Morgan Stanley & Co. LLC | Morgan Stanley | financial services | investor protection violation | 2015 | $2,000,000 |
Morgan Stanley & Co. Incorporated | Morgan Stanley | financial services | investor protection violation | 2006 | $200,000 |
Morgan Stanley & Co. Incorporated | 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 |
Morgan Stanley & Co. Inc. and Morgan Stanley Smith Barney LLC | Morgan Stanley | financial services | investor protection violation | 2011 | $1,371,000 |
Morgan Stanley & Co. Inc. | Morgan Stanley | financial services | investor protection violation | 2004 | $5,390,000 |
Morgan Stanley & Co. Inc. | Morgan Stanley | financial services | investor protection violation | 2000 | $200,000 |
Morgan Stanley & Co. | Morgan Stanley | financial services | investor protection violation | 2009 | $7,200,000 |
Morgan Stanley & Co. | Morgan Stanley | financial services | investor protection violation | 2007 | $12,500,000 |
Morgan Stanley & Co. | Morgan Stanley | financial services | investor protection violation | 2005 | $2,650,000 |
Morgan Stanley | Morgan Stanley | financial services | investor protection violation | 2012 | $817,754 |
Morgan Stanley | Morgan Stanley | financial services | investor protection violation | 2006 | $2,900,000 |
Monex Securities Inc. | | | investor protection violation | 2014 | $1,275,000 |
Momentum Securities, LLC | | | investor protection violation | 2001 | $75,000 |
MML Investors Services, Inc. | Massachusetts Mutual Life Insurance | financial services | investor protection violation | 2007 | $473,000 |
MML Investor Services, Inc. | Massachusetts Mutual Life Insurance | financial services | investor protection violation | 2004 | $250,000 |
Miller Tabak Roberts Securities, LLC | | | investor protection violation | 2004 | $5,000,000 |
Mid-Atlantic Capital Corporation | | | investor protection violation | 2004 | $10,000 |
Metropolitan Life Insurance Co. | MetLife | financial services | investor protection violation | 2004 | $375,000 |
Metropolitan Investment Securities, Inc. | | | investor protection violation | 2003 | $4,300,000 |
MetLife, Inc. | MetLife | financial services | investor protection violation | 2006 | $5,000,000 |
MetLife Securities, Inc. | MetLife | financial services | investor protection violation | 2016 | $25,000,000 |
MetLife Securities, Inc. | MetLife | financial services | investor protection violation | 2015 | $649,748 |
MetLife Securities, Inc. | MetLife | financial services | investor protection violation | 2009 | $1,200,000 |
MetLife Securities, Inc | MetLife | financial services | investor protection violation | 2006 | $500,000 |
Merrill Lynch, Pierce, Fenner and Smith Inc. | Bank of America | financial services | investor protection violation | 2016 | $2,800,000 |
Merrill Lynch, Pierce, Fenner & Smith, Inc. | Bank of America | financial services | investor protection violation | 2016 | $5,000,000 |
Merrill Lynch, Pierce, Fenner & Smith, Inc. | Bank of America | financial services | investor protection violation | 2014 | $32,400,000 |
Merrill Lynch, Pierce, Fenner & Smith, Inc. | Bank of America | financial services | investor protection violation | 2014 | $1,000,000 |
Merrill Lynch, Pierce, Fenner & Smith, Inc. | Bank of America | financial services | investor protection violation | 2012 | $2,800,000 |
Merrill Lynch, Pierce, Fenner & Smith, Inc. | Bank of America | financial services | investor protection violation | 2009 | $150,000 |
Merrill Lynch, Pierce, Fenner & Smith, Inc. | Bank of America | financial services | investor protection violation | 2008 | $200,000 |
Merrill Lynch, Pierce, Fenner & Smith, Inc. | Bank of America | financial services | investor protection violation | 2004 | $1,600,000 |
