Azarmehr Law Group | | | investor protection violation | 2015 | $57,965 |
Alpha Fiduciary, Inc. | | | investor protection violation | 2015 | $250,000 |
Cranshire Capital Advisors, LLC | | | investor protection violation | 2015 | $250,000 |
JH Partners, LLC | | | investor protection violation | 2015 | $225,000 |
Virtus Investment Advisers, Inc. | | | investor protection violation | 2015 | $16,500,000 |
Metis Wealth Advisors, LLC | | | investor protection violation | 2015 | $71,489 |
Cherokee Investment Partners, LLC and Cherokee Advisers, LLC | | | investor protection violation | 2015 | $100,000 |
Retirement Investment Advisors, Inc. and Research Holdings, LLC | | | investor protection violation | 2015 | $219,243 |
Welhouse & Associates, Inc. | | | investor protection violation | 2015 | $769,059 |
Latour Trading LLC | | | investor protection violation | 2015 | $8,053,439 |
Edward D. Jones & Co., L.P. | Jones Financial | financial services | investor protection violation | 2015 | $100,000 |
Duncan-Williams, Inc | | | investor protection violation | 2015 | $250,000 |
Crews & Associates, Inc. | | | investor protection violation | 2015 | $250,000 |
Country Club Bank | | | investor protection violation | 2015 | $140,000 |
Commerce Bank Capital Markets Group | | | investor protection violation | 2015 | $40,000 |
Comerica Securities, Inc. | Comerica | financial services | investor protection violation | 2015 | $60,000 |
BB&T Securities, LLC | Truist Financial | financial services | investor protection violation | 2015 | $200,000 |
Ameritas Investment Corp. | Ameritas Mutual Holding Company | financial services | investor protection violation | 2015 | $200,000 |
NW Capital Markets Inc. | | | investor protection violation | 2015 | $100,000 |
Northland Securities, Inc. | | | investor protection violation | 2015 | $220,000 |
Mesirow Financial, Inc. | | | investor protection violation | 2015 | $100,000 |
Joe Jolly & Co., Inc. | | | investor protection violation | 2015 | $100,000 |
J.J.B. Hilliard and W.L. Lyons, LLC | | | investor protection violation | 2015 | $420,000 |
The Frazer Lanier Company, Incorporated | | | investor protection violation | 2015 | $100,000 |
Fifth Third Securities, Inc. | Fifth Third Bancorp | financial services | investor protection violation | 2015 | $20,000 |
Estrada Hinojosa & Company, Inc. | | | investor protection violation | 2015 | $40,000 |
U.S. Bank Municipal Securities Group | U.S. Bancorp | financial services | investor protection violation | 2015 | $60,000 |
UMB Bank N.A. Investment Banking Division | UMB Financial Corp. | financial services | investor protection violation | 2015 | $420,000 |
UBS Financial Services Inc. | UBS | financial services | investor protection violation | 2015 | $480,000 |
Ross, Sinclaire & Associates, LLC | | | investor protection violation | 2015 | $220,000 |
Prager & Co., LLC | | | investor protection violation | 2015 | $100,000 |
PNC Capital Markets LLC | PNC Financial Services | financial services | investor protection violation | 2015 | $500,000 |
Hyperdynamics Corporation | | | investor protection violation | 2015 | $75,000 |
G Asset Management, LLC | | | investor protection violation | 2015 | $175,000 |
R.T. Jones Capital Equities Management, Inc. | | | investor protection violation | 2015 | $75,000 |
Ditto Holdings, Inc. | | | investor protection violation | 2015 | $50,000 |
Mackensen & Company, Inc. | | | investor protection violation | 2015 | $100,000 |
Success Trade, Inc. and Success Trade Securities, Inc. | | | investor protection violation | 2015 | $26,158,214 |
Signator Investors, Inc. | | | investor protection violation | 2015 | $450,000 |
Acadia Asset Management, LLC | | | investor protection violation | 2015 | $354,115 |
Tri-Star Advisors, Inc. | | | investor protection violation | 2015 | $150,000 |
Parallax Investments, LLC | | | investor protection violation | 2015 | $200,000 |
Gold Mountain Management, LLC | | | investor protection violation | 2015 | $200,000 |
Montgomery Street Research, LLC | | | investor protection violation | 2015 | $342,718 |
Dion Money Management, LLC | | | investor protection violation | 2015 | $50,000 |
Macquarie Capital Investment Management LLC, et al | Macquarie | financial services | investor protection violation | 2015 | $120,000 |
Wisteria Global, Inc. | | | investor protection violation | 2015 | $1,138,935 |
