Lattice Semiconductor Corporation | Lattice Semiconductor | electrical and electronic equipment | investor protection violation | 2023 | $185,000 |
AssetMark Inc. | | | investor protection violation | 2023 | $18,000,000 |
Bruderman Asset Management LLC | | | investor protection violation | 2023 | $250,000 |
DWS Investment Management Americas Inc. | Deutsche Bank | financial services | investor protection violation | 2023 | $25,000,000 |
Highlander Capital Management, LLC | | | investor protection violation | 2023 | $150,000 |
Fieldman Rolapp & Associates, Inc. | | | investor protection violation | 2023 | $127,916 |
Wellesley Asset Management, Inc | | | investor protection violation | 2023 | $1,000,000 |
American Infrastructure Funds LLC | | | investor protection violation | 2023 | $1,600,000 |
Citadel Securities LLC | | | investor protection violation | 2023 | $7,000,000 |
Goldman Sachs & Co. LLC | Goldman Sachs | financial services | investor protection violation | 2023 | $6,000,000 |
J.H. Darbie & Co., Inc. | | | investor protection violation | 2023 | $125,000 |
Carl M. Hennig, Inc. | | | investor protection violation | 2023 | $50,000 |
Kandi Technologies Group, Inc. | | | investor protection violation | 2023 | $710,000 |
CBRE, Inc. | CBRE Group | real estate | investor protection violation | 2023 | $375,000 |
Lyft Inc. | Lyft Inc. | miscellaneous services | investor protection violation | 2023 | $10,000,000 |
GGToor, Inc. | | | investor protection violation | 2023 | $40,000 |
Summit Planning Group, Inc. | | | investor protection violation | 2023 | $109,401 |
Rio Tinto PLC | Rio Tinto | mining and minerals | investor protection violation | 2023 | $28,000,000 |
Laidlaw & Company (UK) Ltd. | | | investor protection violation | 2023 | $822,884 |
Bell Rock Capital, LLC | | | investor protection violation | 2023 | $1,509,048 |
BlackRock Advisors, LLC | BlackRock | financial services | investor protection violation | 2023 | $2,500,000 |
Thor Technologies, Inc. | | | investor protection violation | 2023 | $1,053,193 |
Anson Advisors Inc | | | investor protection violation | 2023 | $3,330,394 |
Eagan Capital Management, LLC | | | investor protection violation | 2023 | $50,000 |
J.P. Morgan Securities LLC | JPMorgan Chase | financial services | investor protection violation | 2024 | $18,000,000 |
Morgan Stanley & Co. LLC | Morgan Stanley | financial services | investor protection violation | 2024 | $83,000,000 |
Brooge Energy Limited | | | investor protection violation | 2023 | $5,000,000 |
Credit Suisse Securities (USA) LLC | UBS | financial services | investor protection violation | 2023 | $10,000,000 |
Medsis International, Inc. | | | investor protection violation | 2024 | $15,871,200 |
OEP Capital Advisors, L.P. | | | investor protection violation | 2023 | $4,000,000 |
BarnBridge DAO | | | investor protection violation | 2023 | $1,457,000 |
TIAA-CREF Individual & Institutional Services LLC | TIAA | financial services | investor protection violation | 2024 | $2,200,000 |
Van Eck Associates Corporation | | | investor protection violation | 2024 | $1,750,000 |
Northwestern Mutual Investment Services LLC | Northwestern Mutual | financial services | investor protection violation | 2024 | $16,500,000 |
Guggenheim Securities LLC | | | investor protection violation | 2024 | $15,000,000 |
Oppenheimer & Co. Inc. | Oppenheimer Holdings | financial services | investor protection violation | 2024 | $12,000,000 |
Cambridge Investment Research Inc. | | | investor protection violation | 2024 | $10,000,000 |
Key Investment Services LLC | | | investor protection violation | 2024 | $10,000,000 |
Lincoln Financial Advisors Corporation | Lincoln National | financial services | investor protection violation | 2024 | $8,500,000 |
U.S. Bancorp Investments Inc. | U.S. Bancorp | financial services | investor protection violation | 2024 | $8,000,000 |
Huntington Investment Company | | | investor protection violation | 2024 | $1,250,000 |
TradeStation Crypto, Inc. | | | investor protection violation | 2024 | $1,500,000 |
Rockwell Capital Management | | | investor protection violation | 2024 | $1,602,089 |
Northern Star Investment Corp. II | | | investor protection violation | 2024 | $1,500,000 |
Aon Investments USA Inc. | Aon | financial services | investor protection violation | 2024 | $1,542,187 |
SHE Beverage Company, Inc. | | | investor protection violation | 2024 | $12,760,274 |
Comer Capital Group, LLC | | | investor protection violation | 2024 | $55,000 |
Crowd Machine, Inc. and Metavine, Inc. | | | investor protection violation | 2024 | $24,234,548 |
Adar Bays, LLC and Adar Alef, LLC | | | investor protection violation | 2024 | $1,145,000 |
Grenda Group, LLC | | | investor protection violation | 2024 | $400,000 |
