Zions Direct, Inc. | Zions Bancorporation | financial services | investor protection violation | 2010 | $225,000 |
Yankee Financial Group, Inc. | | | investor protection violation | 2005 | $3,800,000 |
Worldco, LLC | | | investor protection violation | 2002 | $175,000 |
Worldco LLC | | | investor protection violation | 2004 | $1,500,000 |
World Trade Financial Corporation | | | anti-money-laundering deficiencies | 2013 | $250,000 |
World Group Securities, Inc. | Aegon | financial services | investor protection violation | 2004 | $150,000 |
Workman Securities Corp. | | | investor protection violation | 2011 | $700,000 |
Worden Capital Management LLC | | | investor protection violation | 2020 | $1,550,000 |
WMA Securities, Inc. | | | investor protection violation | 2000 | $125,000 |
WM Financial Services, Inc. | | | investor protection violation | 2004 | $350,000 |
Windsor Capital Advisors, Inc. | | | investor protection violation | 2001 | $20,000 |
Wheat First Securities Inc. | | | investor protection violation | 2000 | $7,730,000 |
Westpark Capital, Inc. | | | investor protection violation | 2010 | $400,000 |
Wells Investment Securities, Inc. | | | investor protection violation | 2011 | $300,000 |
Wells Investment Securities, Inc. | | | investor protection violation | 2003 | $150,000 |
Wells Fargo Securities, LLC and Wells Fargo Prime Services, LLC | Wells Fargo | financial services | investor protection violation | 2016 | $4,000,000 |
Wells Fargo Securities, LLC | Wells Fargo | financial services | investor protection violation | 2014 | $4,000,000 |
Wells Fargo Securities, LLC | Wells Fargo | financial services | investor protection violation | 2007 | $250,000 |
Wells Fargo Investments, LLC | Wells Fargo | financial services | investor protection violation | 2011 | $2,000,000 |
Wells Fargo Investments, LLC | Wells Fargo | financial services | investor protection violation | 2009 | $275,000 |
Wells Fargo Investments, LLC | Wells Fargo | financial services | investor protection violation | 2005 | $2,970,000 |
Wells Fargo Investments, LLC | Wells Fargo | financial services | investor protection violation | 2004 | $150,000 |
Wells Fargo Investments | Wells Fargo | financial services | investor protection violation | 2005 | $3,000,000 |
Wells Fargo Clearing Services, LLC and Wells Fargo Advisors Financial Network, LLC | Wells Fargo | financial services | investor protection violation | 2020 | $2,075,000 |
Wells Fargo Clearing Services, LLC and Wells Fargo Advisors Financial Network, LLC | Wells Fargo | financial services | investor protection violation | 2017 | $3,400,000 |
Wells Fargo Advisors, LLC, Wells Fargo Advisors Financial Network, LLC and First Clearing, LLC | Wells Fargo | financial services | investor protection violation | 2016 | $1,500,000 |
Wells Fargo Advisors, LLC and Wells Fargo Advisors Financial Network, LLC | Wells Fargo | financial services | investor protection violation | 2015 | $15,000,000 |
Wells Fargo Advisors, LLC | Wells Fargo | financial services | investor protection violation | 2013 | $3,250,000 |
Wells Fargo Advisors, LLC | Wells Fargo | financial services | investor protection violation | 2012 | $1,931,488 |
Wells Fargo Advisors, LLC | Wells Fargo | financial services | investor protection violation | 2011 | $1,000,000 |
Wells Fargo Advisors and Wells Fargo Advisors Financial Network | Wells Fargo | financial services | anti-money-laundering deficiencies | 2014 | $1,500,000 |
Wefunder Portal LLC | | | investor protection violation | 2022 | $1,400,000 |
Wedbush Securities Inc. | Wedbush Securities | financial services | investor protection violation | 2018 | $1,500,000 |
Wedbush Securities Inc. | Wedbush Securities | financial services | investor protection violation | 2016 | $675,000 |
Webull Financial LLC | | | investor protection violation | 2023 | $3,000,000 |
WaMu Investments, Inc. | | | investor protection violation | 2008 | $250,000 |
Waddell & Reed, Inc. | Macquarie | financial services | investor protection violation | 2005 | (*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $16,000,000 |
Wachovia Securities, LLC. | Wells Fargo | financial services | investor protection violation | 2004 | $39,486 |
Wachovia Securities, LLC and First Clearing, LLC | Wells Fargo | financial services | investor protection violation | 2009 | $1,100,000 |
Wachovia Securities, LLC | Wells Fargo | financial services | investor protection violation | 2009 | $1,400,000 |
Wachovia Securities LLC | Wells Fargo | financial services | investor protection violation | 2007 | $2,000,000 |
Wachovia Securities LLC | Wells Fargo | financial services | investor protection violation | 2004 | $650,000 |
Wachovia Securities | Wells Fargo | financial services | investor protection violation | 2009 | $4,500,000 |
Wachovia Capital Markets, LLC | Wells Fargo | financial services | investor protection violation | 2007 | $300,000 |
VSR Financial Services, Inc. | | | investor protection violation | 2016 | $400,000 |
VOYA Financial Advisors Inc. | Voya Financial | financial services | investor protection violation | 2016 | $4,550,000 |
vFinance Investments, Inc. | | | investor protection violation | 2009 | $27,500 |
VALIC Financial Advisors, Inc. | American International Group | financial services | investor protection violation | 2016 | $1,750,000 |
USAllianz Securities | Allianz | financial services | investor protection violation | 2006 | $5,000,000 |
