Stifel, Nicolaus & Company, Incorporated | Stifel Financial | financial services | investor protection violation | 2020 | $3,650,000 |
Stifel, Nicolaus & Company, Inc. | Stifel Financial | financial services | investor protection violation | 2001 | $225,000 |
Stifel Nicolaus & Company, Inc. | Stifel Financial | financial services | investor protection violation | 2015 | $2,900,000 |
Stifel Nicolaus & Company | Stifel Financial | financial services | investor protection violation | 2004 | $125,000 |
Stifel Financial Corporation | Stifel Financial | financial services | investor protection violation | 2014 | $1,025,000 |
Sterling Financial Investment Group | | | investor protection violation | 2002 | $40,000 |
Stephens, Inc. | | | investor protection violation | 2005 | $110,000 |
Stephens Inc. | | | investor protection violation | 2016 | $900,000 |
Stephens Inc. | | | investor protection violation | 2015 | $150,000 |
Stephen L. Falk & Associates, Inc. | | | investor protection violation | 2009 | $7,500 |
StateTrust Investments, Inc. | | | investor protection violation | 2013 | $1,398,000 |
State Street Research Investment Services, Inc. | BlackRock | financial services | investor protection violation | 2004 | $1,500,000 |
State Street Global Markets LLC | State Street Corp. | financial services | investor protection violation | 2005 | $1,400,000 |
StartEngine Capital LLC | | | investor protection violation | 2022 | $350,000 |
Spelman & Co. | | | investor protection violation | 2009 | $10,000 |
Spear, Leeds & Kellogg, L.P. | Goldman Sachs | financial services | investor protection violation | 2004 | $75,000 |
Spear, Leeds & Kellogg, L.P | Goldman Sachs | financial services | investor protection violation | 2005 | $1,000,000 |
Spear, Leeds & Kellogg | Goldman Sachs | financial services | investor protection violation | 2001 | $10,000 |
Southwest Securities, Inc. | Hilltop Holdings | financial services | investor protection violation | 2011 | $650,000 |
Southwest Securities, Inc. | Hilltop Holdings | financial services | investor protection violation | 2011 | $500,000 |
Southwest Securities, Inc. | Hilltop Holdings | financial services | investor protection violation | 2004 | $36,971 |
Southwest Securities Inc. | Hilltop Holdings | financial services | investor protection violation | 2000 | $500,000 |
SogoTrade, Inc. | | | investor protection violation | 2023 | $204,767 |
SoFi Securities LLC | | | investor protection violation | 2023 | $698,282 |
SMH Capital Inc. | | | investor protection violation | 2008 | $450,000 |
SII Investments, Inc. | | | investor protection violation | 2005 | $658,500 |
SII Investments, Inc. | | | investor protection violation | 2004 | $100,000 |
SIGMA Financial Corporation | | | investor protection violation | 2009 | $50,000 |
Sigma Financial Corporation | | | investor protection violation | 2004 | $135,000 |
SG Cowen, LLC | Toronto-Dominion Bank | financial services | investor protection violation | 2004 | $800,000 |
SG Americas Securities, LLC | Societe Generale | financial services | investor protection violation | 2020 | $1,550,000 |
SG Americas Securities, LLC | Societe Generale | financial services | investor protection violation | 2005 | $4,478,000 |
SG Americas Securities, Inc. | Societe Generale | financial services | investor protection violation | 2013 | $675,000 |
Sentra Securities Corporation and Spelman & Co., Inc. | | | investor protection violation | 2005 | $780,000 |
Sentinel Financial Services Company | | | investor protection violation | 2004 | $700,000 |
Securities America, Inc. | Reverence Capital Partners | private equity (including portfolio companies) | investor protection violation | 2015 | $752,686 |
Securities America, Inc. | Reverence Capital Partners | private equity (including portfolio companies) | investor protection violation | 2011 | $250,000 |
Securities America, Inc. | Reverence Capital Partners | private equity (including portfolio companies) | investor protection violation | 2009 | $55,000 |
Securities America, Inc. | Reverence Capital Partners | private equity (including portfolio companies) | investor protection violation | 2007 | $322,000 |
Securities America, Inc. | Reverence Capital Partners | private equity (including portfolio companies) | investor protection violation | 2006 | $16,300,000 |
Securities America, Inc. | Reverence Capital Partners | private equity (including portfolio companies) | investor protection violation | 2005 | $2,400,000 |
Securities America | Reverence Capital Partners | private equity (including portfolio companies) | investor protection violation | 2014 | $625,000 |
Scudder Distributors, Inc. | | | investor protection violation | 2007 | $425,000 |
Scottrade, Inc. | Charles Schwab Corp. | financial services | investor protection violation | 2015 | $2,600,000 |
Scottrade, Inc. | Charles Schwab Corp. | financial services | investor protection violation | 2015 | $300,000 |
Scottrade, Inc. | Charles Schwab Corp. | financial services | investor protection violation | 2010 | $200,000 |
Scottrade, Inc. | Charles Schwab Corp. | financial services | investor protection violation | 2005 | $250,000 |
Scottrade, Inc. | Charles Schwab Corp. | financial services | investor protection violation | 2004 | $16,000 |
Scottrade | Charles Schwab Corp. | financial services | anti-money-laundering deficiencies | 2009 | $600,000 |
Scott & Stringfellow, Inc. | | | investor protection violation | 2000 | $393,263 |
Schwab Capital Markets, L.P. | UBS | financial services | investor protection violation | 2004 | $70,000 |
Schwab Capital Markets | UBS | financial services | investor protection violation | 2001 | $12,000 |
Schonfeld & Company LLC | | | investor protection violation | 2006 | $175,000 |
