Columbia Management Investment Services Corp. | Ameriprise Financial | financial services | investor protection violation | 2017 | $250,000 |
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 |
Credit Karma, Inc. | | | investor protection violation | 2018 | $160,000 |
Valor Capital Asset Management, LLC | | | investor protection violation | 2018 | $715,871 |
Financial Fiduciaries, LLC | | | investor protection violation | 2018 | $40,000 |
Equitystar Capital Management, LLC | | | investor protection violation | 2018 | $2,890,518 |
Dynamic Intelligence, Inc. | | | investor protection violation | 2018 | $228,552 |
Wedbush Securities Inc. | Wedbush Securities | financial services | investor protection violation | 2018 | $1,304,197 |
Americafirst Capital Management, LLC | | | investor protection violation | 2018 | $50,000 |
Gemini Fund Services, LLC | | | investor protection violation | 2018 | $400,000 |
Industrial and Commercial Bank of China Financial Services LLC | Industrial and Commercial Bank of China | financial services | investor protection violation | 2018 | $1,250,000 |
LKL Investment Counsel LLC | | | investor protection violation | 2018 | $100,000 |
BDO Canada | | | accounting fraud or deficiencies | 2018 | $50,000 |
KPMG | KPMG | business services | accounting fraud or deficiencies | 2018 | $241,305 |
Deloitte & Touche | Deloitte | business services | accounting fraud or deficiencies | 2018 | $99,057 |
Voya Holdings Inc. | Voya Financial | financial services | investor protection violation | 2018 | $3,600,000 |
Merrill Lynch, Pierce, Fenner & Smith Inc | Bank of America | financial services | investor protection violation | 2018 | $1,404,000 |
New York Stock Exchange | IntercontinentalExchange Group | financial services | investor protection violation | 2018 | $14,000,000 |
Edwin Shaw LLC | | | investor protection violation | 2018 | $544,744 |
Weinberg & Baer LLC | | | accounting fraud or deficiencies | 2018 | $62,899 |
Deutsche Bank Securities Inc. | Deutsche Bank | financial services | investor protection violation | 2018 | $4,450,000 |
Ameriprise Financial Services | Ameriprise Financial | financial services | investor protection violation | 2018 | $230,000 |
Dedicated Sound and Audio, Inc. | | | investor protection violation | 2018 | $250,000 |
Choice Equity | | | investor protection violation | 2018 | $2,430,850 |
Southridge Capital Management LLC and Southridge Advisors LLC | | | investor protection violation | 2018 | $7,864,064 |
Elbit Imaging Ltd. | | | accounting fraud or deficiencies | 2018 | $500,000 |
Li & Co. | | | accounting fraud or deficiencies | 2018 | $70,143 |
Capital Cove Bancorp LLC | | | investor protection violation | 2018 | $1,829,868 |
PNC Investments LLC | PNC Financial Services | financial services | investor protection violation | 2018 | $7,307,770 |
Securities America Advisors Inc. | Reverence Capital Partners | private equity (including portfolio companies) | investor protection violation | 2018 | $5,828,448 |
Geneos Wealth Management Inc. | | | investor protection violation | 2018 | $1,808,121 |
CSIR Group, LLC | | | investor protection violation | 2018 | $17,142 |
Verto Capital Management LLC | | | investor protection violation | 2018 | $620,594 |
Aegis Capital Corporation | | | anti-money-laundering deficiencies | 2018 | $750,000 |
Maxwell Technologies, Inc. | Tesla Inc. | motor vehicles | accounting fraud or deficiencies | 2018 | $2,800,000 |
JH Darbie & Co. | | | accounting fraud or deficiencies | 2018 | $50,113 |
Kinross Gold Corporation | Kinross Gold | mining and minerals | Foreign Corrupt Practices Act | 2018 | $950,000 |
Electronic Transaction Clearing Inc. | | | investor protection violation | 2018 | $80,000 |
Securities Compliance Group, Ltd. | | | investor protection violation | 2018 | $27,655 |
Revolutionary Concepts, Inc. | | | investor protection violation | 2018 | $25,000 |
Panasonic Corp. | Panasonic | electrical and electronic equipment | Foreign Corrupt Practices Act | 2018 | $143,000,000 |
SEI Investments Global Funds Services | | | investor protection violation | 2018 | $225,000 |
Altaba Inc. | | | investor protection violation | 2018 | $35,000,000 |
WCAS Management Corporation? | | | investor protection violation | 2018 | $778,819 |
The Dun & Bradstreet Corporation | Dun & Bradstreet | information technology | Foreign Corrupt Practices Act | 2018 | $9,221,484 |
Arlington Capital Management, Inc. | | | investor protection violation | 2018 | $125,000 |
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 |
