Lek Securities Corporation | | | investor protection violation | 2019 | $900,000 |
E-Trade Securities LLC | Morgan Stanley | financial services | investor protection violation | 2016 | $900,000 |
Stephens Inc. | | | investor protection violation | 2016 | $900,000 |
Edward D. Jones & Co., L.P. | Jones Financial | financial services | investor protection violation | 2009 | $900,000 |
AXA Advisors, LLC | Equitable Holdings | financial services | investor protection violation | 2005 | $900,000 |
Raymond James & Associates, Inc. and Raymond James Financial Services, Inc. | Raymond James Financial | financial services | investor protection violation | 2005 | $888,000 |
Summit Brokerage Services, Inc. | | | investor protection violation | 2019 | $880,000 |
Ameriprise Financial Services, Inc. | Ameriprise Financial | financial services | investor protection violation | 2016 | $850,000 |
CCO Investment Services Corp. | Citizens Financial Group | financial services | investor protection violation | 2006 | $850,000 |
H&R Block Financial Advisors, Inc. | H&R Block | financial services | investor protection violation | 2004 | $825,000 |
Morgan Stanley | Morgan Stanley | financial services | investor protection violation | 2012 | $817,754 |
J.P. Morgan Securities LLC | JPMorgan Chase | financial services | investor protection violation | 2017 | $800,000 |
StockCross Financial Services, Inc. | | | investor protection violation | 2015 | $800,000 |
Goldman Sachs Execution & Clearing, L.P. | Goldman Sachs | financial services | investor protection violation | 2014 | $800,000 |
Guggenheim Securities, LLC | | | investor protection violation | 2012 | $800,000 |
Morgan Stanley & Co., Inc. | Morgan Stanley | financial services | investor protection violation | 2010 | $800,000 |
Oppenheimer & Co. Inc. | Oppenheimer Holdings | financial services | investor protection violation | 2006 | $800,000 |
SG Cowen, LLC | Toronto-Dominion Bank | financial services | investor protection violation | 2004 | $800,000 |
Sentra Securities Corporation and Spelman & Co., Inc. | | | investor protection violation | 2005 | $780,000 |
Berthel Fisher & Company Financial Services, Inc. | Berthel Fisher | financial services | investor protection violation | 2014 | $775,000 |
AXA Advisors, LLC | Equitable Holdings | financial services | investor protection violation | 2019 | $772,000 |
Credit Suisse First Boston LLC | UBS | financial services | investor protection violation | 2004 | $770,000 |
Securities America, Inc. | Reverence Capital Partners | private equity (including portfolio companies) | investor protection violation | 2015 | $752,686 |
TradeStation Securities, Inc. | | | investor protection violation | 2008 | $750,000 |
C.L. King & Associates, Inc. | | | investor protection violation | 2017 | $750,000 |
LPL Financial LLC | LPL Financial | financial services | investor protection violation | 2016 | $750,000 |
Cetera Advisor Networks LLC | | | investor protection violation | 2016 | $750,000 |
Ameriprise Financial Services, Inc. | Ameriprise Financial | financial services | investor protection violation | 2013 | $750,000 |
Comerica Securities, Inc. | Comerica | financial services | investor protection violation | 2008 | $750,000 |
GunnAllen Financial, Inc. | | | investor protection violation | 2008 | $750,000 |
Park Avenue Securities LLC | | | investor protection violation | 2015 | $743,255 |
Davenport & Co. LLC | | | investor protection violation | 2004 | $738,000 |
First Allied Securities, Inc. | | | investor protection violation | 2005 | $734,500 |
Citigroup Global Markets, Inc. | Citigroup | financial services | investor protection violation | 2012 | $725,000 |
J.P. Turner & Company, L.L.C. | | | investor protection violation | 2013 | $707,559 |
Cetera Advisors LLC | | | investor protection violation | 2015 | $702,622 |
Workman Securities Corp. | | | investor protection violation | 2011 | $700,000 |
Piper Jaffray & Co. | Piper Sandler | financial services | investor protection violation | 2010 | $700,000 |
Pacific Cornerstone Capital | | | investor protection violation | 2009 | $700,000 |
SunTrust Investment Services, Inc. | Truist Financial | financial services | investor protection violation | 2008 | $700,000 |
American Express Financial Advisors Inc. | Ameriprise Financial | financial services | investor protection violation | 2004 | $700,000 |
Sentinel Financial Services Company | | | investor protection violation | 2004 | $700,000 |
SoFi Securities LLC | | | investor protection violation | 2023 | $698,282 |
Ferris, Baker Watts LLC | Royal Bank of Canada | financial services | investor protection violation | 2010 | $690,000 |
Jefferson Pilot Variable Corporation | Lincoln National | financial services | investor protection violation | 2005 | $688,697 |
Goldman Sachs | Goldman Sachs | financial services | investor protection violation | 2012 | $683,997 |
Wedbush Securities Inc. | Wedbush Securities | financial services | investor protection violation | 2016 | $675,000 |
SG Americas Securities, Inc. | Societe Generale | financial services | investor protection violation | 2013 | $675,000 |
