Symbol Technologies, Inc. | Zebra Technologies | electrical and electronic equipment | accounting fraud or deficiencies | 2004 | $37,000,000 |
Sycamore Lane Partners LLC | | | investor protection violation | 2018 | $134,042 |
Swiss Re Financial Products Corporation | Swiss Re | financial services | investor protection violation | 2007 | $95,000 |
Swisher Hygiene | Ecolab | chemicals | accounting fraud or deficiencies | 2016 | $2,000,000 |
Sweetwater Investments, Inc. | | | investor protection violation | 2019 | $1,164,747 |
SuttonBrook Capital Management | | | investor protection violation | 2014 | $70,000 |
Susquehanna Investment Group | | | investor protection violation | 2009 | $7,640,000 |
Surgalign Holdings, Inc. | | | investor protection violation | 2022 | $2,000,000 |
Sure Trace Security Corporation | | | investor protection violation | 2007 | $1,098,900 |
Super Micro Computer, Inc. | Super Micro Computer Inc. | electrical and electronic equipment | accounting fraud or deficiencies | 2020 | $17,500,000 |
SunTrust Capital Markets Inc. | Truist Financial | financial services | investor protection violation | 2006 | $125,000 |
SunTrust Banks | Truist Financial | financial services | investor protection violation | 2017 | $1,100,000 |
Sunset Investment Group, Inc. | | | investor protection violation | 2001 | $70,000 |
Summitcrest Capital, Inc. | | | investor protection violation | 2023 | $23,181,761 |
Summit Trust Company | | | accounting fraud or deficiencies | 2015 | $18,900,000 |
Summit Planning Group, Inc. | | | investor protection violation | 2023 | $109,401 |
Summit Financial Group, Inc. | | | investor protection violation | 2019 | $1,032,702 |
Summit Financial Group, Inc. | | | investor protection violation | 2020 | $1,206,882 |
Summit Financial Advisors Inc. | | | investor protection violation | 2021 | $25,000 |
Summit Asset Strategies | | | accounting fraud or deficiencies | 2015 | $1,143,933 |
Success Trade, Inc. and Success Trade Securities, Inc. | | | investor protection violation | 2015 | $26,158,214 |
Success Holding Group International, Inc. | | | investor protection violation | 2017 | $139,737 |
Students of Strength, Inc. | | | investor protection violation | 2021 | $222,517 |
Stryker Corporation | Stryker | medical equipment and supplies | Foreign Corrupt Practices Act | 2013 | $13,200,000 |
Stryker Corp. | Stryker | medical equipment and supplies | Foreign Corrupt Practices Act | 2018 | $7,800,000 |
Structured Portfolio Management, L.L.C., SPM Jr., L.L.C., and SPM IV, L.L.C. | | | investor protection violation | 2014 | $300,000 |
Strong Investment Management | | | investor protection violation | 2019 | $1,061,157 |
Strong Capital Management, Inc. | Wells Fargo | financial services | investor protection violation | 2004 | $80,000,000 |
Strong Capital Management, Inc. | Wells Fargo | financial services | investor protection violation | 2006 | $2,185,927 |
StratoComm Corporation | | | accounting fraud or deficiencies | 2016 | $5,068,709 |
Strategic Planning Group, Inc. | | | investor protection violation | 2019 | $200,000 |
Strategic Capital Partners Muster Limited and Strategic Wealth Investments, Inc. | | | investor protection violation | 2020 | $1,031,270 |
Strategic Capital Group LLC | | | investor protection violation | 2014 | $586,290 |
Stratcomm Media Ltd. | | | investor protection violation | 2003 | $45,400,000 |
Stracq, Inc. | | | investor protection violation | 2005 | $660,000 |
Stoner Cats 2 LLC | | | investor protection violation | 2023 | $1,000,000 |
Stonemor Partners L.P. and Stonemor GP LLC | | | investor protection violation | 2019 | $250,000 |
Stone Run Capital, LLC | | | investor protection violation | 2022 | $25,000 |
Stockman Kast Ryan & Co. LLP | | | investor protection violation | 2022 | $96,384 |
Stock Markets Institute, Inc. | | | investor protection violation | 2012 | $75,000 |
Stilwell Value LLC | | | investor protection violation | 2015 | $250,000 |
Stifel, Nicolaus & Company, Incorporated | Stifel Financial | financial services | investor protection violation | 2017 | $300,000 |
Stifel, Nicolaus & Company, Inc. | Stifel Financial | financial services | investor protection violation | 2015 | $500,000 |
Stifel, Nicolaus & Co., Inc. | Stifel Financial | financial services | investor protection violation | 2016 | $24,500,000 |
Stifel, Nicolaus & Co., Inc. | Stifel Financial | financial services | investor protection violation | 2019 | $2,700,000 |
Stifel Nicolaus & Co. | Stifel Financial | financial services | investor protection violation | 2014 | $60,000 |
Stifel and Nicolaus & Company, Incorporated | Stifel Financial | financial services | investor protection violation | 2019 | $6,037,175 |
Stiefel Laboratories Inc. | | | investor protection violation | 2020 | $26,510,000 |
Steward Capital Management, Inc. | | | investor protection violation | 2022 | $75,000 |
Sterne, Agee & Leach, Inc. | | | investor protection violation | 2015 | $80,000 |
Sterling Global Strategies LLC | | | investor protection violation | 2018 | $175,000 |
