 |
Craig Scott Capital, LLC | | | investor protection violation | 2016 | $100,000 |
Thakkar CPA, PLLC | | | investor protection violation | 2016 | $359,487 |
Cambridge Investment Research Advisors, Inc. | | | investor protection violation | 2016 | $225,000 |
Canaccord Genuity Inc. | | | investor protection violation | 2016 | $550,198 |
Central States Capital Markets, LLC | | | investor protection violation | 2016 | $374,827 |
First Southwest Company, LLC | | | investor protection violation | 2016 | $222,400 |
Marco Investment Management, LLC | | | investor protection violation | 2016 | $232,345 |
Cantella & Co. | | | investor protection violation | 2016 | $100,000 |
IBC Funds, LLC | | | investor protection violation | 2016 | $2,482,850 |
United Bankers' Bank | | | investor protection violation | 2016 | $160,000 |
Roosevelt & Cross, Incorporated | | | investor protection violation | 2016 | $250,000 |
Municipal Capital Markets Group, Inc. | | | investor protection violation | 2016 | $60,000 |
D.A. Davidson & Co. | | | investor protection violation | 2016 | $500,000 |
Boenning & Scattergood, Inc. | | | investor protection violation | 2016 | $250,000 |
First Midstate Incorporated | | | investor protection violation | 2016 | $100,000 |
ARRG Corp. | | | investor protection violation | 2016 | $410,753 |
Equinox Fund Management, LLC | | | investor protection violation | 2016 | $400,000 |
Everhart Financial Group, Inc. | | | investor protection violation | 2016 | $305,407 |
Canarsie Capital, LLC | | | investor protection violation | 2015 | $3,494,938 |
DKM Certified Public Accountants, Inc. | | | investor protection violation | 2015 | $60,043 |
Messineo & Co., CPAs, LLC | | | investor protection violation | 2015 | $25,000 |
Bander Law Firm, PLLC | | | investor protection violation | 2015 | $273,184 |
Azarmehr Law Group | | | investor protection violation | 2015 | $57,965 |
Alpha Fiduciary, Inc. | | | investor protection violation | 2015 | $250,000 |
Cranshire Capital Advisors, LLC | | | investor protection violation | 2015 | $250,000 |
JH Partners, LLC | | | investor protection violation | 2015 | $225,000 |
Virtus Investment Advisers, Inc. | | | investor protection violation | 2015 | $16,500,000 |
Metis Wealth Advisors, LLC | | | investor protection violation | 2015 | $71,489 |
Cherokee Investment Partners, LLC and Cherokee Advisers, LLC | | | investor protection violation | 2015 | $100,000 |
Retirement Investment Advisors, Inc. and Research Holdings, LLC | | | investor protection violation | 2015 | $219,243 |
Welhouse & Associates, Inc. | | | investor protection violation | 2015 | $769,059 |
Latour Trading LLC | | | investor protection violation | 2015 | $8,053,439 |
Duncan-Williams, Inc | | | investor protection violation | 2015 | $250,000 |
Crews & Associates, Inc. | | | investor protection violation | 2015 | $250,000 |
Country Club Bank | | | investor protection violation | 2015 | $140,000 |
Commerce Bank Capital Markets Group | | | investor protection violation | 2015 | $40,000 |
NW Capital Markets Inc. | | | investor protection violation | 2015 | $100,000 |
Northland Securities, Inc. | | | investor protection violation | 2015 | $220,000 |
Mesirow Financial, Inc. | | | investor protection violation | 2015 | $100,000 |
Joe Jolly & Co., Inc. | | | investor protection violation | 2015 | $100,000 |
J.J.B. Hilliard and W.L. Lyons, LLC | | | investor protection violation | 2015 | $420,000 |
The Frazer Lanier Company, Incorporated | | | investor protection violation | 2015 | $100,000 |
Estrada Hinojosa & Company, Inc. | | | investor protection violation | 2015 | $40,000 |
Ross, Sinclaire & Associates, LLC | | | investor protection violation | 2015 | $220,000 |
