Fox & Company Investments Inc. | | | investor protection violation | 2009 | $45,000 |
Fleet Securities, Inc. | | | investor protection violation | 2001 | $50,000 |
Fleet Securities, Inc. | | | investor protection violation | 2001 | $40,000 |
Firstrade Securities, Inc. | | | anti-money-laundering deficiencies | 2013 | $300,000 |
First Union Securities, Inc. | Wells Fargo | financial services | investor protection violation | 2000 | $350,000 |
First Union Brokerage Services, Inc. | Wells Fargo | financial services | investor protection violation | 2001 | $32,500 |
First Trust Portfolios L.P | | | investor protection violation | 2004 | $118,680 |
First Southwest Company | | | investor protection violation | 2008 | $300,000 |
First New York Securities L.L.C. | | | investor protection violation | 2015 | $916,000 |
First New York Securities L.L.C. | | | investor protection violation | 2009 | $341,000 |
First Midwest Securities, Inc. | | | investor protection violation | 2011 | $150,000 |
First Midwest Securities, Inc. | | | investor protection violation | 2009 | $7,000 |
First Command Financial Planning Inc. | | | investor protection violation | 2004 | $12,000,000 |
First Clearing Corporation | | | investor protection violation | 2005 | $110,000 |
First Chicago Capital Markets, Inc. | | | investor protection violation | 2000 | $4,420,000 |
First Avantus Securities, Inc. | | | investor protection violation | 2005 | $100,000 |
First Allied Securities, Inc. | | | investor protection violation | 2016 | $950,000 |
First Allied Securities, Inc. | | | investor protection violation | 2015 | $1,014,647 |
First Allied Securities, Inc. | | | investor protection violation | 2005 | $734,500 |
Financial West Group | | | investor protection violation | 2009 | $5,000 |
Financial Network Investment Corp. | | | investor protection violation | 2004 | $185,000 |
Fifth Third Securities, Inc. | Fifth Third Bancorp | financial services | investor protection violation | 2018 | $6,000,000 |
Fifth Third Securities, Inc. | Fifth Third Bancorp | financial services | investor protection violation | 2015 | $963,534 |
Fifth Third Securities, Inc. | Fifth Third Bancorp | financial services | investor protection violation | 2009 | $150,000 |
Fifth Third Securities, Inc. | Fifth Third Bancorp | financial services | investor protection violation | 2009 | $1,750,000 |
Fiero Brothers, Inc. | | | investor protection violation | 2002 | $1,000,000 |
Fidelity Investments Institutional Services Company, Inc. and Fidelity Distributors Corporation | Fidelity Investments | financial services | investor protection violation | 2007 | $400,000 |
Fidelity Distributors Corp. et al. | Fidelity Investments | financial services | investor protection violation | 2007 | $3,750,000 |
Fidelity Brokerage Services LLC | Fidelity Investments | financial services | investor protection violation | 2015 | $1,030,000 |
Ferris, Baker Watts LLC | Royal Bank of Canada | financial services | investor protection violation | 2010 | $690,000 |
Farmers Financial Solutions LLC | | | investor protection violation | 2004 | $125,000 |
Fagenson & Co., Inc. | | | investor protection violation | 2010 | $165,000 |
Equity Station, Inc. | | | investor protection violation | 2010 | $25,000 |
Equity Services, Inc. | | | investor protection violation | 2011 | $214,000 |
Emmet & Co., Inc. | | | investor protection violation | 2005 | $40,000 |
EKN Financial Services Inc. | | | investor protection violation | 2006 | $200,000 |
Edward Jones & Co., LP | Jones Financial | financial services | investor protection violation | 2004 | $300,000 |
Edward Jones | Jones Financial | financial services | investor protection violation | 2004 | $25,181 |
Edward D. Jones & Co., L.P. | Jones Financial | financial services | investor protection violation | 2015 | $13,500,000 |
Edward D. Jones & Co., L.P. | Jones Financial | financial services | investor protection violation | 2009 | $900,000 |
Edward D. Jones & Co., L.P. | Jones Financial | financial services | investor protection violation | 2006 | $250,000 |
Edward D. Jones & Co., L.P. | Jones Financial | financial services | investor protection violation | 2005 | $300,000 |
E-Trade Securities, LLC | Morgan Stanley | financial services | investor protection violation | 2008 | $500,000 |
E-TRADE Securities, Inc. | Morgan Stanley | financial services | investor protection violation | 2000 | $20,000 |
E-TRADE Securities, Inc. | Morgan Stanley | financial services | investor protection violation | 2000 | $20,000 |
E-Trade Securities LLC and E-Trade Clearing LLC | Morgan Stanley | financial services | anti-money-laundering deficiencies | 2009 | $1,000,000 |
E-Trade Securities LLC | Morgan Stanley | financial services | investor protection violation | 2016 | $900,000 |
E-Trade Securities | Morgan Stanley | financial services | investor protection violation | 2001 | $90,000 |
Doyle, Miles & Co., L.L.C. | | | investor protection violation | 2004 | $12,500 |
Donnelly & Co., Inc. | | | investor protection violation | 2000 | $17,500 |
Diversified Investors Securities Corp. | | | investor protection violation | 2006 | $2,250,000 |
