Donaldson, Lufkin & Jenrette Securities Corp. | UBS | financial services | investor protection violation | 2004 | $1,000,000 |
JC Management, Inc. | | | investor protection violation | 2004 | $27,991 |
Connecticut Capital Markets, L.L.C. | | | investor protection violation | 2004 | $259,110 |
SEI Investments Distribution Company and SEI Investments Company | | | investor protection violation | 2004 | $375,000 |
Goldman Sachs & Co. | Goldman Sachs | financial services | investor protection violation | 2004 | $2,000,000 |
Fidelity National Capital Investors, Inc. | | | investor protection violation | 2004 | $125,000 |
Freedom Financial, Inc. | | | investor protection violation | 2004 | $25,000 |
David Lerner Associates, Inc. | | | investor protection violation | 2004 | $50,000 |
Nevis Capital Management, LLC | | | investor protection violation | 2004 | $1,700,000 |
Hard Asset Management, Inc. | | | investor protection violation | 2004 | $62,439 |
Celebrity Resorts and Casinos, Inc. | | | investor protection violation | 2004 | $347,250 |
Research Investment Group, Inc. | | | investor protection violation | 2004 | $24,721 |
Vivendi Universal, S.A. | Comcast | telecommunications | accounting fraud or deficiencies | 2003 | $50,000,000 |
Canadian Imperial Bank of Commerce | Canadian Imperial Bank of Commerce | financial services | accounting fraud or deficiencies | 2003 | $80,000,000 |
Alliance Capital Management L.P. | Equitable Holdings | financial services | investor protection violation | 2003 | $250,000,000 |
Morgan Stanley DW Inc. | Morgan Stanley | financial services | investor protection violation | 2003 | $50,000,000 |
Premier Marketing and Investments, Inc. | | | investor protection violation | 2003 | $4,497,451 |
J.P. Morgan Securities Inc. | JPMorgan Chase | financial services | investor protection violation | 2003 | $25,000,000 |
American International Group, Inc. | American International Group | financial services | accounting fraud or deficiencies | 2003 | $10,000,000 |
Schering-Plough Corporation | Merck | pharmaceuticals | investor protection violation | 2003 | $1,000,000 |
Gardere Wynne Sewell LLP | | | accounting fraud or deficiencies | 2003 | $2,000,000 |
Goldman Sachs | Goldman Sachs | financial services | investor protection violation | 2003 | $9,305,382 |
Massachusetts Financial Services Company | Sun Life Financial | financial services | investor protection violation | 2003 | $917,858 |
UBS PaineWebber, Inc. | UBS | financial services | investor protection violation | 2003 | $500,000 |
Deutsche Asset Management, Inc. | Deutsche Bank | financial services | investor protection violation | 2003 | $750,000 |
Lehman Brothers, Inc. | | | investor protection violation | 2003 | $2,500,000 |
SG Cowen Securities Corporation | Toronto-Dominion Bank | financial services | investor protection violation | 2003 | $5,000,000 |
Nutrition Superstores.Com, Inc. and Advanced Wound Care, Inc. | | | investor protection violation | 2003 | $10,500,000 |
Citigroup, Inc. | Citigroup | financial services | accounting fraud or deficiencies | 2003 | $101,000,000 |
Citigroup, Inc. | Citigroup | financial services | accounting fraud or deficiencies | 2003 | $19,000,000 |
J.P. Morgan Chase & Co. | JPMorgan Chase | financial services | accounting fraud or deficiencies | 2003 | $135,000,000 |
The Gaming Factory, Inc. | | | investor protection violation | 2003 | $2,100,102 |
Prudential Securities, Inc. | Wells Fargo | financial services | investor protection violation | 2003 | $382,000 |
WorldCom Inc. | Verizon Communications | telecommunications | accounting fraud or deficiencies | 2003 | $500,000,000 |
Stratcomm Media Ltd. | | | investor protection violation | 2003 | $45,400,000 |
PricewaterhouseCoopers LLP | PricewaterhouseCoopers | business services | accounting fraud or deficiencies | 2003 | $1,000,000 |
EyeCashNetworks, Inc. and Alliance Equities, Inc. | | | investor protection violation | 2003 | $688,230 |
Bear, Stearns & Co. Inc. | JPMorgan Chase | financial services | investor protection violation | 2003 | $80,000,000 |
Citigroup Global Markets Inc. f/k/a Salomon Smith Barney Inc. | Citigroup | financial services | investor protection violation | 2003 | $400,000,000 |
Credit Suisse First Boston LLC | UBS | financial services | investor protection violation | 2003 | $200,000,000 |
Goldman, Sachs & Co. | Goldman Sachs | financial services | investor protection violation | 2003 | $110,000,000 |
J.P. Morgan Securities Inc. | JPMorgan Chase | financial services | investor protection violation | 2003 | $80,000,000 |
Lehman Brothers Inc. | | | investor protection violation | 2003 | $80,000,000 |
Merrill Lynch, Pierce, Fenner & Smith, Incorporated | Bank of America | financial services | investor protection violation | 2003 | $200,000,000 |
Morgan Stanley & Co. Incorporated | Morgan Stanley | financial services | investor protection violation | 2003 | $125,000,000 |
U.S. Bancorp Piper Jaffray Inc. | Piper Sandler | financial services | investor protection violation | 2003 | $32,500,000 |
UBS Warburg LLC | UBS | financial services | investor protection violation | 2003 | $80,000,000 |
Merrill Lynch & Co. Inc. | Bank of America | financial services | accounting fraud or deficiencies | 2003 | $80,000,000 |
