Investors Capital Corp. | | | investor protection violation | 2009 | $25,000 |
National Securities Corporation | | | investor protection violation | 2009 | $25,000 |
Gary Goldberg & Co., Inc | | | investor protection violation | 2009 | $19,500 |
FSC Securities Corporation | | | investor protection violation | 2009 | $15,000 |
Lincoln Investment Planning, Inc. | | | investor protection violation | 2009 | $15,000 |
Spelman & Co. | | | investor protection violation | 2009 | $10,000 |
Stephen L. Falk & Associates, Inc. | | | investor protection violation | 2009 | $7,500 |
First Midwest Securities, Inc. | | | investor protection violation | 2009 | $7,000 |
GunnAllen Financial, Inc. | | | investor protection violation | 2009 | $6,000 |
Advantage Capital Corporation | | | investor protection violation | 2009 | $5,000 |
Financial West Group | | | investor protection violation | 2009 | $5,000 |
First New York Securities L.L.C. | | | investor protection violation | 2009 | $341,000 |
Robert W. Baird & Co. | | | investor protection violation | 2009 | $934,510 |
Leonard & Co. | | | investor protection violation | 2009 | $225,000 |
J.P. Turner & Company, LLC | | | investor protection violation | 2008 | $250,000 |
City National Securities | | | investor protection violation | 2008 | $315,000 |
Harris Investor Services, Inc. | | | investor protection violation | 2008 | $150,000 |
Banorte Securities International, Ltd. | | | investor protection violation | 2008 | $1,100,000 |
First Southwest Company | | | investor protection violation | 2008 | $300,000 |
WaMu Investments, Inc. | | | investor protection violation | 2008 | $250,000 |
GunnAllen Financial, Inc. | | | investor protection violation | 2008 | $750,000 |
American Fund Distributors | | | investor protection violation | 2008 | $5,000,000 |
SMH Capital Inc. | | | investor protection violation | 2008 | $450,000 |
Broadpoint Capital, Inc. | | | investor protection violation | 2008 | $200,000 |
Lehman Brothers, Inc. | | | investor protection violation | 2008 | $200,000 |
Needham & Company, LLC | | | investor protection violation | 2008 | $200,000 |
Robert W. Baird & Co., Inc. | | | investor protection violation | 2008 | $200,000 |
Leerink Swann & Company, Inc. | | | investor protection violation | 2008 | $150,000 |
JMP Securities, LLC | | | investor protection violation | 2008 | $50,000 |
Pacific Crest Securities, Inc. | | | investor protection violation | 2008 | $50,000 |
Rafferty Capital Markets, LLC | | | investor protection violation | 2007 | $409,605 |
Scudder Distributors, Inc. | | | investor protection violation | 2007 | $425,000 |
EKN Financial Services Inc. | | | investor protection violation | 2006 | $200,000 |
McLaughlin, Piven and Vogel Securities Inc. | | | investor protection violation | 2006 | $50,000 |
American Funds Distributors Inc. | | | investor protection violation | 2006 | $5,000,000 |
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 |
Boston Capital Securities, Inc. | | | investor protection violation | 2006 | $1,200,000 |
David Lerner Associates, Inc. | | | investor protection violation | 2006 | $400,000 |
Diversified Investors Securities Corp. | | | investor protection violation | 2006 | $2,250,000 |
Berean Capital Incorporated | | | investor protection violation | 2006 | $100,000 |
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 |
DebtTraders, Inc. | | | investor protection violation | 2005 | $120,000 |
Green Street Advisors | | | investor protection violation | 2005 | $150,000 |
Instinet, LLC and INET ATS, Inc. | | | investor protection violation | 2005 | $1,475,000 |
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 |
SII Investments, Inc. | | | investor protection violation | 2005 | $658,500 |
Lord Abbett Distributor, LLC | | | investor protection violation | 2005 | $255,000 |
