Comerica Securities | Comerica | financial services | investor protection violation | 2015 | $347,757 |
City Securities Corporation | | | investor protection violation | 2009 | $250,000 |
City National Securities | | | investor protection violation | 2008 | $315,000 |
Citigroup Global Markets, Inc. | Citigroup | financial services | investor protection violation | 2014 | $15,000,000 |
Citigroup Global Markets, Inc. | Citigroup | financial services | investor protection violation | 2012 | $3,500,000 |
Citigroup Global Markets, Inc. | Citigroup | financial services | investor protection violation | 2012 | $725,000 |
Citigroup Global Markets, Inc. | Citigroup | financial services | investor protection violation | 2011 | $500,000 |
Citigroup Global Markets, Inc. | Citigroup | financial services | investor protection violation | 2010 | $650,000 |
Citigroup Global Markets, Inc. | Citigroup | financial services | investor protection violation | 2008 | $300,000 |
Citigroup Global Markets, Inc. | Citigroup | financial services | investor protection violation | 2007 | $15,200,000 |
Citigroup Global Markets, Inc. | Citigroup | financial services | investor protection violation | 2006 | $350,000 |
Citigroup Global Markets, Inc. | Citigroup | financial services | investor protection violation | 2005 | $6,250,000 |
Citigroup Global Markets, Inc. | Citigroup | financial services | investor protection violation | 2004 | $275,000 |
Citigroup Global Markets, Inc. | Citigroup | financial services | investor protection violation | 2004 | $250,000 |
Citigroup Global Markets, Inc. | Citigroup | financial services | investor protection violation | 2004 | $250,000 |
Citigroup Global Markets, Inc | Citigroup | financial services | investor protection violation | 2012 | $2,741,489 |
Citigroup Global Markets Inc. | Citigroup | financial services | investor protection violation | 2019 | $280,000 |
Citigroup Global Markets Inc. | Citigroup | financial services | investor protection violation | 2019 | $1,250,000 |
Citigroup Global Markets Inc. | Citigroup | financial services | investor protection violation | 2017 | $11,500,000 |
Citigroup Global Markets Inc. | Citigroup | financial services | investor protection violation | 2017 | $1,000,000 |
Citigroup Global Markets Inc. | Citigroup | financial services | investor protection violation | 2014 | $5,000,000 |
Citigroup Global Markets Inc. | Citigroup | financial services | investor protection violation | 2014 | $2,488,000 |
Citigroup Global Markets Inc. | Citigroup | financial services | investor protection violation | 2014 | $1,097,000 |
Citigroup Global Markets Inc. | Citigroup | financial services | investor protection violation | 2010 | $1,500,000 |
Citigroup Global Markets Inc. | Citigroup | financial services | investor protection violation | 2009 | $600,000 |
Citigroup Global Markets Inc. | Citigroup | financial services | investor protection violation | 2006 | $1,115,000 |
Citigroup Global Markets Inc. | Citigroup | financial services | investor protection violation | 2005 | $60,000 |
Citigroup Global Markets Inc. | Citigroup | financial services | investor protection violation | 2004 | $5,000,000 |
Citigroup Global Markets | Citigroup | financial services | investor protection violation | 2009 | $425,000 |
Citigroup Global Markets | Citigroup | financial services | investor protection violation | 2009 | $2,000,000 |
Citigroup | Citigroup | financial services | investor protection violation | 2012 | $1,279,106 |
Citi International Financial Services LLC | | | investor protection violation | 2012 | $1,248,000 |
CIBC World Markets Corp. | Canadian Imperial Bank of Commerce | financial services | investor protection violation | 2008 | $350,000 |
CIBC World Markets Corp. | Canadian Imperial Bank of Commerce | financial services | investor protection violation | 2008 | $200,000 |
CIBC World Markets Corp. | Canadian Imperial Bank of Commerce | financial services | investor protection violation | 2005 | $40,000 |
Choice Investments, Inc. | | | investor protection violation | 2000 | $27,000 |
Chase Securities, Inc. | JPMorgan Chase | financial services | investor protection violation | 2001 | $10,000 |
Chase Investment Services Corporation | JPMorgan Chase | financial services | investor protection violation | 2011 | $3,600,000 |
Chase Investment Services Corporation | JPMorgan Chase | financial services | investor protection violation | 2006 | $500,000 |
Chase Investment Services Corp. | JPMorgan Chase | financial services | investor protection violation | 2009 | $250,000 |
Chase Investment Services Corp. | JPMorgan Chase | financial services | investor protection violation | 2009 | $32,500 |
Chase Investment Services Corp. | JPMorgan Chase | financial services | investor protection violation | 2005 | $60,000 |
Chase Investment Services Corp. | JPMorgan Chase | financial services | investor protection violation | 2004 | $250,000 |
Chase Investment Services | JPMorgan Chase | financial services | investor protection violation | 2005 | $290,262 |
Chase Investment Services | JPMorgan Chase | financial services | investor protection violation | 2005 | $2,000,000 |
Charles Schwab & Company, Inc. | Charles Schwab Corp. | financial services | investor protection violation | 2011 | $18,000,000 |
Charles Schwab & Company | Charles Schwab Corp. | financial services | investor protection violation | 2013 | $500,000 |
Charles Schwab & Co., Inc. | Charles Schwab Corp. | financial services | investor protection violation | 2014 | $500,000 |
