Voya Holdings Inc. | Voya Financial | financial services | investor protection violation | 2018 | $3,600,000 |
Merrill Lynch, Pierce, Fenner & Smith Inc | Bank of America | financial services | investor protection violation | 2018 | $1,404,000 |
New York Stock Exchange | IntercontinentalExchange Group | financial services | investor protection violation | 2018 | $14,000,000 |
Deutsche Bank Securities Inc. | Deutsche Bank | financial services | investor protection violation | 2018 | $4,450,000 |
Ameriprise Financial Services | Ameriprise Financial | financial services | investor protection violation | 2018 | $230,000 |
PNC Investments LLC | PNC Financial Services | financial services | investor protection violation | 2018 | $7,307,770 |
Brown Brothers Harriman & Co. | Brown Brothers Harriman | financial services | investor protection violation | 2014 | $120,000 |
Royal Bank of Scotland Group plc | NatWest Group PLC | financial services | investor protection violation | 2014 | $120,000 |
Bank of America Corporation | Bank of America | financial services | investor protection violation | 2014 | $20,000,000 |
Piper Jaffray & Co. | Piper Sandler | financial services | investor protection violation | 2013 | $300,000 |
Knight Capital Americas LLC | Virtu Financial | financial services | investor protection violation | 2013 | $12,000,000 |
ABN AMRO Bank, N.V. | ABN AMRO | financial services | investor protection violation | 2013 | $5,547,408 |
UBS O'Connor, LLC | UBS | financial services | investor protection violation | 2013 | $5,297,716 |
NASDAQ Stock Market, LLC and NASDAQ Execution Services, LLC | Nasdaq Inc. | financial services | investor protection violation | 2013 | $10,000,000 |
Oppenheimer Asset Management Inc. and Oppenheimer Alternative Investment Management, LLC | Oppenheimer Holdings | financial services | investor protection violation | 2013 | $2,886,677 |
AXA Advisors, LLC | Equitable Holdings | financial services | investor protection violation | 2012 | $100,000 |
Credit Suisse Alternative Capital, LLC and Credit Suisse Asset Management, LLC | UBS | financial services | investor protection violation | 2011 | $2,500,000 |
BNY Mellon Securities LLC | Bank of New York Mellon | financial services | investor protection violation | 2011 | $24,045,447 |
Banc of America Securities LLC | Bank of America | financial services | price-fixing or anti-competitive practices | 2010 | $36,096,442 |
World Group Securities, Inc. | Aegon | financial services | investor protection violation | 2010 | $200,000 |
Goldman Sachs Execution & Clearing, L.P. | Goldman Sachs | financial services | investor protection violation | 2010 | $225,000 |
Southwest Securities, Inc. | Hilltop Holdings | financial services | investor protection violation | 2010 | $470,147 |
Legg Mason Inc. | Franklin Resources | financial services | Foreign Corrupt Practices Act | 2018 | $34,500,000 |
AEGON USA Investment Management LLC et al. | Aegon | financial services | investor protection violation | 2018 | $97,600,000 |
Merrill Lynch, Pierce, Fenner & Smith | Bank of America | financial services | investor protection violation | 2018 | $8,900,000 |
Citigroup | Citigroup | financial services | accounting fraud or deficiencies | 2018 | $10,500,000 |
Ameriprise Financial Services Inc. | Ameriprise Financial | financial services | investor protection violation | 2018 | $4,500,000 |
Mizuho Securities USA LLC | Mizuho Financial | financial services | investor protection violation | 2018 | $1,250,000 |
Deutsche Bank Trust Co. Americas and Deutsche Bank Securities Inc. | Deutsche Bank | financial services | investor protection violation | 2018 | $73,200,000 |
Credit Suisse Group AG | UBS | financial services | Foreign Corrupt Practices Act | 2018 | $29,700,000 |
Morgan Stanley Smith Barney | Morgan Stanley | financial services | investor protection violation | 2018 | $3,600,000 |
Wells Fargo Advisors LLC | Wells Fargo | financial services | investor protection violation | 2018 | $5,108,441 |
Merrill Lynch, Pierce, Fenner & Smith | Bank of America | financial services | investor protection violation | 2018 | $42,000,000 |
Merrill Lynch, Pierce, Fenner & Smith Inc. | Bank of America | financial services | investor protection violation | 2018 | $15,700,000 |
