PlanMember Securities Corporation | | | investor protection violation | 2019 | $3,550,660 |
Piper Jaffray & Co. | Piper Sandler | financial services | investor protection violation | 2015 | $500,000 |
Piper Jaffray & Co. | Piper Sandler | financial services | investor protection violation | 2006 | $125,000 |
Piper Jaffray & Co. | Piper Sandler | financial services | investor protection violation | 2013 | $300,000 |
Pipeline Trading Systems LLC | | | investor protection violation | 2011 | $1,000,000 |
Pinnacle Investments LLC | | | investor protection violation | 2023 | $476,000 |
Pinnacle Companies, LLC | | | investor protection violation | 2019 | $1,112,000 |
Pinnacle Capital Markets LLC | | | investor protection violation | 2010 | $25,000 |
Pinnacle Accountancy Group, PLLC | | | accounting fraud or deficiencies | 2019 | $300,000 |
PinkMonkey.com, Inc. | | | fraud | 2001 | $20,000 |
Pilgrim Baxter & Associates, Ltd. | | | investor protection violation | 2004 | $90,000,000 |
PIC Renegade Properties, LLC | | | investor protection violation | 2022 | $400,000 |
Phoenix Companies | | | accounting fraud or deficiencies | 2016 | $600,000 |
PHL Variable Insurance Company | | | investor protection violation | 2014 | $100,000 |
PHL Variable Insurance Company | | | investor protection violation | 2014 | $375,000 |
Philips N.V. | Royal Philips | diversified | Foreign Corrupt Practices Act | 2023 | $62,000,000 |
Philips Electronics | Royal Philips | diversified | Foreign Corrupt Practices Act | 2013 | $4,515,178 |
Philadelphia Financial Management of San Francisco | | | investor protection violation | 2013 | $219,443 |
PFP Entrust Corp. | | | investor protection violation | 2022 | $100,000 |
Pfizer Inc. | Pfizer | pharmaceuticals | Foreign Corrupt Practices Act | 2012 | $26,339,944 |
Petroteq Energy, Inc. | | | investor protection violation | 2022 | $1,000,000 |
Petroforce Energy, LLC | | | investor protection violation | 2017 | $300,000 |
Petro-Suisse Ltd. | | | investor protection violation | 2013 | $8,370,000 |
Personal Financial Planning, Inc. | | | investor protection violation | 2022 | $25,000 |
Pershing Square Capital Management | | | investor protection violation | 2017 | $75,000 |
Perry Corp. | | | investor protection violation | 2009 | $150,000 |
Perini Capital, LLC | | | investor protection violation | 2022 | $115,000 |
Performance Specialist Group LLC | | | investor protection violation | 2004 | $2,171,932 |
Performance Analytics, Inc. | | | investor protection violation | 2002 | $75,000 |
Perella Weinberg Partners LP | | | investor protection violation | 2023 | $2,500,000 |
Perceptive Advisors LLC | | | investor protection violation | 2009 | $439,755 |
Perceptive Advisors LLC | | | investor protection violation | 2022 | $1,500,000 |
Pequot Capital Management, Inc. | | | investor protection violation | 2010 | $28,000,000 |
Pentagon Capital Management | | | investor protection violation | 2012 | $98,600,000 |
Pennant Management, Inc. | | | investor protection violation | 2018 | $400,000 |
Penn West Petroleum Ltd. | | | accounting fraud or deficiencies | 2017 | $8,500,000 |
Pekin Singer Strauss Asset Management Inc | | | investor protection violation | 2015 | $150,000 |
Pegasus Investment Management, LLC | | | investor protection violation | 2011 | $95,469 |
Pearson plc | Pearson | information technology | privacy violation | 2021 | $1,000,000 |
PEAK6 Capital Management | | | investor protection violation | 2013 | $132,217 |
PeachCap Tax & Advisory, LLC | | | investor protection violation | 2021 | $138,813 |
PBSJ Corporation | | | Foreign Corrupt Practices Act | 2015 | $3,400,000 |
Payward Ventures, Inc. and Payward Trading Ltd. | | | investor protection violation | 2023 | $30,000,000 |
Paycom Software, Inc. | Paycom Software | information technology | investor protection violation | 2021 | $250,000 |
Pax World Management Corp. | | | investor protection violation | 2008 | $500,000 |
Patrizio & Zhao LLC | | | accounting fraud or deficiencies | 2013 | $30,000 |
Parker Drilling Company | Parker Drilling | oil and gas | Foreign Corrupt Practices Act | 2013 | $4,090,818 |
Park View School, Inc. | | | investor protection violation | 2020 | $30,000 |
Park National Corporation | Park National Corp. | financial services | accounting fraud or deficiencies | 2016 | $500,000 |
Park Financial Group, Inc. | | | investor protection violation | 2007 | $30,373 |
Park Avenue Securities LLC | | | investor protection violation | 2019 | $564,267 |
Paritz & Company | | | accounting fraud or deficiencies | 2017 | $132,049 |
Pareteum Corporation | | | investor protection violation | 2021 | $500,000 |