Deutsche Bank Securities, Inc., | Deutsche Bank | financial services | investor protection violation | 2008 | $150,000 |
Deutsche Bank Securities, Inc. | Deutsche Bank | financial services | investor protection violation | 2013 | $6,500,000 |
Deutsche Bank Securities, Inc. | Deutsche Bank | financial services | investor protection violation | 2004 | $15,000 |
Deutsche Bank Securities, Inc. | Deutsche Bank | financial services | investor protection violation | 2004 | $5,000,000 |
Deutsche Bank Securities, Inc. | Deutsche Bank | financial services | investor protection violation | 2004 | $5,290,000 |
Deutsche Bank Securities Inc. | Deutsche Bank | financial services | investor protection violation | 2017 | $2,500,000 |
Deutsche Bank Securities Inc. | Deutsche Bank | financial services | investor protection violation | 2016 | $3,250,000 |
Deutsche Bank Securities Inc. | Deutsche Bank | financial services | investor protection violation | 2016 | $12,500,000 |
Deutsche Bank Securities Inc. | Deutsche Bank | financial services | investor protection violation | 2016 | $6,000,000 |
Deutsche Bank Securities Inc. | Deutsche Bank | financial services | investor protection violation | 2015 | $1,400,000 |
Deutsche Bank Securities Inc. | Deutsche Bank | financial services | investor protection violation | 2014 | $4,000,000 |
Deutsche Bank Securities Inc. | Deutsche Bank | financial services | investor protection violation | 2010 | $7,500,000 |
Deutsche Bank Securities Inc. | Deutsche Bank | 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 |
Deutsche Bank Securities | Deutsche Bank | financial services | investor protection violation | 2010 | $575,000 |
Deutsche Bank | Deutsche Bank | financial services | investor protection violation | 2009 | $152,000 |
Delta Asset Management Company, L.L.C. | | | investor protection violation | 2004 | $15,000 |
DebtTraders, Inc. | | | investor protection violation | 2005 | $120,000 |
David Lerner Associates, Inc. | | | investor protection violation | 2012 | $14,300,000 |
David Lerner Associates, Inc. | | | investor protection violation | 2006 | $400,000 |
David Lerner Associates, Inc. | | | investor protection violation | 2005 | $115,000 |
David Lerner Associates, Inc. | | | investor protection violation | 2004 | $32,711 |
David Lerner Assoc. | | | investor protection violation | 2004 | $100,000 |
Davenport & Co. LLC | | | investor protection violation | 2004 | $738,000 |
Datek Online Brokerage Services, LLC | | | investor protection violation | 2001 | $30,000 |
Dalton Kent Securities Group, Inc. | | | investor protection violation | 2001 | $25,000 |
D.A. Davidson & Co. | | | investor protection violation | 2010 | $375,000 |
D.A. Davidson & Co. | | | investor protection violation | 2004 | $150,000 |
CyBerBroker, Inc. | | | investor protection violation | 2001 | $20,000 |
CUNA Brokerage Services, Inc. | CUNA Mutual | financial services | investor protection violation | 2001 | $100,000 |
CS First Boston Corp. | UBS | financial services | investor protection violation | 2000 | $1,240,000 |
Cresap, Inc. | | | investor protection violation | 2004 | $99,458 |
Credit Suisse Securities (USA), LLC | UBS | financial services | investor protection violation | 2014 | $5,000,000 |
Credit Suisse Securities (USA), LLC | UBS | financial services | investor protection violation | 2009 | $275,000 |
Credit Suisse Securities (USA), LLC | UBS | financial services | investor protection violation | 2006 | $225,000 |
Credit Suisse Securities (USA) LLC | UBS | financial services | investor protection violation | 2019 | $6,500,000 |
Credit Suisse Securities (USA) LLC | UBS | financial services | anti-money-laundering deficiencies | 2016 | $16,500,000 |
Credit Suisse Securities (USA) LLC | UBS | financial services | investor protection violation | 2011 | $1,750,000 |
Credit Suisse Securities (USA) LLC | UBS | financial services | investor protection violation | 2011 | $4,500,000 |
Credit Suisse Securities | UBS | financial services | investor protection violation | 2022 | $9,000,000 |
Credit Suisse First Boston, L.L.C. | UBS | financial services | investor protection violation | 2004 | $50,000 |
Credit Suisse First Boston LLC | UBS | financial services | investor protection violation | 2004 | $770,000 |
Credit Suisse First Boston Corporation | UBS | 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. $50,000,000 |
Credit Suisse First Boston Corporation | UBS | financial services | investor protection violation | 2001 | $25,000 |
Cowen and Company, LLC | Toronto-Dominion Bank | financial services | investor protection violation | 2008 | $150,000 |
Cornerstone Securities Corporation | | | investor protection violation | 2001 | $35,000 |
COR Clearing LLC | | | anti-money-laundering deficiencies | 2013 | $1,000,000 |
Commonwealth Financial Network | | | investor protection violation | 2015 | $582,521 |
Commonwealth Financial Network | | | investor protection violation | 2005 | $1,400,000 |
Comerica Securities, Inc. | Comerica | financial services | investor protection violation | 2008 | $750,000 |
Comerica Securities | Comerica | financial services | investor protection violation | 2015 | $347,757 |