Spire Wealth Mangement, LLC | | | investor protection violation | 2019 | $594,072 |
Lockwood Advisors, Inc. | | | investor protection violation | 2019 | $52,187 |
Kestra Private Wealth Services, LLC | | | investor protection violation | 2019 | $549,003 |
Kestra Advisory Services, LLC | | | investor protection violation | 2019 | $6,196,279 |
Hazlett and Burt & Watson, Inc. | | | investor protection violation | 2019 | $123,456 |
Coastal Investment Advisors, Inc. | | | investor protection violation | 2019 | $76,144 |
Syndicated Capital, Inc. | | | investor protection violation | 2019 | $38,991 |
Silversage Advisors | | | investor protection violation | 2019 | $342,062 |
Private Portfolio, Inc. | | | investor protection violation | 2019 | $43,061 |
PlanMember Securities Corporation | | | investor protection violation | 2019 | $3,550,660 |
Popular Securities, LLC | | | investor protection violation | 2019 | $544,577 |
NBC Securities, Inc. | | | investor protection violation | 2019 | $426,119 |
Kovack Advisors, Inc. | | | investor protection violation | 2019 | $898,781 |
Calton & Associates, Inc. | | | investor protection violation | 2019 | $305,044 |
Benchmark Capital Advisors LLC | | | investor protection violation | 2019 | $45,182 |
Summit Financial Group, Inc. | | | investor protection violation | 2019 | $1,032,702 |
Northeast Asset Management, LLC | | | investor protection violation | 2019 | $150,982 |
EFG Asset Management (Americas) Corp. | | | investor protection violation | 2019 | $62,505 |
Provise Management Group, LLC | | | investor protection violation | 2019 | $297,423 |
MIAI, Inc. | | | investor protection violation | 2019 | $488,579 |
First Kentucky Securities Corporation | | | investor protection violation | 2019 | $132,651 |
Client One Securities, LLC | | | investor protection violation | 2019 | $35,275 |
National Asset Management, Inc. | | | investor protection violation | 2019 | $733,423 |
Investment Research Corp | | | investor protection violation | 2019 | $33,188 |
First National Capital Markets, Inc. | | | investor protection violation | 2019 | $138,117 |
Lasalle St. Investment Advisors, L.L.C. | | | investor protection violation | 2019 | $458,082 |
L.M. Kohn & Company | | | investor protection violation | 2019 | $586,882 |
Benjamin F. Edwards & Co., Inc. | | | investor protection violation | 2019 | $3,445,264 |
The Huntington Investment Company | | | investor protection violation | 2019 | $207,946 |
Robert W. Baird & Co. Incorporated | | | investor protection violation | 2019 | $4,149,167 |
Questar Asset Management, Inc. | | | investor protection violation | 2019 | $527,566 |
J.J.B. Hilliard and W.L. Lyons, LLC | | | investor protection violation | 2019 | $925,023 |
Hefren-Tilotson, Inc. | | | investor protection violation | 2019 | $371,697 |
Financial Management Strategies, Inc. | | | investor protection violation | 2019 | $185,083 |
Cambridge Investment Research Advisors, Inc. | | | investor protection violation | 2019 | $6,187,562 |
Blyth & Associates, Inc. | | | investor protection violation | 2019 | $103,071 |
Ryan Financial Advisors, Inc. | | | investor protection violation | 2019 | $258,670 |
Park Avenue Securities LLC | | | investor protection violation | 2019 | $564,267 |
Investmark Advisory Group LLC | | | investor protection violation | 2019 | $103,107 |
Investacorp Advisory Services, Inc. | | | investor protection violation | 2019 | $481,608 |
Infinex Investments, Inc. | | | investor protection violation | 2019 | $978,698 |
Commonwealth Equity Services, LLC | | | investor protection violation | 2019 | $1,637,303 |
Cantella & Co., Inc. | | | investor protection violation | 2019 | $919,597 |
Beacon Investment Management LLC | | | investor protection violation | 2019 | $165,848 |
SSN Advisory, Inc. | | | investor protection violation | 2019 | $1,666,950 |
SA Stone Investment Advisors Inc. | | | investor protection violation | 2019 | $687,374 |
First Citizens Investor Services, Inc. | | | investor protection violation | 2019 | $402,665 |
First Citizens Asset Management, Inc. | | | investor protection violation | 2019 | $62,418 |
DLL CPAS, LLC | | | investor protection violation | 2019 | $51,387 |
Katz, Sapper & Miller, LLP | | | investor protection violation | 2019 | $101,834 |
