Cantor Fitzgerald & Co. | Cantor Fitzgerald | financial services | investor protection violation | 2015 | $7,300,000 |
Fidelity Brokerage Services LLC | Fidelity Investments | financial services | investor protection violation | 2015 | $1,030,000 |
Deutsche Bank Securities Inc. | Deutsche Bank | financial services | investor protection violation | 2015 | $1,400,000 |
Scottrade, Inc. | Charles Schwab Corp. | financial services | investor protection violation | 2015 | $2,600,000 |
Edward D. Jones & Co., L.P. | Jones Financial | financial services | investor protection violation | 2015 | $13,500,000 |
Stifel Nicolaus & Company, Inc. | Stifel Financial | financial services | investor protection violation | 2015 | $2,900,000 |
Janney Montgomery Scott, LLC | Penn Mutual | financial services | investor protection violation | 2015 | $1,200,000 |
AXA Advisors, LLC | Equitable Holdings | financial services | investor protection violation | 2015 | $600,000 |
Stephens Inc. | | | investor protection violation | 2015 | $150,000 |
First Allied Securities, Inc. | | | investor protection violation | 2015 | $1,014,647 |
Fifth Third Securities, Inc. | Fifth Third Bancorp | financial services | investor protection violation | 2015 | $963,534 |
Securities America, Inc. | Reverence Capital Partners | private equity (including portfolio companies) | investor protection violation | 2015 | $752,686 |
Cetera Advisors LLC | | | investor protection violation | 2015 | $702,622 |
Park Avenue Securities LLC | | | investor protection violation | 2015 | $743,255 |
Commonwealth Financial Network | | | investor protection violation | 2015 | $582,521 |
MetLife Securities, Inc. | MetLife | financial services | investor protection violation | 2015 | $649,748 |
Comerica Securities | Comerica | financial services | investor protection violation | 2015 | $347,757 |
Cetera Advisor Networks LLC | | | investor protection violation | 2015 | $301,108 |
Ameritas Investment Corp. | Ameritas Mutual Holding Company | financial services | investor protection violation | 2015 | $278,544 |
Infinex Investments, Inc. | | | investor protection violation | 2015 | $259,627 |
The Huntington Investment Company | | | investor protection violation | 2015 | $135,973 |
Santander Securities LLC | Banco Santander | financial services | investor protection violation | 2015 | $6,421,000 |
UBS Financial Services Incorporated of Puerto Rico | UBS | financial services | investor protection violation | 2015 | $18,500,000 |
Charles Schwab & Co. | Charles Schwab Corp. | financial services | investor protection violation | 2015 | $2,000,000 |
StockCross Financial Services, Inc. | | | investor protection violation | 2015 | $800,000 |
Aegis Capital Corp. | | | investor protection violation | 2015 | $950,000 |
Goldman Sachs Execution & Clearing, L.P. | Goldman Sachs | financial services | investor protection violation | 2015 | $1,800,000 |
Wells Fargo Advisors, LLC and Wells Fargo Advisors Financial Network, LLC | Wells Fargo | financial services | investor protection violation | 2015 | $15,000,000 |
Raymond James & Associates, Inc. and Raymond James Financial Services, Inc. | Raymond James Financial | financial services | investor protection violation | 2015 | $8,700,000 |
LPL Financial LLC | LPL Financial | financial services | investor protection violation | 2015 | $6,300,000 |
Morgan Stanley Smith Barney, LLC | Morgan Stanley | financial services | investor protection violation | 2015 | $650,000 |
Scottrade, Inc. | Charles Schwab Corp. | financial services | investor protection violation | 2015 | $300,000 |
Morgan Stanley & Co. LLC | Morgan Stanley | financial services | investor protection violation | 2015 | $2,000,000 |
LPL Financial LLC | LPL Financial | financial services | investor protection violation | 2015 | $11,700,000 |