Santander Securities of Puerto Rico | Banco Santander | financial services | investor protection violation | 2011 | $2,000,000 |
Santander Securities LLC | Banco Santander | financial services | investor protection violation | 2015 | $6,421,000 |
Sanford C. Bernstein & Co. | Equitable Holdings | financial services | investor protection violation | 2006 | $350,000 |
Salomon Whitney LLC | | | investor protection violation | 2011 | $60,000 |
Salomon Smith Barney Inc. | Morgan Stanley | financial services | investor protection violation | 2002 | (*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $1,650,000 |
Salomon Smith Barney | Morgan Stanley | financial services | investor protection violation | 2002 | $5,000,000 |
Royal Alliance Associates, Inc. | Reverence Capital Partners | private equity (including portfolio companies) | investor protection violation | 2006 | $250,000 |
Royal Alliance Associates, Inc. | Reverence Capital Partners | private equity (including portfolio companies) | investor protection violation | 2005 | $6,600,000 |
Rodman & Renshaw LLC | | | investor protection violation | 2012 | $315,000 |
Robinhood Financial, LLC | Robinhood Markets | financial services | investor protection violation | 2019 | $1,250,000 |
Robinhood Financial LLC | Robinhood Markets | financial services | investor protection violation | 2021 | $69,600,000 |
Robertson Stephens, Inc. | | | investor protection violation | 2004 | $275,000 |
Robertson Stephens, Inc. | | | investor protection violation | 2003 | (*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $14,000,000 |
Robert W. Baird & Co., Inc. | | | investor protection violation | 2008 | $200,000 |
Robert W. Baird & Co. | | | investor protection violation | 2009 | $934,510 |
RD Capital Group | | | investor protection violation | 2009 | $1,000,000 |
RBS Securities, Inc. | NatWest Group PLC | financial services | investor protection violation | 2016 | $2,000,000 |
RBC Dain Rauscher, Inc. | Royal Bank of Canada | financial services | investor protection violation | 2005 | $1,158,000 |
RBC Dain Rauscher, Inc. | Royal Bank of Canada | financial services | investor protection violation | 2005 | $1,700,000 |
RBC Dain Rauscher, Inc. | Royal Bank of Canada | financial services | investor protection violation | 2004 | $150,000 |
RBC Dain Rauscher Inc. | Royal Bank of Canada | financial services | investor protection violation | 2006 | $250,000 |
RBC Capital Markets LLC and RBC Capital Markets Arbitrage S.A. | Royal Bank of Canada | financial services | investor protection violation | 2016 | $3,500,000 |
RBC Capital Markets Corporation | Royal Bank of Canada | financial services | investor protection violation | 2010 | $135,000 |
RBC Capital Markets Corporation | Royal Bank of Canada | financial services | investor protection violation | 2009 | $400,000 |
RBC Capital Markets Corporation | Royal Bank of Canada | financial services | investor protection violation | 2005 | $2,108,000 |
RBC Capital Markets Corp. | Royal Bank of Canada | financial services | investor protection violation | 2008 | $150,000 |
RBC Capital Markets | Royal Bank of Canada | financial services | investor protection violation | 2015 | $1,434,000 |
Raymond James Financial Services, Inc. | Raymond James Financial | financial services | investor protection violation | 2017 | $2,000,000 |
Raymond James Financial Services Inc. | Raymond James Financial | financial services | investor protection violation | 2007 | $2,750,000 |
Raymond James Financial Services Inc. | Raymond James Financial | financial services | investor protection violation | 2004 | $400,000 |
Raymond James & Associates, Inc. and Raymond James Financial Services, Inc. | Raymond James Financial | financial services | investor protection violation | 2019 | $8,000,000 |
Raymond James & Associates, Inc. and Raymond James Financial Services, Inc. | Raymond James Financial | financial services | anti-money-laundering deficiencies | 2016 | $17,000,000 |
Raymond James & Associates, Inc. and Raymond James Financial Services, Inc. | Raymond James Financial | financial services | investor protection violation | 2015 | $8,700,000 |
Raymond James & Associates, Inc. and Raymond James Financial Services, Inc. | Raymond James Financial | financial services | investor protection violation | 2011 | $2,115,000 |
Raymond James & Associates, Inc. and Raymond James Financial Services, Inc. | Raymond James Financial | financial services | investor protection violation | 2005 | $888,000 |
Raymond James & Associates, Inc. | Raymond James Financial | financial services | investor protection violation | 2009 | $1,000,000 |
Raymond James & Associates, Inc. | Raymond James Financial | financial services | investor protection violation | 2005 | $90,000 |
Raymond James & Associates Inc. | Raymond James Financial | financial services | investor protection violation | 2000 | $3,410,000 |
Ramius Securities LLC | | | investor protection violation | 2001 | $10,000 |
Ramius Securities L.L.C. | | | investor protection violation | 2001 | $61,000 |
Rafferty Capital Markets, LLC | | | investor protection violation | 2007 | $409,605 |
R.D. White & Co., Inc. | | | investor protection violation | 2000 | $500,000 |
Quick & Reilly, Inc. | | | investor protection violation | 2005 | $570,000 |
Quick & Reilly, Inc. | | | investor protection violation | 2004 | $125,000 |
Quantlab Securities, L.P. | | | investor protection violation | 2004 | $12,500 |
Putnam Retail Management Limited Partnership | Franklin Resources | financial services | investor protection violation | 2007 | $175,000 |
Purshe Kaplan Sterling Investments | | | investor protection violation | 2017 | $4,150,000 |
Pulse Trading, Inc. | | | investor protection violation | 2004 | $20,000 |