GID Group, Inc. | | | investor protection violation | 2013 | $2,400,000 |
Trader's International Return Network | | | investor protection violation | 2013 | $22,800,000 |
Angus Jackson, Inc. | | | investor protection violation | 2013 | $2,800,000 |
Lincolnshire Trading Partners, LLC | | | investor protection violation | 2013 | $140,000 |
Trans Global Investments, LLC | | | investor protection violation | 2013 | $340,000 |
R.J. O'Brien & Associates, LLC | | | investor protection violation | 2013 | $300,000 |
UBS AG | UBS | financial services | price-fixing or anti-competitive practices | 2012 | $700,000,000 |
Goldman Sachs | Goldman Sachs | financial services | investor protection violation | 2012 | $1,500,000 |
Morgan Stanley Smith Barney | Morgan Stanley | financial services | investor protection violation | 2012 | $200,000 |
JPMorgan Chase Bank | JPMorgan Chase | financial services | investor protection violation | 2012 | $600,000 |
Citigroup | Citigroup | financial services | investor protection violation | 2012 | $525,000 |
Barclays PLC | Barclays | financial services | price-fixing or anti-competitive practices | 2012 | $200,000,000 |
Morgan Stanley | Morgan Stanley | financial services | investor protection violation | 2012 | $5,000,000 |
JPMorgan Chase Bank | JPMorgan Chase | financial services | accounting fraud or deficiencies | 2012 | $20,000,000 |
Goldman Sachs Execution & Clearing LP | Goldman Sachs | financial services | investor protection violation | 2012 | $7,000,000 |
J.P. Morgan Securities LLC | JPMorgan Chase | financial services | investor protection violation | 2012 | $140,000 |
BlackRock Institutional Trust Company NA | BlackRock | financial services | investor protection violation | 2012 | $250,000 |
TC Credit Service d/b/a Del-Mair Group | | | investor protection violation | 2012 | $2,600,000 |
Trigon Group, Inc. | | | investor protection violation | 2012 | $20,600,000 |
Forex Capital Trading Group, Forex Capital Trading Partners, and Highland Stone Capital Management | | | investor protection violation | 2012 | $1,800,000 |
MBF Clearing Corp. | | | investor protection violation | 2012 | $650,000 |
iGlobal Strategic Management, LLC | | | investor protection violation | 2012 | $2,000,000 |
Cantor Fitzgerald | Cantor Fitzgerald | financial services | investor protection violation | 2012 | $700,000 |
Eagle Market Makers Inc. | | | investor protection violation | 2012 | $223,000 |
Demuzio Capital Management, LLC | | | investor protection violation | 2012 | $3,000,000 |
Crabapple Capital Group LLC | | | investor protection violation | 2012 | $2,600,000 |
Lunden Forex Partners, LP, Lunden Forex Management, LLC , Black Horse Funds, LLC, Black Horse Management, LLC, and Black Horse Partners, LP | | | investor protection violation | 2012 | $1,890,000 |
Farr Financial Inc. | | | investor protection violation | 2012 | $280,000 |
GlobeFX Club, Inc. | | | investor protection violation | 2012 | $350,000 |
Midway Trading Company, LLC and Conquest Investment Group, Inc. | | | investor protection violation | 2012 | $1,400,000 |
CMA Capital Management, LLC | | | investor protection violation | 2012 | $5,500,000 |
Australia and New Zealand Banking Group Ltd. | Australia and New Zealand Banking Group | financial services | investor protection violation | 2012 | $350,000 |
Sheenson Investments, Ltd. | | | investor protection violation | 2012 | $1,500,000 |
York Business Associates LLC d/b/a TransAct Futures | | | investor protection violation | 2012 | $199,000 |
Infinity Futures LLC | | | investor protection violation | 2012 | $340,000 |
ProfitStars Intl, Corp. | | | investor protection violation | 2012 | $280,000 |
Blue Sky Capital Management Corp. | | | investor protection violation | 2012 | $140,000 |
CSG Commodity Service Group | | | investor protection violation | 2012 | $1,200,000 |
SMP Bank and Epaster Investments, Ltd. | | | investor protection violation | 2012 | $980,000 |
Elsworth Berg Capital Management LLC, Elsworth Berg Inc., and Elsworth Berg FX LLC | | | investor protection violation | 2012 | $5,400,000 |
Interactive Brokers LLC | Interactive Brokers Group | financial services | investor protection violation | 2012 | $700,000 |
LMC Asset Management, Inc. | | | investor protection violation | 2012 | $140,000 |
Stuckey Group, L.P., Stuckey Group II, L.P. and Oakwood Development Company, L.P. | | | investor protection violation | 2012 | $250,000 |
Axcess Automation LLC and Axcess Fund Management LLC | | | investor protection violation | 2012 | $41,000,000 |
Growth Capital Management LLC | | | investor protection violation | 2012 | $9,300,000 |
The Trade Tech Institute, Inc. and Technology Trading International, Inc. | | | investor protection violation | 2012 | $15,759,357 |