North American Medical Products, Inc. | | | investor protection violation | 2003 | $120,000 |
TrendsGroup International, Inc. | | | investor protection violation | 2003 | $445,691 |
Rhino Advisors Inc. | | | investor protection violation | 2003 | $1,000,000 |
Africa Gemstone Corporation | | | investor protection violation | 2003 | $242,840 |
Robertson Stephens Inc. | | | investor protection violation | 2003 | $33,000,000 |
FT Interactive Data | | | investor protection violation | 2003 | $125,000 |
Brut, LLC | Nasdaq Inc. | financial services | investor protection violation | 2003 | $45,000 |
Research Capital, LLC | | | investor protection violation | 2003 | $6,337 |
EquityAlert.com, Inc. and Innotech Corporation | | | investor protection violation | 2003 | $31,555 |
Mid-Ohio Securities Corp. | | | investor protection violation | 2003 | $25,000 |
Andover Brokerage, LLC | | | investor protection violation | 2003 | $151,876 |
Spear, Leeds & Kellogg, L.P. | Goldman Sachs | financial services | investor protection violation | 2003 | $450,000 |
Ascend Capital, LLC | | | investor protection violation | 2003 | $46,258 |
Jamison, Eaton & Wood, Inc. | | | investor protection violation | 2003 | $100,000 |
Baron Capital, Inc. | | | investor protection violation | 2003 | $2,000,000 |
Harvest Financial Corporation | | | investor protection violation | 2003 | $25,000 |
Syncor International Corporation | | | Foreign Corrupt Practices Act | 2002 | $500,000 |
Deutsche Bank Securities Inc. | Deutsche Bank | financial services | data submission deficiencies | 2002 | $1,650,000 |
Goldman, Sachs & Co. | Goldman Sachs | financial services | data submission deficiencies | 2002 | $1,650,000 |
Morgan Stanley & Co. Incorporated | Morgan Stanley | financial services | data submission deficiencies | 2002 | $1,650,000 |
Salomon Smith Barney Inc. | Morgan Stanley | financial services | data submission deficiencies | 2002 | $1,650,000 |
U.S. Bancorp Piper Jaffray Inc. | Piper Sandler | financial services | data submission deficiencies | 2002 | $1,650,000 |
ICN Pharmaceuticals, Inc. | Bausch Health | pharmaceuticals | accounting fraud or deficiencies | 2002 | $1,000,000 |
Siebel Systems, Inc. | Oracle | information technology | investor protection violation | 2002 | $250,000 |
Emsanet Internet Services, Inc. and Peter Restivo Inc. d/b/a U.S. Funding | | | investor protection violation | 2002 | $4,460,634 |
Anamar Communications, Inc. | | | investor protection violation | 2002 | $136,917 |
Basic Capital Management, Inc. | | | investor protection violation | 2002 | $850,000 |
Dynegy Inc. | Vistra Energy | utilities and power generation | accounting fraud or deficiencies | 2002 | $3,000,000 |
Tradamax Group, Inc. | | | fraud | 2002 | $149,408 |
Oxford Health Plans, Inc. | UnitedHealth Group | healthcare services | accounting fraud or deficiencies | 2002 | $250,000 |
PricewaterhouseCoopers LL | PricewaterhouseCoopers | business services | accounting fraud or deficiencies | 2002 | $5,000,000 |
Texon Energy Corp. and Lonestar Petroleum Corp. | | | investor protection violation | 2002 | $1,268,253 |
W.J. Nolan & Co., Inc. | | | investor protection violation | 2002 | $192,028 |
Moret Ernst & Young Accountants | | | accounting fraud or deficiencies | 2002 | $400,000 |
Gardere Wynne Sewell LLP | | | data submission deficiencies | 2002 | $1,200,000 |
Advance Local Development Corp. | | | investor protection violation | 2002 | $9,509,736 |
Commercial Express, LLC and Progressive Financial, Inc. | | | investor protection violation | 2002 | $23,032,869 |
Xerox Corporation | Xerox | miscellaneous services | accounting fraud or deficiencies | 2002 | $10,000,000 |
Big Country AGS, Inc. d/b/a AGS, Inc. | | | investor protection violation | 2002 | $242,840 |
iCapital Markets LLC | | | investor protection violation | 2002 | $6,300,000 |
Credit Suisse First Boston Corporation | UBS | financial services | investor protection violation | 2002 | $100,000,000 |
BellSouth Corporation | AT&T | telecommunications | Foreign Corrupt Practices Act | 2002 | $150,000 |
Financial Asset Management, Inc. | | | accounting fraud or deficiencies | 2002 | $25,000 |
Gemisys Corporation | | | investor protection violation | 2002 | $15,000 |
Millenium Capital Advisors of Pennsylvania, Inc | | | investor protection violation | 2002 | $50,000 |
Gintel Asset Management, Inc. and Gintel & Co. LLC | | | investor protection violation | 2002 | $175,000 |
U.S. Bancorp Piper Jaffray Inc. | Piper Sandler | financial services | investor protection violation | 2002 | $100,000 |
Back Bay Advisors, L.P. | | | investor protection violation | 2002 | $150,000 |
Renberg Capital Management, Inc. | | | investor protection violation | 2002 | $40,000 |
Dean Witter Reynolds Inc. | Morgan Stanley | financial services | investor protection violation | 2002 | $500,000 |
Vanderbilt Capital Advisors LLC | | | investor protection violation | 2002 | $125,000 |
RBC Dain Rauscher Incorporated | Royal Bank of Canada | financial services | investor protection violation | 2002 | $500,000 |
Knight Securities, L.P. | Virtu Financial | financial services | investor protection violation | 2002 | $75,000 |