Pulse Trading, Inc. | | | investor protection violation | 2004 | $20,000 |
Prudential Securities, Inc. | Wells Fargo | financial services | investor protection violation | 2001 | $10,000 |
Prudential Securities, Inc. | Wells Fargo | financial services | investor protection violation | 2000 | $100,000 |
Prudential Securities Incorporated | Wells Fargo | financial services | investor protection violation | 2001 | $20,000 |
Prudential Securities | Wells Fargo | financial services | investor protection violation | 2008 | $1,050,000 |
Prudential Equity Group, LLC | Prudential Financial | financial services | investor protection violation | 2004 | $17,306 |
Prudential Equity Group, Inc. and Prudential Investment Management Services LLC | Prudential Financial | financial services | investor protection violation | 2004 | $11,500,000 |
Prudential Equity Group LLC | Prudential Financial | financial services | investor protection violation | 2004 | $550,000 |
Prudential Annuities Distributors, Inc. | Prudential Financial | financial services | investor protection violation | 2016 | $950,000 |
Pruco Securities, LLC | Prudential Financial | financial services | investor protection violation | 2012 | $11,250,000 |
Pruco Securities | Prudential Financial | financial services | investor protection violation | 2008 | $100,000 |
Providential Securities, Inc. | | | investor protection violation | 2000 | $115,000 |
ProEquities, Inc. | Dai-ichi Life | financial services | investor protection violation | 2009 | $25,000 |
Prager, Sealy & Co., LLC | | | investor protection violation | 2005 | $30,000 |
Popular Securities, Inc. | | | investor protection violation | 2005 | $40,000 |
Pointe Capital, Inc. | | | investor protection violation | 2011 | $300,000 |
PNC Investments | PNC Financial Services | financial services | investor protection violation | 2009 | $250,000 |
PNC Capital Markets LLC | PNC Financial Services | financial services | investor protection violation | 2016 | $50,000 |
Piper Jaffray Inc. | Piper Sandler | financial services | investor protection violation | 2000 | $933,000 |
Piper Jaffray & Co. | Piper Sandler | financial services | investor protection violation | 2010 | $700,000 |
Piper Jaffray & Co. | Piper Sandler | financial services | investor protection violation | 2008 | $100,000 |
Piper Jaffray & Co. | Piper Sandler | financial services | investor protection violation | 2005 | $280,000 |
Piper Jaffray & Co. | Piper Sandler | financial services | investor protection violation | 2005 | $275,000 |
Piper Jaffray & Co. | Piper Sandler | financial services | investor protection violation | 2004 | $2,400,000 |
Pinnacle Capital Markets | | | anti-money-laundering deficiencies | 2010 | $300,000 |
Phoenix Derivatives Group, LLC | | | investor protection violation | 2010 | $3,000,000 |
PFS Investments, Inc. | | | investor protection violation | 2004 | $450,000 |
Pershing Trading Company, L.P. | | | investor protection violation | 2001 | $20,000 |
Pershing LLC | | | investor protection violation | 2014 | $3,000,000 |
Pershing LLC | | | investor protection violation | 2005 | $30,000 |
Penson Financial Services, Inc. | | | investor protection violation | 2001 | $15,000 |
Penson Financial Services | | | anti-money-laundering deficiencies | 2010 | $450,000 |
Peacock, Hislop, Staley & Given, Inc. | | | investor protection violation | 2000 | $539,117 |
Park Financial Group, Inc. | | | anti-money-laundering deficiencies | 2009 | $400,000 |
Park Avenue Securities LLC | | | investor protection violation | 2015 | $743,255 |
Pacific Crest Securities, Inc. | | | investor protection violation | 2008 | $50,000 |
Pacific Cornerstone Capital | | | investor protection violation | 2009 | $700,000 |
Options Trading Associates, LLC | | | investor protection violation | 2004 | $10,000 |
Oppenheimer and Co., Inc. | Oppenheimer Holdings | financial services | anti-money-laundering deficiencies | 2013 | $1,425,000 |
Oppenheimer & Co., Inc. | Oppenheimer Holdings | financial services | investor protection violation | 2013 | $921,000 |
Oppenheimer & Co. Inc. | Oppenheimer Holdings | financial services | investor protection violation | 2019 | $4,600,000 |
Oppenheimer & Co. Inc. | Oppenheimer Holdings | financial services | investor protection violation | 2016 | $3,425,000 |
Oppenheimer & Co. Inc. | Oppenheimer Holdings | financial services | investor protection violation | 2016 | $2,966,000 |
Oppenheimer & Co. Inc. | Oppenheimer Holdings | financial services | investor protection violation | 2015 | $3,750,000 |
Oppenheimer & Co. Inc. | Oppenheimer Holdings | financial services | investor protection violation | 2007 | $1,000,000 |
Oppenheimer & Co. Inc. | Oppenheimer Holdings | financial services | investor protection violation | 2006 | $800,000 |
Oppenheimer & Co. Inc. | Oppenheimer Holdings | financial services | investor protection violation | 2006 | $250,000 |
Oppenheimer & Co. | Oppenheimer Holdings | financial services | investor protection violation | 2008 | $4,500,000 |
Open to the Public Investing, Inc. | | | investor protection violation | 2023 | $528,124 |
Olympus Securities, LLC | | | investor protection violation | 2010 | $20,000 |
NYLife Securities, Inc. | New York Life Insurance | financial services | investor protection violation | 2004 | $350,000 |