Merrill Lynch, Pierce, Fenner & Smith, Inc. | Bank of America | financial services | investor protection violation | 2001 | $15,000 |
Merrill Lynch, Pierce, Fenner & Smith, Inc. | Bank of America | financial services | investor protection violation | 2000 | $97,000 |
Merrill Lynch, Pierce, Fenner & Smith, Inc. | Bank of America | financial services | investor protection violation | 2021 | $11,650,000 |
Merrill Lynch, Pierce, Fenner & Smith, Inc. | Bank of America | financial services | investor protection violation | 2022 | $15,200,000 |
Merrill Lynch, Pierce, Fenner & Smith Incorporated | Bank of America | financial services | investor protection violation | 2019 | $280,000 |
Merrill Lynch, Pierce, Fenner & Smith Incorporated | Bank of America | financial services | investor protection violation | 2019 | $4,000,000 |
Merrill Lynch, Pierce, Fenner & Smith Incorporated | Bank of America | financial services | investor protection violation | 2017 | $1,400,000 |
Merrill Lynch, Pierce, Fenner & Smith Incorporated | Bank of America | financial services | investor protection violation | 2014 | $2,440,000 |
Merrill Lynch, Pierce, Fenner & Smith Incorporated | Bank of America | financial services | investor protection violation | 2013 | $2,000,000 |
Merrill Lynch, Pierce, Fenner & Smith Incorporated | Bank of America | financial services | investor protection violation | 2004 | $250,000 |
Merrill Lynch, Pierce, Fenner & Smith Inc. | Bank of America | financial services | investor protection violation | 2020 | $7,200,000 |
Merrill Lynch, Pierce, Fenner & Smith Inc. | Bank of America | financial services | securities issuance or trading violation | 2018 | $5,990,530 |
Merrill Lynch, Pierce, Fenner & Smith Inc. | Bank of America | financial services | investor protection violation | 2016 | $7,030,000 |
Merrill Lynch, Pierce, Fenner & Smith Inc. | Bank of America | financial services | investor protection violation | 2014 | $4,000,000 |
Merrill Lynch, Pierce, Fenner & Smith Inc. | Bank of America | financial services | investor protection violation | 2013 | $1,373,000 |
Merrill Lynch, Pierce, Fenner & Smith Inc. | Bank of America | financial services | investor protection violation | 2012 | $500,000 |
Merrill Lynch, Pierce, Fenner & Smith Inc. | Bank of America | financial services | investor protection violation | 2011 | $1,000,000 |
Merrill Lynch, Pierce, Fenner & Smith Inc. | Bank of America | financial services | investor protection violation | 2006 | $5,000,000 |
Merrill Lynch, Pierce, Fenner & Smith Inc. | Bank of America | financial services | investor protection violation | 2004 | $109,527 |
Merrill Lynch, Pierce, Fenner & Smith Inc. | Bank of America | financial services | anti-money-laundering deficiencies | 2023 | $6,000,000 |
Merrill Lynch, Pierce, Fenner & Smith | Bank of America | financial services | investor protection violation | 2012 | $1,000,000 |
Merrill Lynch, Pierce, Fenner & Smith | Bank of America | financial services | investor protection violation | 2005 | $14,000,000 |
Merrill Lynch | Bank of America | financial services | investor protection violation | 2014 | $6,000,000 |
Merrill Lynch | Bank of America | financial services | investor protection violation | 2012 | $1,074,200 |
Merrill Lynch | Bank of America | financial services | investor protection violation | 2011 | $3,000,000 |
Merrill Lynch | Bank of America | financial services | investor protection violation | 2010 | $2,500,000 |
Merrill Lynch | Bank of America | financial services | investor protection violation | 2008 | $250,000 |
McLaughlin, Piven and Vogel Securities Inc. | | | investor protection violation | 2006 | $50,000 |
McDonald Investments Inc. | | | investor protection violation | 2005 | $1,500,000 |