Industrial and Commercial Bank of China Financial Services LLC | Industrial and Commercial Bank of China | financial services | investor protection violation | 2018 | $860,000 |
Charles Schwab & Co., Inc. | Charles Schwab Corp. | financial services | investor protection violation | 2018 | $2,800,000 |
Merrill Lynch, Pierce and Fenner & Smith Incorporated | Bank of America | financial services | investor protection violation | 2018 | $8,872,723 |
Cantor Fitzgerald & Co. | Cantor Fitzgerald | financial services | investor protection violation | 2018 | $1,250,000 |
Banc of America Investment Services, Inc. | Bank of America | financial services | investor protection violation | 2009 | $150,000 |
AXA Advisors, LLC | Equitable Holdings | financial services | investor protection violation | 2009 | $50,000 |
New York Life Investment Management LLC | New York Life Insurance | financial services | investor protection violation | 2009 | $6,100,784 |
American Skandia Investment Services, Inc. | Prudential Financial | financial services | investor protection violation | 2009 | $68,000,000 |
TD Options LLC | Toronto-Dominion Bank | financial services | investor protection violation | 2009 | $1,000,000 |
Goldman Sachs Execution & Clearing, L.P. and SLK-Hull Derivatives LLC | Goldman Sachs | financial services | investor protection violation | 2009 | $7,200,000 |
Knight Financial Products, LLC | Virtu Financial | financial services | investor protection violation | 2009 | $2,040,000 |
RBC Capital Markets Corporation | Royal Bank of Canada | financial services | investor protection violation | 2009 | $125,000 |
Oppenheimer & Co. Inc | Oppenheimer Holdings | financial services | investor protection violation | 2009 | $850,000 |
SG Americas Securities, LLC | Societe Generale | financial services | investor protection violation | 2009 | $8,384,932 |
Ferris, Baker Watts, Inc. | Royal Bank of Canada | financial services | investor protection violation | 2009 | $800,656 |
Gabelli Funds, LLC | Gamco Investors Inc. | financial services | investor protection violation | 2009 | $450,000 |
Massachusetts Financial Services Company | Sun Life Financial | financial services | investor protection violation | 2018 | $1,900,000 |
Citibank N.A. | Citigroup | financial services | investor protection violation | 2018 | $38,700,000 |
Credit Suisse Securities (USA) LLC | UBS | financial services | investor protection violation | 2018 | $5,000,000 |
LendingClub Asset Management LLC | LendingClub Corp. | financial services | investor protection violation | 2018 | $5,000,000 |
Voya Financial Advisors Inc. | Voya Financial | financial services | investor protection violation | 2018 | $1,000,000 |
SG Americas Securities LLC (Societe Generale) | Societe Generale | financial services | investor protection violation | 2018 | $800,000 |
Citigroup Global Markets Inc. | Citigroup | financial services | investor protection violation | 2018 | $12,937,475 |
Convergex Execution Solutions LLC | Toronto-Dominion Bank | financial services | data submission deficiencies | 2018 | $2,750,000 |
Cadaret, Grant & Co. Inc. | Atria Wealth Solutions | financial services | investor protection violation | 2018 | $513,194 |
Putnam Investment Management, LLC | Franklin Resources | financial services | investor protection violation | 2018 | $1,000,000 |
TD Ameritrade, Inc. | Charles Schwab Corp. | financial services | investor protection violation | 2018 | $500,000 |
Heartland Payment Systems, LLC | Global Payments Inc. | financial services | investor protection violation | 2018 | $2,160,000 |
BB&T Securities, LLC | Truist Financial | financial services | investor protection violation | 2018 | $100,000 |
LPL Financial Corporation | LPL Financial | financial services | investor protection violation | 2008 | $275,000 |
E*Trade Clearing LLC | Morgan Stanley | financial services | investor protection violation | 2008 | $500,000 |
Gabelli Funds LLC | Gamco Investors Inc. | financial services | investor protection violation | 2008 | $16,000,000 |
JPMorgan Chase & Co. | JPMorgan Chase | financial services | investor protection violation | 2008 | $1,998,143 |
