Goldman Sachs | Goldman Sachs | financial services | investor protection violation | 2012 | $683,997 |
JP Morgan | JPMorgan Chase | financial services | investor protection violation | 2012 | $623,376 |
Merrill Lynch | Bank of America | financial services | investor protection violation | 2012 | $1,074,200 |
Morgan Stanley | Morgan Stanley | financial services | investor protection violation | 2012 | $817,754 |
Pruco Securities, LLC | Prudential Financial | financial services | investor protection violation | 2012 | $11,250,000 |
David Lerner Associates, Inc. | | | investor protection violation | 2012 | $14,300,000 |
Guggenheim Securities, LLC | | | investor protection violation | 2012 | $800,000 |
Hold Brothers On-Line Investment Services, LLC | | | investor protection violation | 2012 | $3,400,000 |
Merrill Lynch, Pierce, Fenner & Smith Inc. | Bank of America | financial services | investor protection violation | 2012 | $500,000 |
Rodman & Renshaw LLC | | | investor protection violation | 2012 | $315,000 |
Merrill Lynch, Pierce, Fenner & Smith, Inc. | Bank of America | financial services | investor protection violation | 2012 | $2,800,000 |
Brookstone Securities | | | investor protection violation | 2012 | $2,600,000 |
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 | $2,741,489 |
Morgan Stanley & Co., LLC | Morgan Stanley | financial services | investor protection violation | 2012 | $2,146,431 |
UBS Financial Services | UBS | financial services | investor protection violation | 2012 | $2,354,584 |
Wells Fargo Advisors, LLC | Wells Fargo | financial services | investor protection violation | 2012 | $1,931,488 |
Goldman, Sachs & Co. | Goldman Sachs | financial services | investor protection violation | 2012 | (*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $11,000,000 |
Citi International Financial Services LLC | | | investor protection violation | 2012 | $1,248,000 |
Merrill Lynch, Pierce, Fenner & Smith | Bank of America | financial services | investor protection violation | 2012 | $1,000,000 |
Citigroup Global Markets, Inc. | Citigroup | financial services | investor protection violation | 2012 | $725,000 |
Credit Suisse Securities (USA) LLC | UBS | financial services | investor protection violation | 2011 | $1,750,000 |
Barclays Capital Inc. | Barclays | financial services | investor protection violation | 2011 | $3,000,000 |
Wells Fargo Investments, LLC | Wells Fargo | financial services | investor protection violation | 2011 | $2,000,000 |
NEXT Financial Group, Inc. | Atria Wealth Solutions | financial services | investor protection violation | 2011 | $2,050,000 |
Investors Capital Corporation | | | investor protection violation | 2011 | $400,000 |
Garden State Securities, Inc. | | | investor protection violation | 2011 | $300,000 |
Capital Financial Services | | | investor protection violation | 2011 | $200,000 |
National Securities Corporation | | | investor protection violation | 2011 | $175,000 |
Equity Services, Inc. | | | investor protection violation | 2011 | $214,000 |
Securities America, Inc. | Reverence Capital Partners | private equity (including portfolio companies) | investor protection violation | 2011 | $250,000 |
Newbridge Securities Corporation | | | investor protection violation | 2011 | $25,000 |
Wells Investment Securities, Inc. | | | investor protection violation | 2011 | $300,000 |
Chase Investment Services Corporation | JPMorgan Chase | financial services | investor protection violation | 2011 | $3,600,000 |
Morgan Stanley & Co. Inc. and Morgan Stanley Smith Barney LLC | Morgan Stanley | financial services | investor protection violation | 2011 | $1,371,000 |
UBS Securities LLC | UBS | financial services | investor protection violation | 2011 | $12,000,000 |
Merrill Lynch, Pierce, Fenner & Smith Inc. | Bank of America | financial services | investor protection violation | 2011 | $1,000,000 |
Raymond James & Associates, Inc. and Raymond James Financial Services, Inc. | Raymond James Financial | financial services | investor protection violation | 2011 | $2,115,000 |
Pointe Capital, Inc. | | | investor protection violation | 2011 | $300,000 |
John Thomas Financial | | | investor protection violation | 2011 | $275,000 |
First Midwest Securities, Inc. | | | investor protection violation | 2011 | $150,000 |
A&F Financial Securities, Inc. | | | investor protection violation | 2011 | $125,000 |
Salomon Whitney LLC | | | investor protection violation | 2011 | $60,000 |
Citigroup Global Markets, Inc. | Citigroup | financial services | investor protection violation | 2011 | $500,000 |
SunTrust Robinson Humphrey, Inc. | Truist Financial | financial services | investor protection violation | 2011 | $5,000,000 |
Northern Trust Securities | Northern Trust | financial services | investor protection violation | 2011 | $600,000 |
Credit Suisse Securities (USA) LLC | UBS | financial services | investor protection violation | 2011 | $4,500,000 |
Merrill Lynch | Bank of America | financial services | investor protection violation | 2011 | $3,000,000 |
Nuveen Investments, LLC | TIAA | financial services | investor protection violation | 2011 | $3,000,000 |
Wells Fargo Advisors, LLC | Wells Fargo | financial services | investor protection violation | 2011 | $1,000,000 |