First Allied Securities, Inc. | | | investor protection violation | 2005 | $734,500 |
David Lerner Associates, Inc. | | | investor protection violation | 2005 | $115,000 |
Hantz Financial Services, Inc. | | | investor protection violation | 2005 | $675,000 |
Hornor, Townsend & Kent, Inc. | | | investor protection violation | 2005 | $325,000 |
Stephens, Inc. | | | investor protection violation | 2005 | $110,000 |
Stone & Youngberg, LLC | | | investor protection violation | 2005 | $110,000 |
Brinker Capital Securities, Inc. | | | investor protection violation | 2005 | $60,000 |
Emmet & Co., Inc. | | | investor protection violation | 2005 | $40,000 |
Loop Capital Markets, LLC | | | investor protection violation | 2005 | $40,000 |
Popular Securities, Inc. | | | investor protection violation | 2005 | $40,000 |
BOSC, Inc. | | | investor protection violation | 2005 | $30,000 |
Pershing LLC | | | investor protection violation | 2005 | $30,000 |
Prager, Sealy & Co., LLC | | | investor protection violation | 2005 | $30,000 |
Tejas Securities Group, Inc. | | | investor protection violation | 2005 | $10,000 |
H.D. Vest Investment Services | | | investor protection violation | 2005 | $4,015,000 |
Linsco/Private Ledger Corp. | | | investor protection violation | 2005 | $3,602,398 |
FSC Securities Corp. | | | investor protection violation | 2005 | $2,400,000 |
McDonald Investments Inc. | | | investor protection violation | 2005 | $1,500,000 |
Sentra Securities Corporation and Spelman & Co., Inc. | | | investor protection violation | 2005 | $780,000 |
Advantage Capital Corp. | | | investor protection violation | 2005 | $450,000 |
Advest, Inc. | | | investor protection violation | 2005 | $286,415 |
Quick & Reilly, Inc. | | | investor protection violation | 2005 | $570,000 |
LH Ross | | | investor protection violation | 2005 | $11,968,000 |
Yankee Financial Group, Inc. | | | investor protection violation | 2005 | $3,800,000 |
First Command Financial Planning Inc. | | | investor protection violation | 2004 | $12,000,000 |
Sigma Financial Corporation | | | investor protection violation | 2004 | $135,000 |
LINSCO/Private Ledger Corp. | | | investor protection violation | 2004 | $450,000 |
PFS Investments, Inc. | | | investor protection violation | 2004 | $450,000 |
WM Financial Services, Inc. | | | investor protection violation | 2004 | $350,000 |
J.P. Turner & Company, LLC | | | investor protection violation | 2004 | $185,000 |
Financial Network Investment Corp. | | | investor protection violation | 2004 | $185,000 |
Farmers Financial Solutions LLC | | | investor protection violation | 2004 | $125,000 |
InterSecurities, Inc. | | | investor protection violation | 2004 | $125,000 |
J.J.B. Hilliard, W.L. Lyons Inc. | | | investor protection violation | 2004 | $125,000 |
Quick & Reilly, Inc. | | | investor protection violation | 2004 | $125,000 |
Sentinel Financial Services Company | | | investor protection violation | 2004 | $700,000 |
BNY Brokerage, Inc. | | | investor protection violation | 2004 | $12,000 |
Carlin Equities Corporation | | | investor protection violation | 2004 | $35,000 |
Delta Asset Management Company, L.L.C. | | | investor protection violation | 2004 | $15,000 |
Doyle, Miles & Co., L.L.C. | | | investor protection violation | 2004 | $12,500 |
FutureTrade Securities, L.L.C | | | investor protection violation | 2004 | $35,000 |
Index Securities, LLC | | | investor protection violation | 2004 | $11,000 |
Mid-Atlantic Capital Corporation | | | investor protection violation | 2004 | $10,000 |
Options Trading Associates, LLC | | | investor protection violation | 2004 | $10,000 |
Pulse Trading, Inc. | | | investor protection violation | 2004 | $20,000 |
Quantlab Securities, L.P. | | | investor protection violation | 2004 | $12,500 |