Disciplined Capital Management LLC | | | investor protection violation | 2021 | $25,000 |
Gutt Financial Management, LLC | | | investor protection violation | 2022 | $25,000 |
Hinsdale Associates, Inc. | | | investor protection violation | 2022 | $25,000 |
Personal Financial Planning, Inc. | | | investor protection violation | 2022 | $25,000 |
Stone Run Capital, LLC | | | investor protection violation | 2022 | $25,000 |
Watermark Securities, Inc. | | | investor protection violation | 2022 | $25,000 |
Adirondack Financial Services Corp. | | | investor protection violation | 2022 | $25,000 |
ARS Capital Advisors, Inc. | | | investor protection violation | 2022 | $25,000 |
Graystone Company Inc. | | | investor protection violation | 2023 | $25,000 |
SFLMaven Corp. | | | investor protection violation | 2023 | $25,000 |
Research Investment Group, Inc. | | | investor protection violation | 2004 | $24,721 |
Hologram USA Networks Inc. | | | investor protection violation | 2020 | $22,419 |
Sand Hill Exchange | | | investor protection violation | 2015 | $20,000 |
Greater Wenatchee Regional Events Center Public Facilities District | | | investor protection violation | 2013 | $20,000 |
PinkMonkey.com, Inc. | | | fraud | 2001 | $20,000 |
EquityAlert.com, Inc. | | | investor protection violation | 2000 | $20,000 |
JW Charles Financial Services, Inc. | | | investor protection violation | 2000 | $20,000 |
New Concepts, L.L.C. | | | investor protection violation | 2000 | $20,000 |
Delaney Equity Group LLC | | | investor protection violation | 2016 | $20,000 |
Mitsubishi UFJ Securities (USA), Inc. | Mitsubishi UFJ Financial Group | financial services | investor protection violation | 2016 | $20,000 |
Fifth Third Securities, Inc. | Fifth Third Bancorp | financial services | investor protection violation | 2015 | $20,000 |
Joseph Yafeh CPA, Inc. | | | accounting fraud or deficiencies | 2014 | $20,000 |
EM Capital Management, LLC? | | | investor protection violation | 2012 | $20,000 |
Asset Advisors, LLC | | | investor protection violation | 2011 | $20,000 |
LACE Financial Corp. | | | investor protection violation | 2010 | $20,000 |
Consulting Services Group, LLC | | | investor protection violation | 2007 | $20,000 |
Fahnestock & Co., Inc. | Oppenheimer Holdings | financial services | investor protection violation | 2000 | $20,000 |
Gold Asset Management, Inc. | | | investor protection violation | 2000 | $20,000 |
Collaborative Financial Consulting LLC | | | investor protection violation | 2023 | $20,000 |
Luther Speight & Company, LLC | | | investor protection violation | 2023 | $20,000 |
Redfin Network Inc. | | | accounting fraud or deficiencies | 2014 | $19,480 |
CSIR Group, LLC | | | investor protection violation | 2018 | $17,142 |
Guaranteed Investigations, Inc. | | | investor protection violation | 2019 | $16,846 |
Umbrella Research, LLC | | | investor protection violation | 2017 | $16,676 |
BKD LLP | | | accounting fraud or deficiencies | 2014 | $15,000 |
Berman & Co. P.A. | | | accounting fraud or deficiencies | 2014 | $15,000 |
HBA Advisors, LLC | | | investor protection violation | 2018 | $15,000 |
Romano Brothers & Company | | | investor protection violation | 2018 | $15,000 |
D.M. Keck & Company, Inc. | | | investor protection violation | 2007 | $15,000 |
Gemisys Corporation | | | investor protection violation | 2002 | $15,000 |
Arthur Zaske & Associates, LLC | | | investor protection violation | 2022 | $15,000 |
N.V.N.G. Investments, Inc. | | | investor protection violation | 2022 | $15,000 |
Sierra Financial Advisors, LLC | | | investor protection violation | 2010 | $14,599 |
Joel R. Mogy Investment Counsel, Inc.? | | | investor protection violation | 2001 | $12,500 |
OUM & Co. | | | accounting fraud or deficiencies | 2014 | $10,000 |
Windsor Street Capital, L.P. fka Meyers Associates | | | investor protection violation | 2017 | $10,000 |
Wyoming Investment Management Services, LLC | | | investor protection violation | 2015 | $10,000 |
Lally & Co., LLC | | | accounting fraud or deficiencies | 2014 | $10,000 |
Securities Transfer Corporation | | | investor protection violation | 2011 | $10,000 |
Lone Star Transfer, Inc. | | | investor protection violation | 2002 | $10,000 |
ND Money Management, Inc. | | | investor protection violation | 2002 | $10,000 |
RansonCapital Corporation | | | investor protection violation | 2002 | $10,000 |
Stan D. Kiefer & Associates | | | investor protection violation | 2002 | $10,000 |
United Stock Transfer Inc. | | | investor protection violation | 2001 | $10,000 |
Focus Tech Investments, Inc. | | | investor protection violation | 2000 | $10,000 |
Adar International | | | investor protection violation | 2000 | $10,000 |
Longman & Associates, Inc. | | | investor protection violation | 2000 | $10,000 |
Kading Companies, S.A. and Joning Corp. | | | investor protection violation | 2000 | $10,000 |
Alpha Tech Stock Transfer Trust | | | investor protection violation | 2000 | $10,000 |
Mutual Coin Fund LLC | | | investor protection violation | 2019 | $10,000 |
School Services of California, Inc. | | | investor protection violation | 2019 | $10,000 |
OTR, Inc. | | | investor protection violation | 2020 | $10,000 |
Dynamic Trading Management LLC | | | investor protection violation | 2021 | $10,000 |
Eastside Financial Advisors LLC | | | investor protection violation | 2021 | $10,000 |
Sauberan & Company LLC | | | investor protection violation | 2021 | $10,000 |
Bill Parker Agency | | | investor protection violation | 2021 | $10,000 |
Birkelbach & Co. | | | investor protection violation | 2021 | $10,000 |
Greentree Investment Services Inc. | | | investor protection violation | 2021 | $10,000 |
ST Invest LLC d/b/a Trade App | | | investor protection violation | 2021 | $10,000 |
Lexion Capital Management LP | | | investor protection violation | 2021 | $10,000 |
Banyan Securities, LLC | | | investor protection violation | 2022 | $10,000 |
Church, Gregory, Adams Securities Corporation | | | investor protection violation | 2022 | $10,000 |
J.K. Financial Services, Inc. | | | investor protection violation | 2022 | $10,000 |
The Winning Edge Financial Group, Inc. | | | investor protection violation | 2022 | $10,000 |
DNA Brands Inc. | | | investor protection violation | 2023 | $10,000 |
The Marquie Group Inc. | | | investor protection violation | 2023 | $10,000 |
Millennium Group of New York, LLC | | | investor protection violation | 2001 | $7,602 |
3C Advisors & Associates, Inc. | | | investor protection violation | 2016 | $7,500 |
Research Capital, LLC | | | investor protection violation | 2003 | $6,337 |
PanaMed Corp. | | | investor protection violation | 2004 | $5,000 |
BNB Capital, Inc. | | | investor protection violation | 2002 | $5,000 |
National Stock Transfer Inc. | | | investor protection violation | 2000 | $5,000 |
WWW Advisors, Inc. | | | investor protection violation | 2000 | $5,000 |
Asset Timing Corp. | | | investor protection violation | 2000 | $5,000 |
CW Petroleum Corp. | | | investor protection violation | 2023 | $5,000 |