Paratus Financial Inc. | | | investor protection violation | 2021 | $97,523 |
Paramount Group Real Estate Advisor LLC | | | investor protection violation | 2017 | $250,000 |
Parallax Investments, LLC | | | investor protection violation | 2015 | $200,000 |
Parallax Health Sciences Inc. | | | investor protection violation | 2021 | $100,000 |
Paragon Coin Inc. | | | investor protection violation | 2018 | $250,000 |
Paradigm Wealth Advisory, LLC | | | investor protection violation | 2021 | $440,103 |
Paradigm Capital Management, Inc. | | | investor protection violation | 2014 | $2,181,771 |
Panasonic Corp. | Panasonic | electrical and electronic equipment | Foreign Corrupt Practices Act | 2018 | $143,000,000 |
PanaMed Corp. | | | investor protection violation | 2004 | $5,000 |
Panalpina, Inc. | DSV | freight and logistics | Foreign Corrupt Practices Act | 2010 | $11,329,369 |
Pan Capital AB | | | investor protection violation | 2013 | $662,497 |
Palmyra Capital Advisors LLC, | | | investor protection violation | 2010 | $330,000 |
Palmer Square Capital Management LLC | | | investor protection violation | 2020 | $450,000 |
Palm Beach Atlantic Financial Group, LLC | | | investor protection violation | 2019 | $75,000 |
Palestra Capital Management LLC | | | investor protection violation | 2017 | $180,968 |
PaineWebber Incorporated | UBS | financial services | investor protection violation | 2000 | $26,200,000 |
Packerland Brokerage Services, Inc. and Atlas Capital Management Corp. | | | investor protection violation | 2017 | $536,886 |
Pacific Investment Management Company LLC (PIMCO) | | | investor protection violation | 2023 | $9,000,000 |
Pacific Investment Management Company (PIMCO) | | | investor protection violation | 2016 | $19,829,807 |
Pacific Growth Equities, LLC | | | investor protection violation | 2007 | $425,000 |
Pacific Air Transport | | | investor protection violation | 2001 | $1,364,692 |
PACCAR | Paccar | motor vehicles | accounting fraud or deficiencies | 2013 | $225,000 |
PA Fund Management LLC, PEA Capital LLC and PA Distributors LLC | Allianz | financial services | investor protection violation | 2004 | $11,600,000 |
PA Fund Management LLC, PEA Capital LLC and PA Distributors LLC | Allianz | financial services | investor protection violation | 2004 | $50,000,000 |
P.A.W. Capital Partners, L.P. | | | investor protection violation | 2014 | $68,000 |
OZ Management LP | Sculptor Capital Management | financial services | data submission deficiencies | 2015 | $4,250,000 |
Oxford Investment Partners, LLC | | | investor protection violation | 2013 | $274,295 |
Oxford Health Plans, Inc. | UnitedHealth Group | healthcare services | accounting fraud or deficiencies | 2002 | $250,000 |
Oxford City Football Club, Inc. | | | investor protection violation | 2017 | $6,853,358 |
Oxbow Advisors, LLC | | | investor protection violation | 2020 | $321,958 |
Ox Trading, LLC, et al. | | | investor protection violation | 2013 | $50,000 |
Owen-Joseph Asset Management Corp.? | | | investor protection violation | 2000 | $68,000 |
Overseas Shipholding Group | Overseas Shipholding Group | freight and logistics | accounting fraud or deficiencies | 2017 | $5,000,000 |
Outset Global LLP | | | investor protection violation | 2019 | $207,409 |
OUM & Co. | | | accounting fraud or deficiencies | 2014 | $10,000 |
OTR, Inc. | | | investor protection violation | 2020 | $10,000 |
OTC Solutions LLC | | | investor protection violation | 2014 | $373,239 |
OTC Global Partners, LLC | | | investor protection violation | 2016 | $87,499 |
Osiris Therapeutics | Smith & Nephew | medical equipment and supplies | accounting fraud or deficiencies | 2017 | $1,500,000 |
Osaic Wealth, Inc. | | | investor protection violation | 2023 | $100,000 |
Orthofix International N.V. | Orthofix Medical | medical equipment and supplies | Foreign Corrupt Practices Act | 2012 | $5,200,000 |
Orthofix International | Orthofix Medical | medical equipment and supplies | Foreign Corrupt Practices Act | 2017 | $14,250,000 |
Orrstown Financial Services, Inc. | | | accounting fraud or deficiencies | 2016 | $1,000,000 |
Orinda Asset Management, LLC | | | investor protection violation | 2016 | $75,000 |
Oriental New Investments, Ltd. and Orienstar Finance, Ltd. | | | investor protection violation | 2008 | $41,774,923 |
Oracle Corporation | Oracle | information technology | Foreign Corrupt Practices Act | 2012 | $2,000,000 |
Oracle Corporation | Oracle | information technology | Foreign Corrupt Practices Act | 2022 | $23,000,000 |
Option One Mortgage Corporation | Ocwen Financial | financial services | toxic securities abuses | 2012 | $28,200,000 |