Cotterman-Wilson CPAs, Inc | | | investor protection violation | 2015 | $36,897 |
Pekin Singer Strauss Asset Management Inc | | | investor protection violation | 2015 | $150,000 |
Commonwealth Capital Management, LLC, et al. | | | investor protection violation | 2015 | $50,000 |
SFX Financial Advisory Management Enterprises, Inc. | | | investor protection violation | 2015 | $150,000 |
Trust & Investment Advisors, Inc. | | | investor protection violation | 2015 | $50,000 |
Alpha Titans LLC | | | investor protection violation | 2015 | $698,450 |
Houston American Energy Corp. | | | investor protection violation | 2015 | $400,000 |
StateTrust Investments, Inc. | | | investor protection violation | 2015 | $90,000 |
Kornitzer Capital Management, Inc. | | | investor protection violation | 2015 | $50,000 |
KBR, Inc. | KBR | construction and engineering | investor protection violation | 2015 | $130,000 |
Global Fixed Income, LLC, et al. | | | investor protection violation | 2015 | $3,385,989 |
Keypoint Capital Management, LLC | | | investor protection violation | 2015 | $77,250 |
Coral Reef Media, LLC | | | investor protection violation | 2015 | $52,395 |
Stilwell Value LLC | | | investor protection violation | 2015 | $250,000 |
SMP Investments I, LLC | | | investor protection violation | 2015 | $63,750 |
Water Island Capital LLC | | | investor protection violation | 2015 | $50,000 |
Child, Van Wagoner & Bradshaw, PLLC | | | investor protection violation | 2015 | $130,506 |
New Line Capital, LLC | | | investor protection violation | 2015 | $25,000 |
Wyoming Investment Management Services, LLC | | | investor protection violation | 2015 | $10,000 |
International Capital Group, LLC | | | investor protection violation | 2015 | $3,170,054 |
First National Community Bancorp Inc | | | investor protection violation | 2015 | $175,000 |
Consulting Services Group, LLC | | | investor protection violation | 2015 | $150,000 |
Shelton Financial Group, Inc. | | | investor protection violation | 2015 | $190,066 |
EDGA Exchange, Inc. and EDGX Exchange, Inc. | | | investor protection violation | 2015 | $14,000,000 |
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 |
Edwin Shaw LLC | | | investor protection violation | 2018 | $544,744 |
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 |
Dedicated Sound and Audio, Inc. | | | investor protection violation | 2018 | $250,000 |
Choice Equity | | | investor protection violation | 2018 | $2,430,850 |
Southridge Capital Management LLC and Southridge Advisors LLC | | | investor protection violation | 2018 | $7,864,064 |
Capital Cove Bancorp LLC | | | investor protection violation | 2018 | $1,829,868 |
PNC Investments LLC | PNC Financial Services | financial services | investor protection violation | 2018 | $7,307,770 |
Securities America Advisors Inc. | Reverence Capital Partners | private equity (including portfolio companies) | investor protection violation | 2018 | $5,828,448 |
Geneos Wealth Management Inc. | | | investor protection violation | 2018 | $1,808,121 |
CSIR Group, LLC | | | investor protection violation | 2018 | $17,142 |
Verto Capital Management LLC | | | investor protection violation | 2018 | $620,594 |
Electronic Transaction Clearing Inc. | | | investor protection violation | 2018 | $80,000 |
Eureeca Capital SPC | | | investor protection violation | 2014 | $25,000 |
Clean Energy Capital, LLC | | | investor protection violation | 2014 | $2,246,030 |
Rothman Securities, Inc. | | | investor protection violation | 2014 | $90,000 |
Highland Capital Management, L.P. | | | investor protection violation | 2014 | $225,000 |
Colorado Financial Service Corporation | | | investor protection violation | 2014 | $25,000 |
Westend Capital Management, LLC | | | investor protection violation | 2014 | $150,000 |
Security Capital Research & Management Incorporated | | | investor protection violation | 2014 | $88,000 |
Willis Lease Finance Corporation | | | investor protection violation | 2014 | $150,000 |
Tel-Instrument Electronics Corp. | | | investor protection violation | 2014 | $75,000 |
KMG Chemicals, Inc. | Entegris | electrical and electronic equipment | investor protection violation | 2014 | $150,000 |
Jones Lang LaSalle Incorporated | Jones Lang LaSalle | real estate | investor protection violation | 2014 | $150,000 |
Del Mar Asset Management, LP | | | investor protection violation | 2014 | $66,000 |
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 |