Macquarie Capital (USA) Inc. | Macquarie | financial services | investor protection violation | 2015 | $2,950,000 |
M1 Finance LLC | | | investor protection violation | 2023 | $1,236,918 |
M1 Finance LLC | | | investor protection violation | 2024 | $850,000 |
M.H. Meyerson, & Co., Inc. | | | investor protection violation | 2002 | $75,000 |
M&T Securities, Inc. | M&T Bank | financial services | investor protection violation | 2009 | $200,000 |
M&I Financial Advisors, Inc. | | | investor protection violation | 2009 | $150,000 |
Lutheran Brotherhood Securities Corp. | | | investor protection violation | 2001 | $25,000 |
LPL Financial, LLC | LPL Financial | financial services | investor protection violation | 2018 | $2,750,000 |
LPL Financial LLC | LPL Financial | financial services | investor protection violation | 2019 | $280,000 |
LPL Financial LLC | LPL Financial | financial services | investor protection violation | 2016 | $750,000 |
LPL Financial LLC | LPL Financial | financial services | investor protection violation | 2015 | $6,300,000 |
LPL Financial LLC | LPL Financial | financial services | investor protection violation | 2015 | $11,700,000 |
LPL Financial LLC | LPL Financial | financial services | investor protection violation | 2014 | $950,000 |
LPL Financial LLC | LPL Financial | financial services | investor protection violation | 2013 | $9,000,000 |
Lord Abbett Distributor, LLC | | | investor protection violation | 2005 | $255,000 |
Loop Capital Markets, LLC | | | investor protection violation | 2005 | $40,000 |
Linsco/Private Ledger Corporation | | | investor protection violation | 2005 | $2,400,000 |
Linsco/Private Ledger Corp. | | | investor protection violation | 2005 | $3,602,398 |
LINSCO/Private Ledger Corp. | | | investor protection violation | 2004 | $450,000 |
Lincoln Investment Planning, Inc. | | | investor protection violation | 2009 | $15,000 |
Lincoln Financial Securities, Inc. and Lincoln Financial Advisors Corporation | Lincoln National | financial services | investor protection violation | 2011 | $600,000 |
Lincoln Financial Advisors Corporation | Lincoln National | financial services | investor protection violation | 2005 | $950,000 |
LH Ross | | | investor protection violation | 2005 | $11,968,000 |
Leonard & Company | | | investor protection violation | 2009 | $60,000 |
Leonard & Co. | | | investor protection violation | 2009 | $225,000 |
Lek Securities Corporation | | | investor protection violation | 2019 | $900,000 |
Lehman Brothers, Inc. | | | investor protection violation | 2008 | $200,000 |
Lehman Brothers, Inc. | | | investor protection violation | 2001 | $65,000 |
Lehman Brothers Inc. | | | investor protection violation | 2004 | $123,882 |
Legent Clearing, LLC | | | anti-money-laundering deficiencies | 2009 | $350,000 |
Legacy Trading Co., LLC | | | investor protection violation | 2009 | $1,007,035 |
Leerink Swann & Company, Inc. | | | investor protection violation | 2008 | $150,000 |
LaSalle Street Securities, Inc. | | | investor protection violation | 2006 | $200,000 |
LaSalle St. Securities, LLC | | | investor protection violation | 2015 | $175,000 |
LaSalle St. Securities, L.L.C. | | | investor protection violation | 2000 | $13,000 |
Ladenburg Thalmann & Co. | Reverence Capital Partners | private equity (including portfolio companies) | investor protection violation | 2005 | $1,200,000 |
Ko Securities, Inc. | | | investor protection violation | 2001 | $162,450 |
Knight Securities, L.P. | Virtu Financial | financial services | investor protection violation | 2004 | $12,500,000 |
Knight Securities L.P. | Virtu Financial | financial services | investor protection violation | 2002 | $1,500,000 |
Kirkpatrick, Pettis, Smith, Polian Inc. | | | investor protection violation | 2004 | $39,935 |