Alliance Capital Metals LLC and AR Goldman Wealth Management, LLC | | | investor protection violation | 2012 | $2,500,000 |
CDH Forex Investments, LLC and CDH Global Holdings LLC | | | investor protection violation | 2012 | $5,400,000 |
Pro Trading Course, LLC | | | investor protection violation | 2012 | $600,000 |
Open E Cry, LLC | | | investor protection violation | 2012 | $250,000 |
Prosperity Team, LLC | | | investor protection violation | 2012 | $2,600,000 |
Progressive Investment Funds LLC | | | investor protection violation | 2012 | $700,000 |
ACI Capital Group, L.L.C. | | | investor protection violation | 2012 | $850,000 |
Invers Forex, LLC | | | investor protection violation | 2012 | $4,000,000 |
International Foreign Currency | | | investor protection violation | 2012 | $4,600,000 |
Financial Instruments Ltd. | | | investor protection violation | 2012 | $140,000 |
SNC Asset Management, Inc. and SNC Investments, Inc. | | | investor protection violation | 2012 | $5,000,000 |
PassThrough Investments, LLC | | | investor protection violation | 2012 | $1,100,000 |
Forex Liquidity LLC | | | investor protection violation | 2012 | $400,000 |
Optiver Holding BV | | | investor protection violation | 2012 | $14,000,000 |
Flint-McClung Capital LLC | | | investor protection violation | 2012 | $6,000,000 |
Safeguard 3030 Investment Club | | | investor protection violation | 2012 | $3,000,000 |
Rosenthal Collins Group, LLC | | | investor protection violation | 2012 | $2,500,000 |
Total Call Group, Inc. | | | investor protection violation | 2012 | $4,800,000 |
ACJ Capital, Inc. | | | investor protection violation | 2012 | $3,700,000 |
FCStone, LLC and Commodity Operations Inc. | StoneX Group | financial services | investor protection violation | 2012 | $260,000 |
City Credit Capital, (UK) Ltd. | | | investor protection violation | 2012 | $140,000 |
Windsor Brokers, Ltd. | | | investor protection violation | 2012 | $140,000 |
Enfinium Pty Ltd | | | investor protection violation | 2012 | $80,000 |
Virtual Vision Inc. | | | investor protection violation | 2012 | $1,000,000 |
D.E. Shaw & Co. L.P. | | | investor protection violation | 2012 | $140,000 |
Centurion Global Capital Management LLC | | | investor protection violation | 2012 | $360,000 |
Newedge USA, LLC | | | investor protection violation | 2012 | $700,000 |
FXOpen Investments Inc. | | | investor protection violation | 2012 | $140,000 |
Merrill Lynch | Bank of America | financial services | investor protection violation | 2011 | $350,000 |
JG Forex Fund | | | investor protection violation | 2011 | $1,400,000 |
Midwest Land & Livestock, Inc., SKV Farms Inc. and DCV Farms, Inc. | | | investor protection violation | 2011 | $382,000 |
Enskilda Futures Ltd. | | | investor protection violation | 2011 | $150,000 |
JadeFX, LTD and Jade Investments Group, LLC | | | investor protection violation | 2011 | $2,600,000 |
Francis Grant Investments Inc. | | | investor protection violation | 2011 | $500,000 |
Velocity Futures, LLC | | | investor protection violation | 2011 | $180,000 |
Cyber Market Group LLC | | | investor protection violation | 2011 | $500,000 |
First Capital Savings and Loan | | | investor protection violation | 2011 | $4,500,000 |
Queen Shoals, LLC, Queen Shoals II, LLC, and Select Fund, LLC | | | investor protection violation | 2011 | $24,000,000 |
Integra Capital Management, LLC | | | investor protection violation | 2011 | $6,900,000 |
Barki LLC | | | investor protection violation | 2011 | $40,904,000 |
CRW Management LP | | | investor protection violation | 2011 | $19,000,000 |
Forex Capital Markets LLC | Jefferies Financial Group | diversified | investor protection violation | 2011 | $14,200,000 |
Tenco, Inc. | | | investor protection violation | 2011 | $140,000 |
Dearborn Trading, Inc. | | | investor protection violation | 2011 | $180,000 |
Forex Capital Markets Ltd. | Jefferies Financial Group | diversified | investor protection violation | 2011 | $140,000 |
New Golden Investment Group | | | investor protection violation | 2011 | $8,000,000 |
Lodge Capital Group, LLC | | | investor protection violation | 2011 | $825,000 |
Longbranch Group International LLC | | | investor protection violation | 2011 | $2,000,000 |
Ecoval Dairy Trade, Inc. | | | investor protection violation | 2011 | $1,425,000 |
ForInvest Group | | | investor protection violation | 2011 | $280,000 |
Capital Blu Management, LLC | | | investor protection violation | 2011 | $17,000,000 |
Raleigh Capital Management, Inc. | | | investor protection violation | 2011 | $4,000,000 |
Cadent Financial Services LLC | | | investor protection violation | 2011 | $125,000 |
FX Trading, LLC | | | investor protection violation | 2011 | $110,000 |
Winell Associates, Inc. and Maxie Partners GP, LLC | | | investor protection violation | 2011 | $5,200,000 |