Titan Global Capital Management USA LLC | | | investor protection violation | 2023 | $1,042,454 |
Collaborative Financial Consulting LLC | | | investor protection violation | 2023 | $20,000 |
Wilmington Trust Investment Management, LLC | M&T Bank | financial services | investor protection violation | 2023 | $1,327,147 |
D. E. Shaw & Co., L.P. | | | investor protection violation | 2023 | $10,000,000 |
Interactive Brokers Corp. | Interactive Brokers Group | financial services | investor protection violation | 2023 | $35,000,000 |
Robert W. Baird & Co. Inc. | | | investor protection violation | 2023 | $15,000,000 |
William Blair & Company LLC | | | investor protection violation | 2023 | $10,000,000 |
Nuveen Securities LLC | TIAA | financial services | investor protection violation | 2023 | $8,500,000 |
Fifth Third Securities Inc. | Fifth Third Bancorp | financial services | investor protection violation | 2023 | $8,000,000 |
Perella Weinberg Partners LP | | | investor protection violation | 2023 | $2,500,000 |
DBRS Inc. | | | investor protection violation | 2023 | $6,000,000 |
Kroll Bond Rating Agency, LLC | | | investor protection violation | 2023 | $4,000,000 |
Newell Brands Inc. | Newell Brands | housewares and home furnishings | accounting fraud or deficiencies | 2023 | $12,500,000 |
Albemarle Corporation | Albemarle | chemicals | Foreign Corrupt Practices Act | 2023 | $103,600,000 |
Nano-X Imaging Ltd. | | | investor protection violation | 2023 | $650,000 |
Luther Speight & Company, LLC | | | investor protection violation | 2023 | $20,000 |
Appomattox Advisory, Inc. | | | investor protection violation | 2023 | $150,000 |
Florence Capital Advisors, LLC | | | investor protection violation | 2023 | $200,000 |
Maxim Group, LLC | | | investor protection violation | 2023 | $800,000 |
Spruce Power Holding Corporation | | | investor protection violation | 2023 | $11,000,000 |
Exelon Corporation | Exelon | utilities and power generation | fraud | 2023 | $46,200,000 |
Clear Channel Outdoor Holdings Inc. | Clear Channel Outdoor Holdings | business services | Foreign Corrupt Practices Act | 2023 | $26,100,000 |
Woodbury Financial Services, Inc. | Reverence Capital Partners | private equity (including portfolio companies) | investor protection violation | 2023 | $100,000 |
SagePoint Financial, Inc. | Reverence Capital Partners | private equity (including portfolio companies) | investor protection violation | 2023 | $100,000 |
Osaic Wealth, Inc. | | | investor protection violation | 2023 | $100,000 |
FSC Securities Corporation | | | investor protection violation | 2023 | $100,000 |
Salomon Whitney LLC | | | investor protection violation | 2023 | $236,173 |
Forepont Capital LLC | | | investor protection violation | 2023 | $150,000 |
Apexium Financial LP | | | investor protection violation | 2023 | $150,000 |
Citigroup Global Markets, Inc. | Citigroup | financial services | investor protection violation | 2023 | $1,975,000 |
TAL Education Group | | | investor protection violation | 2023 | $1,250,000 |
Cloudastructure, Inc. | | | investor protection violation | 2023 | $558,071 |
Hightimes Holding Corp | | | investor protection violation | 2023 | $558,071 |
Cumberland Pharmaceuticals Inc. | | | investor protection violation | 2023 | $200,000 |
AgEagle Aerial Systems Inc. | | | investor protection violation | 2023 | $190,000 |
eXp World Holdings, Inc. | | | investor protection violation | 2023 | $115,000 |
SolarEdge Technologies, Inc. | | | investor protection violation | 2023 | $125,000 |
Lattice Semiconductor Corporation | Lattice Semiconductor | electrical and electronic equipment | investor protection violation | 2023 | $185,000 |
Hyzon Motors Inc. | | | fraud | 2023 | $25,000,000 |
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 |
Charter Communications Inc. | Charter Communications | telecommunications | accounting fraud or deficiencies | 2023 | $25,000,000 |
Royal Bank of Canada | Royal Bank of Canada | financial services | accounting fraud or deficiencies | 2023 | $6,000,000 |
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 |
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 |
OEP Capital Advisors, L.P. | | | investor protection violation | 2023 | $4,000,000 |
BarnBridge DAO | | | investor protection violation | 2023 | $1,457,000 |
Ameritas Advisory Services, LLC | Ameritas Mutual Holding Company | financial services | investor protection violation | 2022 | $4,628,194 |
Baxter International Inc. | Baxter International | medical equipment and supplies | accounting fraud or deficiencies | 2022 | $18,000,000 |
KT Corporation | | | Foreign Corrupt Practices Act | 2022 | $6,300,000 |
Arthur Zaske & Associates, LLC | | | investor protection violation | 2022 | $15,000 |
Banyan Securities, LLC | | | investor protection violation | 2022 | $10,000 |
Church, Gregory, Adams Securities Corporation | | | investor protection violation | 2022 | $10,000 |
Gutt Financial Management, LLC | | | investor protection violation | 2022 | $25,000 |
Hinsdale Associates, Inc. | | | investor protection violation | 2022 | $25,000 |
J.K. Financial Services, Inc. | | | investor protection violation | 2022 | $10,000 |
N.V.N.G. Investments, Inc. | | | investor protection violation | 2022 | $15,000 |
Personal Financial Planning, Inc. | | | investor protection violation | 2022 | $25,000 |
Stone Run Capital, LLC | | | investor protection violation | 2022 | $25,000 |
The Winning Edge Financial Group, Inc. | | | investor protection violation | 2022 | $10,000 |
Wall Street Access | | | investor protection violation | 2022 | $97,523 |
Watermark Securities, Inc. | | | investor protection violation | 2022 | $25,000 |
BlockFi Lending LLC | | | investor protection violation | 2022 | $50,000,000 |
Wahed Invest, LLC | | | investor protection violation | 2022 | $300,000 |
CMG Capital Management Group, Inc. | | | investor protection violation | 2022 | $70,000 |
Comprehensive Capital Management, Inc. | | | investor protection violation | 2022 | $375,654 |
O.N. Investment Management Company | | | investor protection violation | 2022 | $1,238,653 |
tZERO ATS, LLC | | | investor protection violation | 2022 | $800,000 |
Leaf Group Ltd. | | | investor protection violation | 2022 | $325,000 |
OneStep Financial Services, LLC | | | investor protection violation | 2022 | $631,179 |
Energy Capital Partners Management LP | Energy Capital Partners | private equity (including portfolio companies) | investor protection violation | 2022 | $1,000,000 |
Weiss Asset Management LP | | | investor protection violation | 2022 | $6,899,004 |
Charles Schwab & Co., Inc. et al. | Charles Schwab Corp. | financial services | investor protection violation | 2022 | $187,000,000 |
Petroteq Energy, Inc. | | | investor protection violation | 2022 | $1,000,000 |
CohnReznick LLP | | | accounting fraud or deficiencies | 2022 | $1,900,000 |
United Health Products, Inc. | | | accounting fraud or deficiencies | 2022 | $450,000 |
Synchronoss Technologies, Inc. | Synchronoss Technologies | information technology | investor protection violation | 2022 | $12,500,000 |
Morningstar Credit Ratings, LLC | Morningstar Inc. | miscellaneous services | investor protection violation | 2022 | $1,150,000 |
Trust Advisory Group, Ltd. | | | investor protection violation | 2022 | $214,460 |
Kahn Brothers Advisors, LLC | | | investor protection violation | 2022 | $847,899 |