J.P. Morgan Securities, Inc. | JPMorgan Chase | financial services | investor protection violation | 2005 | $160,000 |
Chase Investment Services Corp. | JPMorgan Chase | financial services | investor protection violation | 2005 | $60,000 |
J.P. Morgan Securities, Inc. | JPMorgan Chase | financial services | investor protection violation | 2005 | $150,000 |
Chase Investment Services | JPMorgan Chase | financial services | investor protection violation | 2005 | $2,000,000 |
Banc One Securities Corporation | JPMorgan Chase | financial services | investor protection violation | 2005 | $400,000 |
Chase Investment Services Corp. | JPMorgan Chase | financial services | investor protection violation | 2004 | $250,000 |
Bear, Stearns & Co. Inc. | JPMorgan Chase | financial services | investor protection violation | 2004 | $4,950,000 |
Bear, Stearns & Co. Inc. | JPMorgan Chase | financial services | investor protection violation | 2004 | $280,469 |
J.P. Morgan Securities, Inc. | JPMorgan Chase | financial services | investor protection violation | 2003 | $6,000,000 |
J.P. Morgan Securities, Inc. | JPMorgan Chase | financial services | investor protection violation | 2001 | $10,000 |
Chase Securities, Inc. | JPMorgan Chase | financial services | investor protection violation | 2001 | $10,000 |
J. P. Morgan Securities Inc. | JPMorgan Chase | financial services | investor protection violation | 2000 | $200,000 |
Kemper Distributors, Inc. | Kemper | financial services | investor protection violation | 2000 | $100,000 |
KeyBanc Capital Markets, Inc. | KeyCorp | financial services | investor protection violation | 2009 | $425,000 |
Lincoln Financial Securities, Inc. and Lincoln Financial Advisors Corporation | Lincoln National | financial services | investor protection violation | 2011 | $600,000 |
Lincoln Financial Advisors Corporation | Lincoln National | financial services | investor protection violation | 2005 | $950,000 |
Jefferson Pilot Variable Corporation | Lincoln National | financial services | investor protection violation | 2005 | $688,697 |
Jefferson Pilot Securities Corporation | Lincoln National | financial services | investor protection violation | 2004 | $125,000 |
LPL Financial LLC | LPL Financial | financial services | investor protection violation | 2019 | $280,000 |
LPL Financial, LLC | LPL Financial | financial services | investor protection violation | 2018 | $2,750,000 |
LPL Financial LLC | LPL Financial | financial services | investor protection violation | 2016 | $750,000 |
LPL Financial LLC | LPL Financial | financial services | investor protection violation | 2015 | $6,300,000 |
LPL Financial LLC | LPL Financial | financial services | investor protection violation | 2015 | $11,700,000 |
LPL Financial LLC | LPL Financial | financial services | investor protection violation | 2014 | $950,000 |
LPL Financial LLC | LPL Financial | financial services | investor protection violation | 2013 | $9,000,000 |
Investment Centers of America, Inc. | LPL Financial | financial services | investor protection violation | 2005 | $363,500 |
M&T Securities, Inc. | M&T Bank | financial services | investor protection violation | 2009 | $200,000 |
Macquarie Capital (USA) Inc. | Macquarie | financial services | investor protection violation | 2015 | $2,950,000 |
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 |
MML Investors Services, Inc. | Massachusetts Mutual Life Insurance | financial services | investor protection violation | 2007 | $473,000 |
MML Investor Services, Inc. | Massachusetts Mutual Life Insurance | financial services | investor protection violation | 2004 | $250,000 |
MetLife Securities, Inc. | MetLife | financial services | investor protection violation | 2016 | $25,000,000 |
MetLife Securities, Inc. | MetLife | financial services | investor protection violation | 2015 | $649,748 |
MetLife Securities, Inc. | MetLife | financial services | investor protection violation | 2009 | $1,200,000 |