NYLIFE Securities LLC | New York Life Insurance | financial services | investor protection violation | 2007 | $354,000 |
Nuveen Investments, LLC | TIAA | financial services | investor protection violation | 2011 | $3,000,000 |
Northwestern Mutual Investment Services, LLC | Northwestern Mutual | financial services | investor protection violation | 2009 | $200,000 |
Northwestern Mutual Investment Services, LLC | Northwestern Mutual | financial services | investor protection violation | 2007 | $100,000 |
Northern Trust Securities | Northern Trust | financial services | investor protection violation | 2011 | $600,000 |
NEXT Financial Group, Inc. | Atria Wealth Solutions | financial services | investor protection violation | 2011 | $2,050,000 |
NEXT Financial Group, Inc. | Atria Wealth Solutions | financial services | investor protection violation | 2009 | $1,000,000 |
Newedge USA, LLC | | | investor protection violation | 2013 | $9,500,000 |
Newbridge Securities Corporation | | | investor protection violation | 2011 | $25,000 |
New England Securities | MetLife | financial services | investor protection violation | 2009 | $500,000 |
New England Securities | MetLife | financial services | investor protection violation | 2004 | $200,000 |
Needham & Company, LLC | | | investor protection violation | 2008 | $200,000 |
Needham & Company LLC | | | investor protection violation | 2014 | $2,500,000 |
NDB Capital Markets, LP | | | investor protection violation | 2001 | $75,000 |
NDB Capital Markets LP | | | investor protection violation | 2001 | $250,000 |
Nationwide Investment Services Corporation | | | investor protection violation | 2004 | $175,000 |
National Securities Corporation | | | investor protection violation | 2011 | $175,000 |
National Securities Corporation | | | investor protection violation | 2009 | $25,000 |
National Securities Corporation | | | investor protection violation | 2005 | $85,000 |
National Securities Corp. | | | investor protection violation | 2004 | $600,000 |
National Planning Corporation Inc. | | | investor protection violation | 2005 | $1,308,000 |
National Planning Corp. | | | investor protection violation | 2004 | $100,000 |
National Financial Services, L.L.C. | | | investor protection violation | 2001 | $30,000 |
National Financial Services | | | investor protection violation | 2010 | $350,000 |
NatCity Investments, Inc. | | | investor protection violation | 2009 | $300,000 |
Mutual Service Corporation, Inc. | | | investor protection violation | 2001 | $35,000 |
Mutual Service Corporation | | | investor protection violation | 2009 | $1,500,000 |
Mutual Service Corporation | | | investor protection violation | 2005 | $1,300,000 |
Multi-Financial Securities Corporation | | | investor protection violation | 2009 | $150,000 |
Morgan Stanley Smith Barney, LLC | Morgan Stanley | financial services | investor protection violation | 2015 | $650,000 |
Morgan Stanley Smith Barney LLC and Morgan Stanley & Co. LLC | Morgan Stanley | financial services | investor protection violation | 2013 | $1,188,000 |
Morgan Stanley Smith Barney LLC | Morgan Stanley | financial services | investor protection violation | 2019 | $280,000 |
Morgan Stanley Smith Barney LLC | Morgan Stanley | financial services | anti-money-laundering deficiencies | 2018 | $10,000,000 |
Morgan Stanley Smith Barney LLC | Morgan Stanley | financial services | investor protection violation | 2017 | $13,030,000 |
Morgan Stanley Smith Barney LLC | Morgan Stanley | financial services | investor protection violation | 2014 | $5,000,000 |
Morgan Stanley Smith Barney LLC | Morgan Stanley | financial services | investor protection violation | 2024 | $1,600,000 |
Morgan Stanley DW, Inc. | Morgan Stanley | financial services | investor protection violation | 2005 | $6,100,000 |
Morgan Stanley DW Inc. | Morgan Stanley | financial services | investor protection violation | 2007 | $6,100,000 |
Morgan Stanley DW Inc. | Morgan Stanley | financial services | investor protection violation | 2006 | $100,000 |
Morgan Stanley DW Inc. | Morgan Stanley | financial services | investor protection violation | 2004 | $2,200,000 |
Morgan Stanley DW Inc. | Morgan Stanley | financial services | investor protection violation | 2004 | $250,000 |
Morgan Stanley DW Inc. | Morgan Stanley | financial services | investor protection violation | 2004 | $38,312 |
Morgan Stanley DW Inc. | Morgan Stanley | financial services | 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. $50,000,000 |
Morgan Stanley DW Inc. | Morgan Stanley | financial services | investor protection violation | 2003 | $2,000,000 |
Morgan Stanley DW Inc | Morgan Stanley | financial services | investor protection violation | 2004 | $336,510 |
Morgan Stanley & Co., LLC | Morgan Stanley | financial services | investor protection violation | 2014 | $4,000,000 |
Morgan Stanley & Co., LLC | Morgan Stanley | financial services | investor protection violation | 2012 | $2,146,431 |
Morgan Stanley & Co., Inc. | Morgan Stanley | financial services | investor protection violation | 2010 | $800,000 |
Morgan Stanley & Co., Inc. | Morgan Stanley | financial services | investor protection violation | 2000 | $495,000 |
Morgan Stanley & Co. LLC | Morgan Stanley | financial services | investor protection violation | 2015 | $2,000,000 |