Piper Jaffray & Co. | Piper Sandler | financial services | investor protection violation | 2008 | $100,000 |
J.P. Morgan Securities, Inc. | JPMorgan Chase | financial services | investor protection violation | 2007 | $500,000 |
Rafferty Capital Markets, LLC | | | investor protection violation | 2007 | $409,605 |
Wachovia Capital Markets, LLC | Wells Fargo | financial services | investor protection violation | 2007 | $300,000 |
Oppenheimer & Co. Inc. | Oppenheimer Holdings | financial services | investor protection violation | 2007 | $1,000,000 |
UBS Financial Services, Inc. | UBS | financial services | investor protection violation | 2007 | $370,000 |
Morgan Stanley & Co. | Morgan Stanley | financial services | investor protection violation | 2007 | $12,500,000 |
AXA Advisors, LLC | Equitable Holdings | financial services | investor protection violation | 2007 | $2,600,000 |
Morgan Stanley DW Inc. | Morgan Stanley | financial services | investor protection violation | 2007 | $6,100,000 |
MML Investors Services, Inc. | Massachusetts Mutual Life Insurance | financial services | investor protection violation | 2007 | $473,000 |
NYLIFE Securities LLC | New York Life Insurance | financial services | investor protection violation | 2007 | $354,000 |
Securities America, Inc. | Reverence Capital Partners | private equity (including portfolio companies) | investor protection violation | 2007 | $322,000 |
Northwestern Mutual Investment Services, LLC | Northwestern Mutual | financial services | investor protection violation | 2007 | $100,000 |
Wells Fargo Securities, LLC | Wells Fargo | financial services | investor protection violation | 2007 | $250,000 |
Wachovia Securities LLC | Wells Fargo | financial services | investor protection violation | 2007 | $2,000,000 |
Citigroup Global Markets, Inc. | Citigroup | financial services | investor protection violation | 2007 | $15,200,000 |
HSBC Brokerage | HSBC | financial services | investor protection violation | 2007 | $250,000 |
Fidelity Investments Institutional Services Company, Inc. and Fidelity Distributors Corporation | Fidelity Investments | financial services | investor protection violation | 2007 | $400,000 |
Raymond James Financial Services Inc. | Raymond James Financial | financial services | investor protection violation | 2007 | $2,750,000 |
Banc of America Investment Services Inc. | Bank of America | financial services | anti-money-laundering deficiencies | 2007 | $3,000,000 |
Scudder Distributors, Inc. | | | investor protection violation | 2007 | $425,000 |
Putnam Retail Management Limited Partnership | Franklin Resources | financial services | investor protection violation | 2007 | $175,000 |
AllianceBernstein Investments, Inc. | Equitable Holdings | financial services | investor protection violation | 2007 | $100,000 |
Fidelity Distributors Corp. et al. | Fidelity Investments | financial services | investor protection violation | 2007 | $3,750,000 |
Friedman, Billings, Ramsey & Co., Inc. | Arlington Asset Investment Corp. | financial services | investor protection violation | 2006 | $4,000,000 |
USAllianz Securities | Allianz | financial services | investor protection violation | 2006 | $5,000,000 |
Edward D. Jones & Co., L.P. | Jones Financial | financial services | investor protection violation | 2006 | $250,000 |
RBC Dain Rauscher Inc. | Royal Bank of Canada | financial services | investor protection violation | 2006 | $250,000 |
Royal Alliance Associates, Inc. | Reverence Capital Partners | private equity (including portfolio companies) | investor protection violation | 2006 | $250,000 |
Morgan Stanley DW Inc. | Morgan Stanley | financial services | investor protection violation | 2006 | $100,000 |
Jefferies & Company, Inc. | Jefferies Financial Group | diversified | investor protection violation | 2006 | $5,500,000 |
EKN Financial Services Inc. | | | investor protection violation | 2006 | $200,000 |
Chase Investment Services Corporation | JPMorgan Chase | financial services | investor protection violation | 2006 | $500,000 |
MetLife Securities, Inc | MetLife | financial services | investor protection violation | 2006 | $500,000 |
McLaughlin, Piven and Vogel Securities Inc. | | | investor protection violation | 2006 | $50,000 |
CCO Investment Services Corp. | Citizens Financial Group | financial services | investor protection violation | 2006 | $850,000 |
Oppenheimer & Co. Inc. | Oppenheimer Holdings | financial services | investor protection violation | 2006 | $800,000 |
MetLife, Inc. | MetLife | financial services | investor protection violation | 2006 | $5,000,000 |
Securities America, Inc. | Reverence Capital Partners | private equity (including portfolio companies) | investor protection violation | 2006 | $16,300,000 |
Morgan Stanley | Morgan Stanley | financial services | investor protection violation | 2006 | $2,900,000 |
American Funds Distributors Inc. | | | investor protection violation | 2006 | $5,000,000 |
Citigroup Global Markets Inc. | Citigroup | financial services | investor protection violation | 2006 | $1,115,000 |
ING America Insurance Holdings Inc. | Voya Financial | financial services | investor protection violation | 2006 | $7,000,000 |
BRUT LLC | Nasdaq Inc. | financial services | investor protection violation | 2006 | $2,200,000 |
Citigroup Global Markets, Inc. | Citigroup | financial services | investor protection violation | 2006 | $350,000 |
Credit Suisse Securities (USA), LLC | UBS | financial services | investor protection violation | 2006 | $225,000 |
Morgan Stanley & Co. Incorporated | Morgan Stanley | financial services | investor protection violation | 2006 | $200,000 |