New England Securities | MetLife | financial services | investor protection violation | 2009 | $500,000 |
MetLife Securities, Inc | MetLife | financial services | investor protection violation | 2006 | $500,000 |
MetLife, Inc. | MetLife | financial services | investor protection violation | 2006 | $5,000,000 |
Metropolitan Life Insurance Co. | MetLife | financial services | investor protection violation | 2004 | $375,000 |
New England Securities | MetLife | financial services | investor protection violation | 2004 | $200,000 |
Morgan Stanley Smith Barney LLC | Morgan Stanley | financial services | investor protection violation | 2019 | $280,000 |
Morgan Stanley Smith Barney LLC | Morgan Stanley | financial services | anti-money-laundering deficiencies | 2018 | $10,000,000 |
E-Trade Securities, LLC | Morgan Stanley | financial services | investor protection violation | 2008 | $500,000 |
Morgan Stanley Smith Barney LLC | Morgan Stanley | financial services | investor protection violation | 2017 | $13,030,000 |
E-Trade Securities LLC | Morgan Stanley | financial services | investor protection violation | 2016 | $900,000 |
Morgan Stanley Smith Barney, LLC | Morgan Stanley | financial services | investor protection violation | 2015 | $650,000 |
Morgan Stanley & Co. LLC | Morgan Stanley | financial services | investor protection violation | 2015 | $2,000,000 |
Morgan Stanley & Co., LLC | Morgan Stanley | financial services | investor protection violation | 2014 | $4,000,000 |
Morgan Stanley Smith Barney LLC | Morgan Stanley | financial services | investor protection violation | 2014 | $5,000,000 |
Morgan Stanley Smith Barney LLC and Morgan Stanley & Co. LLC | Morgan Stanley | financial services | investor protection violation | 2013 | $1,188,000 |
Morgan Stanley | Morgan Stanley | financial services | investor protection violation | 2012 | $817,754 |
Morgan Stanley & Co., LLC | Morgan Stanley | financial services | investor protection violation | 2012 | $2,146,431 |
Morgan Stanley & Co. Inc. and Morgan Stanley Smith Barney LLC | Morgan Stanley | financial services | investor protection violation | 2011 | $1,371,000 |
Morgan Stanley & Co., Inc. | Morgan Stanley | financial services | investor protection violation | 2010 | $800,000 |
Morgan Stanley & Co. | Morgan Stanley | financial services | investor protection violation | 2009 | $7,200,000 |
E-Trade Securities LLC and E-Trade Clearing LLC | Morgan Stanley | financial services | anti-money-laundering deficiencies | 2009 | $1,000,000 |
Morgan Stanley & Co. | Morgan Stanley | financial services | investor protection violation | 2007 | $12,500,000 |
Morgan Stanley DW Inc. | Morgan Stanley | financial services | investor protection violation | 2007 | $6,100,000 |
Morgan Stanley DW Inc. | Morgan Stanley | financial services | investor protection violation | 2006 | $100,000 |
Morgan Stanley | Morgan Stanley | financial services | investor protection violation | 2006 | $2,900,000 |
Morgan Stanley & Co. Incorporated | Morgan Stanley | financial services | investor protection violation | 2006 | $200,000 |
Morgan Stanley DW, Inc. | Morgan Stanley | financial services | investor protection violation | 2005 | $6,100,000 |
Morgan Stanley & Co. | Morgan Stanley | financial services | investor protection violation | 2005 | $2,650,000 |
Morgan Stanley DW Inc | Morgan Stanley | financial services | investor protection violation | 2004 | $336,510 |
Morgan Stanley DW Inc. | Morgan Stanley | financial services | investor protection violation | 2004 | $2,200,000 |
Morgan Stanley DW Inc. | Morgan Stanley | financial services | investor protection violation | 2004 | $250,000 |
Morgan Stanley DW Inc. | Morgan Stanley | financial services | investor protection violation | 2004 | $38,312 |
Morgan Stanley & Co. Inc. | Morgan Stanley | financial services | investor protection violation | 2004 | $5,390,000 |