Hantz Financial Services, Inc. | | | investor protection violation | 2005 | $675,000 |
SII Investments, Inc. | | | investor protection violation | 2005 | $658,500 |
Georgeson Securities Corporation | | | investor protection violation | 2016 | $650,000 |
Morgan Stanley Smith Barney, LLC | Morgan Stanley | financial services | investor protection violation | 2015 | $650,000 |
Southwest Securities, Inc. | Hilltop Holdings | financial services | investor protection violation | 2011 | $650,000 |
Goldman, Sachs & Co. | Goldman Sachs | financial services | investor protection violation | 2010 | $650,000 |
Citigroup Global Markets, Inc. | Citigroup | financial services | investor protection violation | 2010 | $650,000 |
Wachovia Securities LLC | Wells Fargo | financial services | investor protection violation | 2004 | $650,000 |
MetLife Securities, Inc. | MetLife | financial services | investor protection violation | 2015 | $649,748 |
Securities America | Reverence Capital Partners | private equity (including portfolio companies) | investor protection violation | 2014 | $625,000 |
JP Morgan | JPMorgan Chase | financial services | investor protection violation | 2012 | $623,376 |
AXA Advisors, LLC | Equitable Holdings | financial services | investor protection violation | 2015 | $600,000 |
Northern Trust Securities | Northern Trust | financial services | investor protection violation | 2011 | $600,000 |
Lincoln Financial Securities, Inc. and Lincoln Financial Advisors Corporation | Lincoln National | financial services | investor protection violation | 2011 | $600,000 |
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 |
National Securities Corp. | | | investor protection violation | 2004 | $600,000 |
Commonwealth Financial Network | | | investor protection violation | 2015 | $582,521 |
Deutsche Bank Securities | Deutsche Bank | financial services | investor protection violation | 2010 | $575,000 |
Quick & Reilly, Inc. | | | investor protection violation | 2005 | $570,000 |
Aegis Capital Corp. | | | anti-money-laundering deficiencies | 2018 | $550,000 |
Prudential Equity Group LLC | Prudential Financial | financial services | investor protection violation | 2004 | $550,000 |
Peacock, Hislop, Staley & Given, Inc. | | | investor protection violation | 2000 | $539,117 |
J.C. Bradford & Co. | | | investor protection violation | 2000 | $536,000 |
Open to the Public Investing, Inc. | | | investor protection violation | 2023 | $528,124 |
J.P. Turner & Co. | | | anti-money-laundering deficiencies | 2009 | $525,000 |
E-Trade Securities, LLC | Morgan Stanley | financial services | investor protection violation | 2008 | $500,000 |
Summit Brokerage Services, Inc. | | | investor protection violation | 2016 | $500,000 |
Charles Schwab & Co., Inc. | Charles Schwab Corp. | financial services | investor protection violation | 2014 | $500,000 |
Charles Schwab & Company | Charles Schwab Corp. | financial services | investor protection violation | 2013 | $500,000 |
Merrill Lynch, Pierce, Fenner & Smith Inc. | Bank of America | financial services | investor protection violation | 2012 | $500,000 |
Citigroup Global Markets, Inc. | Citigroup | financial services | investor protection violation | 2011 | $500,000 |
Southwest Securities, Inc. | Hilltop Holdings | financial services | investor protection violation | 2011 | $500,000 |
J.J.B. Hilliard, W.L. Lyons Inc. | | | investor protection violation | 2009 | $500,000 |
New England Securities | MetLife | financial services | investor protection violation | 2009 | $500,000 |
J.P. Morgan Securities, Inc. | JPMorgan Chase | financial services | investor protection violation | 2007 | $500,000 |
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 |
R.D. White & Co., Inc. | | | investor protection violation | 2000 | $500,000 |
Southwest Securities Inc. | Hilltop Holdings | financial services | investor protection violation | 2000 | $500,000 |
Morgan Stanley & Co., Inc. | Morgan Stanley | financial services | investor protection violation | 2000 | $495,000 |
Kestra Investment Services, LLC | | | investor protection violation | 2016 | $475,000 |
Banorte-Ixe Securities International, Ltd. | | | anti-money-laundering deficiencies | 2014 | $475,000 |
MML Investors Services, Inc. | Massachusetts Mutual Life Insurance | financial services | investor protection violation | 2007 | $473,000 |
Interactive Brokers LLC | Interactive Brokers Group | financial services | investor protection violation | 2017 | $450,000 |
Penson Financial Services | | | anti-money-laundering deficiencies | 2010 | $450,000 |
IFMG Securities | | | investor protection violation | 2009 | $450,000 |
SMH Capital Inc. | | | investor protection violation | 2008 | $450,000 |
Advantage Capital Corp. | | | investor protection violation | 2005 | $450,000 |
LINSCO/Private Ledger Corp. | | | investor protection violation | 2004 | $450,000 |
PFS Investments, Inc. | | | investor protection violation | 2004 | $450,000 |
H. Beck, Inc. | | | investor protection violation | 2015 | $425,000 |
Citigroup Global Markets | Citigroup | financial services | investor protection violation | 2009 | $425,000 |