Trillium Trading LLC | | | investor protection violation | 2006 | $225,000 |
Schonfeld & Company LLC | | | investor protection violation | 2006 | $175,000 |
LaSalle Street Securities, Inc. | | | investor protection violation | 2006 | $200,000 |
American General Securities, Inc. | Reverence Capital Partners | private equity (including portfolio companies) | investor protection violation | 2006 | $1,100,000 |
Boston Capital Securities, Inc. | | | investor protection violation | 2006 | $1,200,000 |
Merrill Lynch, Pierce, Fenner & Smith Inc. | Bank of America | financial services | investor protection violation | 2006 | $5,000,000 |
David Lerner Associates, Inc. | | | investor protection violation | 2006 | $400,000 |
Diversified Investors Securities Corp. | | | investor protection violation | 2006 | $2,250,000 |
Sanford C. Bernstein & Co. | Equitable Holdings | financial services | investor protection violation | 2006 | $350,000 |
Berean Capital Incorporated | | | investor protection violation | 2006 | $100,000 |
Oppenheimer & Co. Inc. | Oppenheimer Holdings | financial services | investor protection violation | 2006 | $250,000 |
Merrill Lynch, Pierce, Fenner & Smith | Bank of America | financial services | investor protection violation | 2005 | $14,000,000 |
Wells Fargo Investments | Wells Fargo | financial services | investor protection violation | 2005 | $3,000,000 |
Linsco/Private Ledger Corporation | | | investor protection violation | 2005 | $2,400,000 |
First Avantus Securities, Inc. | | | investor protection violation | 2005 | $100,000 |
National Securities Corporation | | | investor protection violation | 2005 | $85,000 |
First Clearing Corporation | | | investor protection violation | 2005 | $110,000 |
Chase Investment Services | JPMorgan Chase | financial services | investor protection violation | 2005 | $290,262 |
Ameriprise Financial Services, Inc. | Ameriprise Financial | financial services | investor protection violation | 2005 | $12,300,000 |
State Street Global Markets LLC | State Street Corp. | financial services | investor protection violation | 2005 | $1,400,000 |
SG Americas Securities, LLC | Societe Generale | financial services | investor protection violation | 2005 | $4,478,000 |
RBC Capital Markets Corporation | Royal Bank of Canada | financial services | investor protection violation | 2005 | $2,108,000 |
RBC Dain Rauscher, Inc. | Royal Bank of Canada | financial services | investor protection violation | 2005 | $1,158,000 |
DebtTraders, Inc. | | | investor protection violation | 2005 | $120,000 |
Ameriprise Financial Services, Inc. | Ameriprise Financial | financial services | investor protection violation | 2005 | $1,250,000 |
Green Street Advisors | | | investor protection violation | 2005 | $150,000 |
Instinet, LLC and INET ATS, Inc. | | | investor protection violation | 2005 | $1,475,000 |
Janney Montgomery Scott LLC | Penn Mutual | financial services | investor protection violation | 2005 | $2,200,000 |
IFC Holdings, Inc. d/b/a INVEST Financial Corporation | | | investor protection violation | 2005 | $1,520,000 |
Commonwealth Financial Network | | | investor protection violation | 2005 | $1,400,000 |
National Planning Corporation Inc. | | | investor protection violation | 2005 | $1,308,000 |
Mutual Service Corporation | | | investor protection violation | 2005 | $1,300,000 |
Lincoln Financial Advisors Corporation | Lincoln National | financial services | investor protection violation | 2005 | $950,000 |
SII Investments, Inc. | | | investor protection violation | 2005 | $658,500 |
Investment Centers of America, Inc. | LPL Financial | financial services | investor protection violation | 2005 | $363,500 |
Lord Abbett Distributor, LLC | | | investor protection violation | 2005 | $255,000 |
ING Funds Distributor | Voya Financial | financial services | investor protection violation | 2005 | $1,500,000 |
First Allied Securities, Inc. | | | investor protection violation | 2005 | $734,500 |
David Lerner Associates, Inc. | | | investor protection violation | 2005 | $115,000 |
Edward D. Jones & Co., L.P. | Jones Financial | financial services | investor protection violation | 2005 | $300,000 |
Hantz Financial Services, Inc. | | | investor protection violation | 2005 | $675,000 |
Morgan Stanley DW, Inc. | Morgan Stanley | financial services | investor protection violation | 2005 | $6,100,000 |
Hornor, Townsend & Kent, Inc. | | | investor protection violation | 2005 | $325,000 |
Piper Jaffray & Co. | Piper Sandler | financial services | investor protection violation | 2005 | $280,000 |
ABN AMRO Incorporated | ABN AMRO | financial services | investor protection violation | 2005 | $220,000 |
J.P. Morgan Securities, Inc. | JPMorgan Chase | financial services | investor protection violation | 2005 | $160,000 |
Goldman, Sachs & Co. | Goldman Sachs | financial services | investor protection violation | 2005 | $140,000 |
Stephens, Inc. | | | investor protection violation | 2005 | $110,000 |
Stone & Youngberg, LLC | | | investor protection violation | 2005 | $110,000 |
Banc of America Investment Services, Inc. | Bank of America | financial services | investor protection violation | 2005 | $90,000 |
Raymond James & Associates, Inc. | Raymond James Financial | financial services | investor protection violation | 2005 | $90,000 |
Brinker Capital Securities, Inc. | | | investor protection violation | 2005 | $60,000 |
Chase Investment Services Corp. | JPMorgan Chase | financial services | investor protection violation | 2005 | $60,000 |
Citigroup Global Markets Inc. | Citigroup | financial services | investor protection violation | 2005 | $60,000 |