Centrais Eletricas Brasileiras S.A.? | | | Foreign Corrupt Practices Act | 2018 | $2,500,000 |
Lightyear Capital LLC | | | investor protection violation | 2018 | $400,000 |
BioElectronics, Corp. | | | investor protection violation | 2018 | $191,640 |
Thoroughbred Financial Services, LLC | | | investor protection violation | 2018 | $1,108,618 |
Sterling Global Strategies LLC | | | investor protection violation | 2018 | $175,000 |
Ancora Advisors LLC | | | investor protection violation | 2018 | $100,000 |
NB Alternatives Advisers LLC | | | investor protection violation | 2018 | $2,733,608 |
Yucaipa Master Manager, LLC | | | investor protection violation | 2018 | $2,934,312 |
Landaas & Company | | | investor protection violation | 2018 | $598,941 |
Frontier Oilfield Services, Inc. | | | investor protection violation | 2018 | $25,000 |
CoinAlpha Advisors LLC | | | investor protection violation | 2018 | $50,000 |
Fifth Street Management, LLC | | | investor protection violation | 2018 | $3,983,660 |
Spark Trading Group LLC | | | investor protection violation | 2019 | $694,915 |
Pinnacle Accountancy Group, PLLC | | | accounting fraud or deficiencies | 2019 | $300,000 |
Deer Park Road Management Company LP | | | investor protection violation | 2019 | $5,000,000 |
Wilson-Davis & Co., Inc. | | | investor protection violation | 2019 | $300,000 |
Corinthian Capital Group, LLC | | | investor protection violation | 2019 | $100,000 |
GT Advanced Technologies Inc. | | | investor protection violation | 2019 | $140,000 |
Charter Capital Management, LLC | | | investor protection violation | 2019 | $40,000 |
ZBS Group LLP | | | investor protection violation | 2019 | $48,461 |
Prosper Funding LLC | | | accounting fraud or deficiencies | 2019 | $3,000,000 |
Clear Scope Advisors, Inc. | | | investor protection violation | 2019 | $25,678 |
Mutual Coin Fund LLC | | | investor protection violation | 2019 | $10,000 |
Vision Financial Markets LLC | | | anti-money-laundering deficiencies | 2019 | $625,000 |
Sweetwater Investments, Inc. | | | investor protection violation | 2019 | $1,164,747 |
Tiber Creek Corp. | | | investor protection violation | 2019 | $209,797 |
Telefonica Brasil S.A. | | | Foreign Corrupt Practices Act | 2019 | $4,124,000 |
Account Management LLC | | | investor protection violation | 2019 | $100,000 |
AOC Securities LLC | | | investor protection violation | 2019 | $250,000 |
AR Capital LLC | | | investor protection violation | 2019 | $53,000,000 |
Bitqyck Inc. | | | investor protection violation | 2019 | $8,375,617 |
Brixmor Property Group Inc. | | | accounting fraud or deficiencies | 2019 | $7,000,000 |
Canaccord Genuity LLC | | | investor protection violation | 2019 | $250,000 |
Conn's Inc. | | | accounting fraud or deficiencies | 2019 | $1,100,000 |
Dale Scott & Company, Inc. | | | investor protection violation | 2019 | $25,000 |
DFRF Enterprises LLC and DFRF Enterprises, LLC | | | investor protection violation | 2019 | $19,390,352 |
EMS Capital LP | | | investor protection violation | 2019 | $317,415 |
Equal Earth, Inc. | | | investor protection violation | 2019 | $7,655,000 |
Fieldstone Financial Management Group LLC | | | investor protection violation | 2019 | $1,322,971 |
Financial Sherpa, Inc. | | | investor protection violation | 2019 | $436,861 |
Foundations Asset Management, LLC | | | investor protection violation | 2019 | $363,947 |
Guaranteed Investigations, Inc. | | | investor protection violation | 2019 | $16,846 |
ICO Rating | | | investor protection violation | 2019 | $268,998 |
IFS Securities | | | investor protection violation | 2019 | $50,000 |
Laurel Wealth Advisors, Inc. | | | investor protection violation | 2019 | $100,000 |
Lefavi Wealth Management, Inc. | | | investor protection violation | 2019 | $1,288,735 |
Mosaic Capital, LLC | | | investor protection violation | 2019 | $250,000 |
MVP Manager LLC | | | investor protection violation | 2019 | $249,739 |
RSM US LLP | | | accounting fraud or deficiencies | 2019 | $950,000 |
School Services of California, Inc. | | | investor protection violation | 2019 | $10,000 |
Spring Hill Capital Markets, LLC, et al. | | | investor protection violation | 2019 | $485,803 |