Legg Mason Inc. | Franklin Resources | financial services | Foreign Corrupt Practices Act | 2018 | $34,500,000 |
AEGON USA Investment Management LLC et al. | Aegon | financial services | investor protection violation | 2018 | $97,600,000 |
First Western Advisors | | | investor protection violation | 2018 | $202,767 |
Intertech Solutions, Inc. | | | investor protection violation | 2018 | $7,400,000 |
Merrill Lynch, Pierce, Fenner & Smith | Bank of America | financial services | investor protection violation | 2018 | $8,900,000 |
Citigroup | Citigroup | financial services | accounting fraud or deficiencies | 2018 | $10,500,000 |
Ameriprise Financial Services Inc. | Ameriprise Financial | financial services | investor protection violation | 2018 | $4,500,000 |
NW Capital Markets Inc. | | | investor protection violation | 2018 | $87,065 |
Ribbon Communications Inc. (fka Sonus Networks) | Ribbon Communications | telecommunications | investor protection violation | 2018 | $1,900,000 |
Mizuho Securities USA LLC | Mizuho Financial | financial services | investor protection violation | 2018 | $1,250,000 |
Deutsche Bank Trust Co. Americas and Deutsche Bank Securities Inc. | Deutsche Bank | financial services | investor protection violation | 2018 | $73,200,000 |
BGC Financial | | | accounting fraud or deficiencies | 2018 | $1,250,000 |
Credit Suisse Group AG | UBS | financial services | Foreign Corrupt Practices Act | 2018 | $29,700,000 |
KBR Inc. | KBR | construction and engineering | accounting fraud or deficiencies | 2018 | $2,500,000 |
Morgan Stanley Smith Barney | Morgan Stanley | financial services | investor protection violation | 2018 | $3,600,000 |
Alexander Capital L.P. | | | investor protection violation | 2018 | $410,987 |
Wells Fargo Advisors LLC | Wells Fargo | financial services | investor protection violation | 2018 | $5,108,441 |
Merrill Lynch, Pierce, Fenner & Smith | Bank of America | financial services | investor protection violation | 2018 | $42,000,000 |
Merrill Lynch, Pierce, Fenner & Smith Inc. | Bank of America | financial services | investor protection violation | 2018 | $15,700,000 |
deVere USA, Inc. | | | investor protection violation | 2018 | $8,000,000 |
Bachrach Asset Management Inc. | | | investor protection violation | 2018 | $75,000 |
Biglari Capital LLC | Biglari Holdings | diversified | investor protection violation | 2018 | $75,000 |
Brahma Management Ltd. | | | investor protection violation | 2018 | $75,000 |
Bristol Group Inc. | | | investor protection violation | 2018 | $75,000 |
CAI Managers & Co. L.P. | | | investor protection violation | 2018 | $75,000 |
Cherokee Investment Partners LLC | | | investor protection violation | 2018 | $75,000 |
Ecosystem Investment Partners LLC | | | investor protection violation | 2018 | $75,000 |
Elm Partners Management LLC | | | investor protection violation | 2018 | $75,000 |
HEP Management Corp. | | | investor protection violation | 2018 | $75,000 |
Prescott General Partners LLC | | | investor protection violation | 2018 | $75,000 |
RLJ Equity Partners LLC | | | investor protection violation | 2018 | $75,000 |
Rose Park Advisors LLC | | | investor protection violation | 2018 | $75,000 |
Veteri Place Corp. | | | investor protection violation | 2018 | $75,000 |
Chardan Capital Markets LLC | | | anti-money-laundering deficiencies | 2018 | $1,000,000 |
Industrial and Commercial Bank of China Financial Services LLC | Industrial and Commercial Bank of China | financial services | investor protection violation | 2018 | $860,000 |
Barcelona Strategies LLC | | | investor protection violation | 2018 | $542,120 |
Visium Asset Management LP | | | investor protection violation | 2018 | $10,120,711 |
Moon River Studios, Inc. | | | investor protection violation | 2018 | $1,824,368 |
Guardians Trustee, LLC | | | investor protection violation | 2018 | $179,253 |
Charles Schwab & Co., Inc. | Charles Schwab Corp. | financial services | investor protection violation | 2018 | $2,800,000 |
Malachi Financial Products, Inc. | | | investor protection violation | 2018 | $85,858 |
Texas Coastal Energy Company | | | investor protection violation | 2018 | $7,200,000 |
Aria Partners GP, LLC | | | investor protection violation | 2018 | $150,000 |
Biltmore Wealth Management, LLC | | | investor protection violation | 2018 | $183,043 |
Merrill Lynch, Pierce and Fenner & Smith Incorporated | Bank of America | financial services | investor protection violation | 2018 | $8,872,723 |
BKS Advisors LLC | | | investor protection violation | 2018 | $75,000 |