US Bancorp Investments, Inc. | U.S. Bancorp | financial services | investor protection violation | 2010 | $275,000 |
UBS Securities, LLC | UBS | financial services | investor protection violation | 2008 | $200,000 |
UBS Securities, L.L.C. | UBS | financial services | investor protection violation | 2004 | $10,000 |
UBS Securities LLC | UBS | financial services | investor protection violation | 2011 | $12,000,000 |
UBS Securities LLC | UBS | financial services | investor protection violation | 2022 | $2,500,000 |
UBS Securities | UBS | financial services | investor protection violation | 2009 | $268,000 |
UBS International Inc. | UBS | financial services | investor protection violation | 2005 | $10,000 |
UBS Financial Services, Inc. | UBS | financial services | investor protection violation | 2011 | $10,750,000 |
UBS Financial Services, Inc. | UBS | financial services | investor protection violation | 2009 | $100,000 |
UBS Financial Services, Inc. | UBS | financial services | investor protection violation | 2008 | $1,000,000 |
UBS Financial Services, Inc. | UBS | financial services | investor protection violation | 2007 | $370,000 |
UBS Financial Services Incorporated of Puerto Rico | UBS | financial services | investor protection violation | 2015 | $18,500,000 |
UBS Financial Services Inc. and UBS Securities LLC | UBS | financial services | anti-money-laundering deficiencies | 2018 | $5,000,000 |
UBS Financial Services Inc. | UBS | financial services | investor protection violation | 2019 | $2,000,000 |
UBS Financial Services Inc. | UBS | financial services | investor protection violation | 2004 | $200,666 |
UBS Financial Services | UBS | financial services | investor protection violation | 2012 | $2,354,584 |
U.S. Bancorp Piper Jaffray Inc. | Piper Sandler | 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 |
U.S. Bancorp Piper Jaffray | Piper Sandler | financial services | investor protection violation | 2002 | $250,000 |
Trillium Trading LLC | | | investor protection violation | 2006 | $225,000 |
Trillium Brokerage Services, LLC | | | investor protection violation | 2010 | $1,000,000 |
Triad Advisors | | | investor protection violation | 2014 | $1,025,000 |
Transcend Capital, LP | | | investor protection violation | 2004 | $10,000 |
Transamerica Financial Advisors, Inc. | Aegon | financial services | investor protection violation | 2020 | $8,800,000 |
TradeStation Securities, Inc. | | | investor protection violation | 2008 | $750,000 |
Tower Square Securities | | | investor protection violation | 2002 | $4,500,000 |
Torrey Pines Securities, Inc. | | | investor protection violation | 2001 | $14,000 |
Thomas Weisel Partners, LLC | Stifel Financial | financial services | investor protection violation | 2008 | $200,000 |
Thomas Weisel Partners | Stifel Financial | financial services | investor protection violation | 2005 | $1,750,000 |
The Huntington Investment Company | | | investor protection violation | 2015 | $135,973 |
Terra Nova Financial, LLC | | | investor protection violation | 2009 | $400,000 |
Tejas Securities Group, Inc. | | | investor protection violation | 2005 | $10,000 |
TD Waterhouse Investor Services, Inc. | Toronto-Dominion Bank | financial services | investor protection violation | 2004 | $150,000 |
TD Ameritrade Clearing, Inc. | Charles Schwab Corp. | financial services | investor protection violation | 2013 | $1,150,000 |
SWS Financial Services | | | investor protection violation | 2009 | $70,000 |
SWS Financial Services | | | investor protection violation | 2004 | $66,468 |
Swift Trade Securities USA, Inc. | | | investor protection violation | 2002 | $101,000 |
SunTrust Robinson Humphrey, Inc. | Truist Financial | financial services | investor protection violation | 2016 | $1,500,000 |
SunTrust Robinson Humphrey, Inc. | Truist Financial | financial services | investor protection violation | 2011 | $5,000,000 |
SunTrust Robinson Humphrey, Inc. | Truist Financial | financial services | investor protection violation | 2008 | $1,650,000 |
SunTrust Investment Services, Inc. | Truist Financial | financial services | investor protection violation | 2010 | $1,440,000 |
SunTrust Investment Services, Inc. | Truist Financial | financial services | investor protection violation | 2008 | $700,000 |
SunTrust Investment Services, Inc. | Truist Financial | financial services | investor protection violation | 2008 | $300,000 |
SunTrust Capital Markets, Inc. | Truist Financial | financial services | investor protection violation | 2005 | $100,000 |
SunAmerica Securities, Inc. | American International Group | financial services | investor protection violation | 2009 | $300,000 |
SunAmerica Securities, Inc. | American International Group | financial services | investor protection violation | 2005 | $2,500,000 |
SunAmerica Securities, Inc. | American International Group | financial services | investor protection violation | 2004 | $100,000 |
Summit Trading, Inc. | | | investor protection violation | 2001 | $20,000 |
Summit Brokerage Services, Inc. | | | investor protection violation | 2019 | $880,000 |
Summit Brokerage Services, Inc. | | | investor protection violation | 2016 | $500,000 |
Stone & Youngberg, LLC | | | investor protection violation | 2005 | $110,000 |
StockCross Financial Services, Inc. | | | investor protection violation | 2015 | $800,000 |
Stifel, Nicolaus & Company, Incorporated | Stifel Financial | financial services | investor protection violation | 2020 | $3,650,000 |