Prager & Co., LLC | | | investor protection violation | 2015 | $100,000 |
Hyperdynamics Corporation | | | investor protection violation | 2015 | $75,000 |
G Asset Management, LLC | | | investor protection violation | 2015 | $175,000 |
R.T. Jones Capital Equities Management, Inc. | | | investor protection violation | 2015 | $75,000 |
Ditto Holdings, Inc. | | | investor protection violation | 2015 | $50,000 |
Mackensen & Company, Inc. | | | investor protection violation | 2015 | $100,000 |
Success Trade, Inc. and Success Trade Securities, Inc. | | | investor protection violation | 2015 | $26,158,214 |
Signator Investors, Inc. | | | investor protection violation | 2015 | $450,000 |
Acadia Asset Management, LLC | | | investor protection violation | 2015 | $354,115 |
Tri-Star Advisors, Inc. | | | investor protection violation | 2015 | $150,000 |
Parallax Investments, LLC | | | investor protection violation | 2015 | $200,000 |
Gold Mountain Management, LLC | | | investor protection violation | 2015 | $200,000 |
Montgomery Street Research, LLC | | | investor protection violation | 2015 | $342,718 |
Dion Money Management, LLC | | | investor protection violation | 2015 | $50,000 |
Wisteria Global, Inc. | | | investor protection violation | 2015 | $1,138,935 |
Cotterman-Wilson CPAs, Inc | | | investor protection violation | 2015 | $36,897 |
Pekin Singer Strauss Asset Management Inc | | | investor protection violation | 2015 | $150,000 |
Commonwealth Capital Management, LLC, et al. | | | investor protection violation | 2015 | $50,000 |
SFX Financial Advisory Management Enterprises, Inc. | | | investor protection violation | 2015 | $150,000 |
Trust & Investment Advisors, Inc. | | | investor protection violation | 2015 | $50,000 |
Alpha Titans LLC | | | investor protection violation | 2015 | $698,450 |
Houston American Energy Corp. | | | investor protection violation | 2015 | $400,000 |
StateTrust Investments, Inc. | | | investor protection violation | 2015 | $90,000 |
Kornitzer Capital Management, Inc. | | | investor protection violation | 2015 | $50,000 |
Global Fixed Income, LLC, et al. | | | investor protection violation | 2015 | $3,385,989 |
Keypoint Capital Management, LLC | | | investor protection violation | 2015 | $77,250 |
Coral Reef Media, LLC | | | investor protection violation | 2015 | $52,395 |
Stilwell Value LLC | | | investor protection violation | 2015 | $250,000 |
SMP Investments I, LLC | | | investor protection violation | 2015 | $63,750 |
Water Island Capital LLC | | | investor protection violation | 2015 | $50,000 |
Child, Van Wagoner & Bradshaw, PLLC | | | investor protection violation | 2015 | $130,506 |
New Line Capital, LLC | | | investor protection violation | 2015 | $25,000 |
Wyoming Investment Management Services, LLC | | | investor protection violation | 2015 | $10,000 |
International Capital Group, LLC | | | investor protection violation | 2015 | $3,170,054 |
First National Community Bancorp Inc | | | investor protection violation | 2015 | $175,000 |
Consulting Services Group, LLC | | | investor protection violation | 2015 | $150,000 |
Shelton Financial Group, Inc. | | | investor protection violation | 2015 | $190,066 |
EDGA Exchange, Inc. and EDGX Exchange, Inc. | | | investor protection violation | 2015 | $14,000,000 |
BDO Canada | | | accounting fraud or deficiencies | 2018 | $50,000 |
Edwin Shaw LLC | | | investor protection violation | 2018 | $544,744 |
Weinberg & Baer LLC | | | accounting fraud or deficiencies | 2018 | $62,899 |
Dedicated Sound and Audio, Inc. | | | investor protection violation | 2018 | $250,000 |
Choice Equity | | | investor protection violation | 2018 | $2,430,850 |