Morgan Stanley & Co. Incorporated | Morgan Stanley | financial services | investor protection violation | 2007 | $17,000,000 |
Morgan Stanley & Co. Incorporated | Morgan Stanley | financial services | investor protection violation | 2007 | $7,500,000 |
Smith Barney Fund Management LLC | Morgan Stanley | financial services | investor protection violation | 2007 | $450,000 |
Putnam Investment Management, LLC | Franklin Resources | financial services | investor protection violation | 2007 | $350,000 |
AllianceBernstein, L.P. | Equitable Holdings | financial services | investor protection violation | 2007 | $450,000 |
John Hancock Investment Management Services, LLC | Manulife Financial | financial services | investor protection violation | 2007 | $19,787,879 |
Citigroup Global Markets, Inc. | Citigroup | financial services | investor protection violation | 2007 | $200,000 |
Deutsche Bank Trust Company Americas | Deutsche Bank | financial services | investor protection violation | 2007 | $750,000 |
The Bank Of New York | Bank of New York Mellon | financial services | investor protection violation | 2007 | $750,000 |
Wilmington Trust Company | M&T Bank | financial services | investor protection violation | 2007 | $100,000 |
Deutsche Bank Securities, Inc. | Deutsche Bank | financial services | investor protection violation | 2006 | $442,954 |
Deutsche Asset Management, Inc. and Deutsche Investment Management Americas, Inc. | Deutsche Bank | financial services | investor protection violation | 2006 | $17,200,000 |
Strong Capital Management, Inc. | Wells Fargo | financial services | investor protection violation | 2006 | $2,185,927 |
Deutsche Investment Management Americas, Inc. et al. | Deutsche Bank | financial services | investor protection violation | 2006 | $19,329,729 |
Waddell & Reed, Inc. | Macquarie | financial services | investor protection violation | 2006 | $50,000,000 |
Metropolitan Life Insurance Company | MetLife | financial services | investor protection violation | 2006 | $250,000 |
New England Securities Corp. | MetLife | financial services | investor protection violation | 2006 | $2,614,865 |
Morgan Keegan & Co., Inc. | Raymond James Financial | financial services | investor protection violation | 2006 | $558,806 |
CIBC World Markets Corporation | Canadian Imperial Bank of Commerce | financial services | investor protection violation | 2005 | $496,598 |
State Street Research & Management Company | BlackRock | financial services | investor protection violation | 2005 | $585,743 |
Legg Mason Wood Walker, Incorporated | Franklin Resources | financial services | investor protection violation | 2005 | $1,000,000 |
U.S. Bank National Association | U.S. Bancorp | financial services | investor protection violation | 2005 | $500,000 |
Prudential Equity Group, LLC | Prudential Financial | financial services | investor protection violation | 2005 | $125,000 |
UBS Securities LLC | UBS | financial services | investor protection violation | 2005 | $700,000 |
Banc of America Investment Services, Inc., and Bacap Distributors, LLC | Bank of America | financial services | investor protection violation | 2005 | $1,500,000 |
Credit Suisse First Boston, LLC | UBS | financial services | investor protection violation | 2005 | $200,000 |
Fiserv Securities, Inc. | Fidelity Investments | financial services | investor protection violation | 2005 | $15,000,000 |
Putnam Investment Management, LLC | Franklin Resources | financial services | investor protection violation | 2005 | $40,000,001 |
J.P. Morgan Securities Inc. | JPMorgan Chase | financial services | investor protection violation | 2005 | $700,000 |
Donaldson, Lufkin & Jenrette Securities Corp. | UBS | financial services | investor protection violation | 2004 | $1,000,000 |
Goldman Sachs & Co. | Goldman Sachs | financial services | investor protection violation | 2004 | $2,000,000 |
Brut, LLC | Nasdaq Inc. | financial services | investor protection violation | 2003 | $45,000 |
Spear, Leeds & Kellogg, L.P. | Goldman Sachs | financial services | investor protection violation | 2003 | $450,000 |
U.S. Bancorp Piper Jaffray Inc. | Piper Sandler | financial services | investor protection violation | 2002 | $100,000 |