Charles Schwab & Co. | Charles Schwab Corp. | financial services | investor protection violation | 2015 | $2,000,000 |
Charles Schwab & Co, Inc. | Charles Schwab Corp. | financial services | investor protection violation | 2004 | $60,869 |
Cetera Financial Specialists LLC | | | investor protection violation | 2016 | $350,000 |
Cetera Advisors LLC | | | investor protection violation | 2015 | $702,622 |
Cetera Advisor Networks LLC | | | investor protection violation | 2016 | $750,000 |
Cetera Advisor Networks LLC | | | investor protection violation | 2015 | $301,108 |
Centaurus Financial, Inc. | | | investor protection violation | 2009 | $175,000 |
CCO Investment Services Corp. | Citizens Financial Group | financial services | investor protection violation | 2006 | $850,000 |
Carlin Equities Corporation | | | investor protection violation | 2004 | $35,000 |
Capital Financial Services | | | investor protection violation | 2011 | $200,000 |
Cantor Fitzgerald & Co. | Cantor Fitzgerald | financial services | investor protection violation | 2019 | $2,000,000 |
Cantor Fitzgerald & Co. | Cantor Fitzgerald | financial services | investor protection violation | 2015 | $7,300,000 |
Cain Brothers & Company, LLC and SHP Capital Markets, Inc. | | | investor protection violation | 2000 | $1,180,000 |
C.L. King & Associates, Inc. | | | investor protection violation | 2017 | $750,000 |
Buckman, Buckman & Reid, Inc. | | | investor protection violation | 2019 | $205,000 |
BRUT LLC | Nasdaq Inc. | financial services | investor protection violation | 2006 | $2,200,000 |
Brown Brothers Harriman & Co. | Brown Brothers Harriman | financial services | anti-money-laundering deficiencies | 2014 | $8,000,000 |
Brookville Capital Partners LLC | | | investor protection violation | 2015 | $1,500,000 |
Brookstone Securities | | | investor protection violation | 2012 | $2,600,000 |
Broadpoint Capital, Inc. | | | investor protection violation | 2008 | $200,000 |
Brinker Capital Securities, Inc. | | | investor protection violation | 2005 | $60,000 |
Brecek & Young Advisors, Inc. | | | investor protection violation | 2004 | $31,224 |
Botta Trading, LLC | | | investor protection violation | 2000 | $75,000 |
Boston Capital Securities, Inc. | | | investor protection violation | 2006 | $1,200,000 |
BOSC, Inc. | | | investor protection violation | 2005 | $30,000 |
BofA Securities, Inc. | Bank of America | financial services | investor protection violation | 2022 | $5,000,000 |
BofA Securities, Inc. | Bank of America | financial services | investor protection violation | 2023 | $24,000,000 |
BNY Mellon Capital Markets, LLC | Bank of New York Mellon | financial services | investor protection violation | 2008 | $250,000 |
BNY Brokerage, Inc. | | | investor protection violation | 2004 | $12,000 |
BNP Paribas Securities Corp. and BNP Paribas Prime Brokerage, Inc. | BNP Paribas | financial services | anti-money-laundering deficiencies | 2019 | $15,000,000 |
BMO Capital Markets Corp. | Bank of Montreal | financial services | investor protection violation | 2008 | $150,000 |
Berthel Fisher & Company Financial Services, Inc. | Berthel Fisher | financial services | investor protection violation | 2014 | $775,000 |
Berean Capital Incorporated | | | investor protection violation | 2006 | $100,000 |
Bear, Stearns & Co., Inc. | JPMorgan Chase | financial services | investor protection violation | 2008 | $150,000 |
Bear, Stearns & Co. Inc. | JPMorgan Chase | financial services | investor protection violation | 2004 | $4,950,000 |
Bear, Stearns & Co. Inc. | JPMorgan Chase | financial services | investor protection violation | 2004 | $280,469 |
Barclays Capital, Inc. | Barclays | financial services | investor protection violation | 2015 | $13,750,000 |
Barclays Capital Inc. | Barclays | financial services | investor protection violation | 2016 | $1,300,000 |
Barclays Capital Inc. | Barclays | financial services | investor protection violation | 2014 | $5,000,000 |
Barclays Capital Inc. | Barclays | financial services | investor protection violation | 2014 | $1,000,000 |
Barclays Capital Inc. | Barclays | financial services | investor protection violation | 2013 | $3,750,000 |
Barclays Capital Inc. | Barclays | financial services | investor protection violation | 2011 | $3,000,000 |
Banorte-Ixe Securities International, Ltd. | | | anti-money-laundering deficiencies | 2014 | $475,000 |
Banorte Securities International, Ltd. | | | investor protection violation | 2008 | $1,100,000 |
BancBoston Robertson Stephens | | | investor protection violation | 2001 | $10,000 |
Banc One Securities Corporation | JPMorgan Chase | financial services | investor protection violation | 2008 | $225,000 |
Banc One Securities Corporation | JPMorgan Chase | financial services | investor protection violation | 2005 | $400,000 |
Banc One Capital Markets, Inc. | | | investor protection violation | 2001 | $1,800,000 |
Banc of America Securities LLC | Bank of America | financial services | investor protection violation | 2001 | $40,000 |
Banc of America Investment Services, Inc. | Bank of America | financial services | investor protection violation | 2005 | $90,000 |
Banc of America Investment Services Inc. | Bank of America | financial services | anti-money-laundering deficiencies | 2007 | $3,000,000 |
Banc of America Investment Services Inc. | Bank of America | financial services | investor protection violation | 2004 | $200,000 |
AXA Advisors, LLC | Equitable Holdings | financial services | investor protection violation | 2019 | $772,000 |