RBC Capital Markets | Royal Bank of Canada | financial services | investor protection violation | 2015 | $1,434,000 |
H. Beck, Inc. | | | investor protection violation | 2015 | $425,000 |
LaSalle St. Securities, LLC | | | investor protection violation | 2015 | $175,000 |
J.P. Turner & Company, LLC | | | investor protection violation | 2015 | $100,000 |
Oppenheimer & Co. Inc. | Oppenheimer Holdings | financial services | investor protection violation | 2015 | $3,750,000 |
First New York Securities L.L.C. | | | investor protection violation | 2015 | $916,000 |
Brookville Capital Partners LLC | | | investor protection violation | 2015 | $1,500,000 |
John Thomas Financial | | | investor protection violation | 2015 | $1,147,288 |
Wells Fargo Securities, LLC and Wells Fargo Prime Services, LLC | Wells Fargo | financial services | investor protection violation | 2016 | $4,000,000 |
RBC Capital Markets LLC and RBC Capital Markets Arbitrage S.A. | Royal Bank of Canada | financial services | investor protection violation | 2016 | $3,500,000 |
RBS Securities, Inc. | NatWest Group PLC | financial services | investor protection violation | 2016 | $2,000,000 |
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 |
SunTrust Robinson Humphrey, Inc. | Truist Financial | financial services | investor protection violation | 2016 | $1,500,000 |
LPL Financial LLC | LPL Financial | financial services | investor protection violation | 2016 | $750,000 |
Georgeson Securities Corporation | | | investor protection violation | 2016 | $650,000 |
PNC Capital Markets LLC | PNC Financial Services | financial services | investor protection violation | 2016 | $50,000 |
Deutsche Bank Securities Inc. | Deutsche Bank | financial services | investor protection violation | 2016 | $3,250,000 |
Credit Suisse Securities (USA) LLC | UBS | financial services | anti-money-laundering deficiencies | 2016 | $16,500,000 |
Merrill Lynch, Pierce, Fenner & Smith Inc. | Bank of America | financial services | investor protection violation | 2016 | $7,030,000 |
VALIC Financial Advisors, Inc. | American International Group | financial services | investor protection violation | 2016 | $1,750,000 |
Oppenheimer & Co. Inc. | Oppenheimer Holdings | financial services | investor protection violation | 2016 | $3,425,000 |
VOYA Financial Advisors Inc. | Voya Financial | financial services | investor protection violation | 2016 | $4,550,000 |
Cetera Advisor Networks LLC | | | investor protection violation | 2016 | $750,000 |
Cetera Financial Specialists LLC | | | investor protection violation | 2016 | $350,000 |
First Allied Securities, Inc. | | | investor protection violation | 2016 | $950,000 |
Summit Brokerage Services, Inc. | | | investor protection violation | 2016 | $500,000 |
VSR Financial Services, Inc. | | | investor protection violation | 2016 | $400,000 |
Kestra Investment Services, LLC | | | investor protection violation | 2016 | $475,000 |
FTB Advisors, Inc. | | | investor protection violation | 2016 | $250,000 |
Merrill Lynch, Pierce, Fenner and Smith Inc. | Bank of America | financial services | investor protection violation | 2016 | $2,800,000 |
Avenir Financial Group | | | investor protection violation | 2016 | $229,000 |
Ameriprise Financial Services, Inc. | Ameriprise Financial | financial services | investor protection violation | 2016 | $850,000 |
Deutsche Bank Securities Inc. | Deutsche Bank | financial services | investor protection violation | 2016 | $12,500,000 |
Barclays Capital Inc. | Barclays | financial services | investor protection violation | 2016 | $1,300,000 |
Prudential Annuities Distributors, Inc. | Prudential Financial | financial services | investor protection violation | 2016 | $950,000 |
Deutsche Bank Securities Inc. | Deutsche Bank | financial services | investor protection violation | 2016 | $6,000,000 |