Skechers U.S.A. Inc. | Skechers USA Inc. | apparel | investor protection violation | 2024 | $1,250,000 |
HG Vora Capital Management LLC | | | investor protection violation | 2024 | $950,000 |
Lordstown Motors Corp. | Lordstown Motors | motor vehicles | investor protection violation | 2024 | $25,500,000 |
RenovaCare, Inc. | | | investor protection violation | 2024 | $500,000 |
3D/L Capital Management, LLC | | | investor protection violation | 2024 | $285,607 |
ShapeShift AG | | | investor protection violation | 2024 | $275,000 |
Clark Schaefer Hackett & Co. | | | investor protection violation | 2024 | $80,881 |
Contrarian Capital Management, L.L.C. | | | investor protection violation | 2024 | $521,326 |
GeaSphere LLC | | | investor protection violation | 2024 | $100,000 |
Bradesco Global Advisors Inc. | | | investor protection violation | 2024 | $20,000 |
Credicorp Capital Advisors LLC | | | investor protection violation | 2024 | $30,000 |
InSight Securities Inc. | | | investor protection violation | 2024 | $20,000 |
Monex Asset Management Inc. | | | investor protection violation | 2024 | $30,000 |
Senvest Management LLC | | | investor protection violation | 2024 | $6,500,000 |
Genesis Global Capital, LLC | | | investor protection violation | 2024 | $21,000,000 |
Delphia (USA) Inc. | | | investor protection violation | 2024 | $225,000 |
Global Predictions Inc. | | | investor protection violation | 2024 | $175,000 |
Volkswagen AG | Volkswagen | motor vehicles | investor protection violation | 2024 | $48,750,000 |
Commonwealth Equity Services, LLC d/b/a Commonwealth Financial Network | | | investor protection violation | 2024 | $93,274,068 |
ClearPath Wealth Management, LLC | | | investor protection violation | 2024 | $27,130,905 |
GA Investors | | | investor protection violation | 2024 | $1,191,938 |
Advisor Resource Council | | | investor protection violation | 2024 | $300,000 |
Halitron, Inc. | | | investor protection violation | 2024 | $191,024 |
Wayzata Investment Partners LLC | | | investor protection violation | 2024 | $60,000 |
Quadrangle Group LLC | | | kickbacks and bribery | 2010 | $5,000,000 |
J.P. Morgan Securities Inc. | JPMorgan Chase | financial services | kickbacks and bribery | 2009 | $75,000,000 |
Fidelity Investments | Fidelity Investments | financial services | kickbacks and bribery | 2008 | $8,000,000 |
Jefferies & Co., Inc. | Jefferies Financial Group | diversified | kickbacks and bribery | 2006 | $4,200,000 |
AstraZeneca PLC | AstraZeneca | pharmaceuticals | kickbacks and bribery | 2016 | $5,522,000 |
GlaxoSmithKline plc | GlaxoSmithKline | pharmaceuticals | kickbacks and bribery | 2016 | $20,000,000 |
Banc of America Securities LLC | Bank of America | financial services | price-fixing or anti-competitive practices | 2010 | $36,096,442 |
TMC Bonds LLC | | | privacy violation | 2019 | $2,100,000 |
Pearson plc | Pearson | information technology | privacy violation | 2021 | $1,000,000 |
First American Financial Corporation | First American Financial | financial services | privacy violation | 2021 | $487,616 |
UBS AG | UBS | financial services | tax violations | 2009 | $200,000,000 |
Standard & Poor's Ratings Services | S&P Global | information technology | toxic securities abuses | 2015 | $58,000,000 |
Morgan Stanley | Morgan Stanley | financial services | toxic securities abuses | 2014 | $275,000,000 |
Merrill Lynch | Bank of America | financial services | toxic securities abuses | 2013 | $131,800,000 |
RBS Securities Inc. | NatWest Group PLC | financial services | toxic securities abuses | 2013 | $153,700,000 |
UBS Securities | UBS | financial services | toxic securities abuses | 2013 | $50,000,000 |
J.P. Morgan Securities LLC | JPMorgan Chase | financial services | toxic securities abuses | 2012 | $296,900,000 |
Credit Suisse Securities (USA) | UBS | financial services | toxic securities abuses | 2012 | $120,000,000 |
Wells Fargo | Wells Fargo | financial services | toxic securities abuses | 2012 | $6,500,000 |
Option One Mortgage Corporation | Ocwen Financial | financial services | toxic securities abuses | 2012 | $28,200,000 |
Citigroup | Citigroup | financial services | toxic securities abuses | 2011 | $285,000,000 |
Morgan Keegan & Company | Raymond James Financial | financial services | toxic securities abuses | 2011 | $200,000,000 |
J.P. Morgan Securities LLC | JPMorgan Chase | financial services | toxic securities abuses | 2011 | $153,600,000 |
Wells Fargo Securities LLC | Wells Fargo | financial services | toxic securities abuses | 2011 | $11,000,000 |
Citigroup Inc. | Citigroup | financial services | toxic securities abuses | 2010 | $75,000,000 |
Goldman Sachs & Co. | Goldman Sachs | financial services | toxic securities abuses | 2010 | $550,000,000 |
Monolith Resources LLC | | | workplace whistleblower retaliation | 2023 | $225,000 |