Morgan Stanley DW Inc. | Morgan Stanley | financial services | investor protection violation | 2003 | (*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $50,000,000 |
Morgan Stanley DW Inc. | Morgan Stanley | financial services | investor protection violation | 2003 | $2,000,000 |
Morgan Stanley & Co. Incorporated | Morgan Stanley | 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 |
Salomon Smith Barney Inc. | Morgan Stanley | 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 |
Salomon Smith Barney | Morgan Stanley | financial services | investor protection violation | 2002 | $5,000,000 |
E-Trade Securities | Morgan Stanley | financial services | investor protection violation | 2001 | $90,000 |
Morgan Stanley & Co. Inc. | Morgan Stanley | financial services | investor protection violation | 2000 | $200,000 |
E-TRADE Securities, Inc. | Morgan Stanley | financial services | investor protection violation | 2000 | $20,000 |
E-TRADE Securities, Inc. | Morgan Stanley | financial services | investor protection violation | 2000 | $20,000 |
Morgan Stanley & Co., Inc. | Morgan Stanley | financial services | investor protection violation | 2000 | $495,000 |
Morgan Stanley Smith Barney LLC | Morgan Stanley | financial services | investor protection violation | 2024 | $1,600,000 |
BRUT LLC | Nasdaq Inc. | financial services | investor protection violation | 2006 | $2,200,000 |
RBS Securities, Inc. | NatWest Group PLC | financial services | investor protection violation | 2016 | $2,000,000 |
NYLIFE Securities LLC | New York Life Insurance | financial services | investor protection violation | 2007 | $354,000 |
NYLife Securities, Inc. | New York Life Insurance | financial services | investor protection violation | 2004 | $350,000 |
Northern Trust Securities | Northern Trust | financial services | investor protection violation | 2011 | $600,000 |
Northwestern Mutual Investment Services, LLC | Northwestern Mutual | financial services | investor protection violation | 2009 | $200,000 |
Northwestern Mutual Investment Services, LLC | Northwestern Mutual | financial services | investor protection violation | 2007 | $100,000 |
Oppenheimer & Co. Inc. | Oppenheimer Holdings | financial services | investor protection violation | 2019 | $4,600,000 |
Oppenheimer & Co. Inc. | Oppenheimer Holdings | financial services | investor protection violation | 2016 | $3,425,000 |
Oppenheimer & Co. Inc. | Oppenheimer Holdings | financial services | investor protection violation | 2016 | $2,966,000 |
Oppenheimer & Co. Inc. | Oppenheimer Holdings | financial services | investor protection violation | 2015 | $3,750,000 |
Oppenheimer & Co., Inc. | Oppenheimer Holdings | financial services | investor protection violation | 2013 | $921,000 |
Oppenheimer and Co., Inc. | Oppenheimer Holdings | financial services | anti-money-laundering deficiencies | 2013 | $1,425,000 |
Oppenheimer & Co. | Oppenheimer Holdings | financial services | investor protection violation | 2008 | $4,500,000 |
Oppenheimer & Co. Inc. | Oppenheimer Holdings | financial services | investor protection violation | 2007 | $1,000,000 |
Oppenheimer & Co. Inc. | Oppenheimer Holdings | financial services | investor protection violation | 2006 | $800,000 |
Oppenheimer & Co. Inc. | Oppenheimer Holdings | financial services | investor protection violation | 2006 | $250,000 |
Josephthal & Co., Inc. | Oppenheimer Holdings | financial services | investor protection violation | 2001 | $2,300,000 |
Janney Montgomery Scott, LLC | Penn Mutual | financial services | investor protection violation | 2015 | $1,200,000 |
Janney Montgomery Scott LLC | Penn Mutual | financial services | investor protection violation | 2009 | $200,000 |
Janney Montgomery Scott LLC | Penn Mutual | financial services | investor protection violation | 2005 | $2,200,000 |
Piper Jaffray & Co. | Piper Sandler | financial services | investor protection violation | 2010 | $700,000 |
Piper Jaffray & Co. | Piper Sandler | financial services | investor protection violation | 2008 | $100,000 |