Stericycle, Inc. | Stericycle | waste management and environmental services | Foreign Corrupt Practices Act | 2022 | $28,200,000 |
Stephens Inc. | | | investor protection violation | 2015 | $400,000 |
Stephens Inc. | | | investor protection violation | 2019 | $5,489,119 |
Stein Mart Inc. | | | accounting fraud or deficiencies | 2015 | $800,000 |
Statoil, ASA | Equinor | oil and gas | investor protection violation | 2006 | $10,500,000 |
StateTrust Investments, Inc. | | | investor protection violation | 2015 | $90,000 |
State Street Research & Management Company | BlackRock | financial services | investor protection violation | 2005 | $585,743 |
State Street Bank and Trust Company | State Street Corp. | financial services | investor protection violation | 2016 | $382,400,000 |
State Street Bank and Trust Company | State Street Corp. | financial services | illicit political contributions | 2016 | $12,000,000 |
State Street Bank and Trust Company | State Street Corp. | financial services | investor protection violation | 2010 | $313,300,000 |
State Street Bank and Trust Company | State Street Corp. | financial services | investor protection violation | 2017 | $35,300,000 |
State Street Bank and Trust Company | State Street Corp. | financial services | investor protection violation | 2019 | $88,780,000 |
Starwood Hotel & Resorts Worldwide, Inc. | Marriott International | hotels | investor protection violation | 2014 | $75,000 |
StarVest Management, Inc. | | | investor protection violation | 2022 | $70,000 |
Standard Oil Company, Inc. | | | investor protection violation | 2022 | $150,000 |
Standard & Poor's Ratings Services | S&P Global | information technology | toxic securities abuses | 2015 | $58,000,000 |
Stan D. Kiefer & Associates | | | investor protection violation | 2002 | $10,000 |
Stable Road Acquisition Company | | | investor protection violation | 2021 | $1,000,000 |
St. Joe Company | St. Joe Company | real estate | accounting fraud or deficiencies | 2015 | $2,750,000 |
St. Germain Investment Management, Inc. | | | investor protection violation | 2021 | $1,925,250 |
ST Invest LLC d/b/a Trade App | | | investor protection violation | 2021 | $10,000 |
SSN Advisory, Inc. | | | investor protection violation | 2019 | $1,666,950 |
SQN Capital Management, LLC | | | investor protection violation | 2020 | $75,000 |
SQN Capital Management, LLC | | | investor protection violation | 2023 | $200,000 |
Spruce Power Holding Corporation | | | investor protection violation | 2023 | $11,000,000 |
Spruce Investment Advisors, LLC | | | investor protection violation | 2022 | $75,000 |
Springer Investment Management, Inc.? | | | investor protection violation | 2005 | $50,000 |
Spring Hill Capital Markets, LLC, et al. | | | investor protection violation | 2019 | $485,803 |
Spire Wealth Mangement, LLC | | | investor protection violation | 2019 | $594,072 |
Spinner Asset Management, LLC and Spinner Global Technology Fund, Ltd.? | | | investor protection violation | 2006 | $495,596 |
Spiderworx Media LLC | | | investor protection violation | 2020 | $60,000 |
Sperry and Sons Capital Investments, LLC | | | investor protection violation | 2021 | $284,480 |
Spencer Pharmaceutical Inc. | | | investor protection violation | 2015 | $1,000,000 |
Spencer International Advisors, Inc. | | | investor protection violation | 2010 | $75,000 |
Spear, Leeds & Kellogg, L.P. | Goldman Sachs | financial services | investor protection violation | 2003 | $450,000 |
Spear, Leeds & Kellogg Specialists LLC | Goldman Sachs | financial services | investor protection violation | 2004 | $45,272,478 |
Spartan Securities Group, LTD | | | investor protection violation | 2022 | $250,000 |
Sparkster Ltd | | | investor protection violation | 2022 | $35,000,000 |
SparkLabs Global Ventures Management LLC and SparkLabs Management, LLC | | | investor protection violation | 2022 | $200,000 |
Spark Trading Group LLC | | | investor protection violation | 2019 | $694,915 |
Southwind Associates of NJ, Inc. d/b/a Villafranco Wealth Management | | | investor protection violation | 2017 | $50,000 |
Southwest Securities, Inc. | Hilltop Holdings | financial services | investor protection violation | 2005 | $10,000,000 |
Southwest Securities, Inc. | Hilltop Holdings | financial services | investor protection violation | 2010 | $470,147 |
Southridge Capital Management LLC and Southridge Advisors LLC | | | investor protection violation | 2018 | $7,864,064 |
Southpoint Capital Advisors | | | investor protection violation | 2013 | $534,757 |
Southlake Resources Group, LLC | | | fraud | 2016 | $5,681,411 |
Soundpost Partners | | | investor protection violation | 2013 | $113,315 |
Sorrento Pacific Financial, LLC | Atria Wealth Solutions | financial services | investor protection violation | 2019 | $49,162 |
SoluTech, Inc. | | | investor protection violation | 2020 | $25,000 |
Solus Alternative Asset Management | | | investor protection violation | 2014 | $105,495 |