Jefferies & Company, Inc. | Jefferies Financial Group | diversified | investor protection violation | 2011 | $1,925,000 |
Santander Securities of Puerto Rico | Banco Santander | financial services | investor protection violation | 2011 | $2,000,000 |
UBS Financial Services, Inc. | UBS | financial services | investor protection violation | 2011 | $10,750,000 |
Workman Securities Corp. | | | investor protection violation | 2011 | $700,000 |
Askar Corporation | | | investor protection violation | 2011 | $45,000 |
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 |
Lincoln Financial Securities, Inc. and Lincoln Financial Advisors Corporation | Lincoln National | financial services | investor protection violation | 2011 | $600,000 |
Charles Schwab & Company, Inc. | Charles Schwab Corp. | financial services | investor protection violation | 2011 | $18,000,000 |
Goldman, Sachs & Co. | Goldman Sachs | financial services | investor protection violation | 2010 | $650,000 |
Ferris, Baker Watts LLC | Royal Bank of Canada | financial services | investor protection violation | 2010 | $690,000 |
Trillium Brokerage Services, LLC | | | investor protection violation | 2010 | $1,000,000 |
Zions Direct, Inc. | Zions Bancorporation | financial services | investor protection violation | 2010 | $225,000 |
HSBC Securities (USA) Inc. | HSBC | financial services | investor protection violation | 2010 | $375,000 |
Merrill Lynch | Bank of America | financial services | investor protection violation | 2010 | $2,500,000 |
Morgan Stanley & Co., Inc. | Morgan Stanley | financial services | investor protection violation | 2010 | $800,000 |
SunTrust Investment Services, Inc. | Truist Financial | financial services | investor protection violation | 2010 | $1,440,000 |
Deutsche Bank Securities Inc. | Deutsche Bank | financial services | investor protection violation | 2010 | $7,500,000 |
Phoenix Derivatives Group, LLC | | | investor protection violation | 2010 | $3,000,000 |
Citigroup Global Markets Inc. | Citigroup | financial services | investor protection violation | 2010 | $1,500,000 |
Piper Jaffray & Co. | Piper Sandler | financial services | investor protection violation | 2010 | $700,000 |
Deutsche Bank Securities | Deutsche Bank | financial services | investor protection violation | 2010 | $575,000 |
National Financial Services | | | investor protection violation | 2010 | $350,000 |
Westpark Capital, Inc. | | | investor protection violation | 2010 | $400,000 |
Fagenson & Co., Inc. | | | investor protection violation | 2010 | $165,000 |
RBC Capital Markets Corporation | Royal Bank of Canada | financial services | investor protection violation | 2010 | $135,000 |
Alpine Securities Corporation | | | investor protection violation | 2010 | $40,000 |
Equity Station, Inc. | | | investor protection violation | 2010 | $25,000 |
Olympus Securities, LLC | | | investor protection violation | 2010 | $20,000 |
HSBC Securities (USA) | HSBC | financial services | investor protection violation | 2010 | $1,500,000 |
US Bancorp Investments, Inc. | U.S. Bancorp | financial services | investor protection violation | 2010 | $275,000 |
D.A. Davidson & Co. | | | investor protection violation | 2010 | $375,000 |
Citigroup Global Markets, Inc. | Citigroup | financial services | investor protection violation | 2010 | $650,000 |
Scottrade, Inc. | Charles Schwab Corp. | financial services | investor protection violation | 2010 | $200,000 |
H&R Block Financial Advisors, Inc. | H&R Block | financial services | investor protection violation | 2010 | $200,000 |
Penson Financial Services | | | anti-money-laundering deficiencies | 2010 | $450,000 |
Pinnacle Capital Markets | | | anti-money-laundering deficiencies | 2010 | $300,000 |
Pacific Cornerstone Capital | | | investor protection violation | 2009 | $700,000 |
Terra Nova Financial, LLC | | | investor protection violation | 2009 | $400,000 |
MetLife Securities, Inc. | MetLife | financial services | investor protection violation | 2009 | $1,200,000 |
Scottrade | Charles Schwab Corp. | financial services | anti-money-laundering deficiencies | 2009 | $600,000 |
Citigroup Global Markets Inc. | Citigroup | financial services | investor protection violation | 2009 | $600,000 |
Citigroup Global Markets | Citigroup | financial services | investor protection violation | 2009 | $425,000 |
UBS Securities | UBS | financial services | investor protection violation | 2009 | $268,000 |
Deutsche Bank | Deutsche Bank | financial services | investor protection violation | 2009 | $152,000 |
Northwestern Mutual Investment Services, LLC | Northwestern Mutual | financial services | investor protection violation | 2009 | $200,000 |
City Securities Corporation | | | investor protection violation | 2009 | $250,000 |
Fifth Third Securities, Inc. | Fifth Third Bancorp | financial services | investor protection violation | 2009 | $150,000 |
Credit Suisse Securities (USA), LLC | UBS | financial services | investor protection violation | 2009 | $275,000 |
Ameritas Investment Corp. | Ameritas Mutual Holding Company | financial services | investor protection violation | 2009 | $100,000 |
Legacy Trading Co., LLC | | | investor protection violation | 2009 | $1,007,035 |