Merrill Lynch, Pierce, Fenner & Smith, Inc. | Bank of America | financial services | investor protection violation | 2016 | $5,000,000 |
Oppenheimer & Co. Inc. | Oppenheimer Holdings | financial services | investor protection violation | 2016 | $2,966,000 |
E-Trade Securities LLC | Morgan Stanley | financial services | investor protection violation | 2016 | $900,000 |
Raymond James & Associates, Inc. and Raymond James Financial Services, Inc. | Raymond James Financial | financial services | anti-money-laundering deficiencies | 2016 | $17,000,000 |
Stephens Inc. | | | investor protection violation | 2016 | $900,000 |
MetLife Securities, Inc. | MetLife | financial services | investor protection violation | 2016 | $25,000,000 |
Wedbush Securities Inc. | Wedbush Securities | financial services | investor protection violation | 2016 | $675,000 |
Citigroup Global Markets Inc. | Citigroup | financial services | investor protection violation | 2017 | $11,500,000 |
J.P. Morgan Securities | JPMorgan Chase | financial services | investor protection violation | 2017 | $2,800,000 |
Raymond James Financial Services, Inc. | Raymond James Financial | financial services | investor protection violation | 2017 | $2,000,000 |
Merrill Lynch, Pierce, Fenner & Smith Incorporated | Bank of America | financial services | investor protection violation | 2017 | $1,400,000 |
J.P. Morgan Securities, LLC | JPMorgan Chase | financial services | investor protection violation | 2017 | $1,250,000 |
Wells Fargo Clearing Services, LLC and Wells Fargo Advisors Financial Network, LLC | Wells Fargo | financial services | investor protection violation | 2017 | $3,400,000 |
Morgan Stanley Smith Barney LLC | Morgan Stanley | financial services | investor protection violation | 2017 | $13,030,000 |
C.L. King & Associates, Inc. | | | investor protection violation | 2017 | $750,000 |
Deutsche Bank Securities Inc. | Deutsche Bank | financial services | investor protection violation | 2017 | $2,500,000 |
Citigroup Global Markets Inc. | Citigroup | financial services | investor protection violation | 2017 | $1,000,000 |
J.P. Morgan Securities LLC | JPMorgan Chase | financial services | investor protection violation | 2017 | $800,000 |
Interactive Brokers LLC | Interactive Brokers Group | financial services | investor protection violation | 2017 | $450,000 |
Purshe Kaplan Sterling Investments | | | investor protection violation | 2017 | $4,150,000 |
Morgan Stanley Smith Barney LLC | Morgan Stanley | financial services | anti-money-laundering deficiencies | 2018 | $10,000,000 |
Merrill Lynch, Pierce, Fenner & Smith Inc. | Bank of America | financial services | securities issuance or trading violation | 2018 | $5,990,530 |
UBS Financial Services Inc. and UBS Securities LLC | UBS | financial services | anti-money-laundering deficiencies | 2018 | $5,000,000 |
LPL Financial, LLC | LPL Financial | financial services | investor protection violation | 2018 | $2,750,000 |
Interactive Brokers LLC | Interactive Brokers Group | financial services | investor protection violation | 2018 | $5,500,000 |
Industrial and Commercial Bank of China Financial Services LLC | Industrial and Commercial Bank of China | financial services | anti-money-laundering deficiencies | 2018 | $5,300,000 |
Fifth Third Securities, Inc. | Fifth Third Bancorp | financial services | investor protection violation | 2018 | $6,000,000 |
Instinet, LLC | | | investor protection violation | 2018 | $1,575,000 |
Aegis Capital Corp. | | | anti-money-laundering deficiencies | 2018 | $550,000 |
Wedbush Securities Inc. | Wedbush Securities | financial services | investor protection violation | 2018 | $1,500,000 |
Oppenheimer & Co. Inc. | Oppenheimer Holdings | financial services | investor protection violation | 2019 | $4,600,000 |