Worldco LLC | | | investor protection violation | 2004 | $1,500,000 |
Metropolitan Investment Securities, Inc. | | | investor protection violation | 2003 | $4,300,000 |
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 |
Wells Investment Securities, Inc. | | | investor protection violation | 2003 | $150,000 |
Morgan Stanley DW Inc. | Morgan Stanley | financial services | investor protection violation | 2003 | $2,000,000 |
Altegris Investments, Inc. | | | investor protection violation | 2003 | $175,000 |
J.P. Morgan Securities, Inc. | JPMorgan Chase | financial services | investor protection violation | 2003 | $6,000,000 |
Robertson Stephens, Inc. | | | 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. $14,000,000 |
American Express Financial Advisors Inc. | Ameriprise Financial | financial services | investor protection violation | 2002 | $350,000 |
Deutsche Bank Securities Inc. | Deutsche Bank | 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 |
Goldman, Sachs & Co. | Goldman Sachs | 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 |
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 |
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 |
Fiero Brothers, Inc. | | | investor protection violation | 2002 | $1,000,000 |
Sterling Financial Investment Group | | | investor protection violation | 2002 | $40,000 |
Swift Trade Securities USA, Inc. | | | investor protection violation | 2002 | $101,000 |
Salomon Smith Barney | Morgan Stanley | financial services | investor protection violation | 2002 | $5,000,000 |
U.S. Bancorp Piper Jaffray | Piper Sandler | financial services | investor protection violation | 2002 | $250,000 |
Hornblower & Weeks, Inc. | | | investor protection violation | 2002 | $100,000 |
M.H. Meyerson, & Co., Inc. | | | investor protection violation | 2002 | $75,000 |
Interactive Brokers, L.L.C. | Interactive Brokers Group | financial services | investor protection violation | 2002 | $230,000 |
Credit Suisse First Boston Corporation | UBS | 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. $50,000,000 |
Tower Square Securities | | | investor protection violation | 2002 | $4,500,000 |
Worldco, LLC | | | investor protection violation | 2002 | $175,000 |
Knight Securities L.P. | Virtu Financial | financial services | investor protection violation | 2002 | $1,500,000 |
CUNA Brokerage Services, Inc. | CUNA Mutual | financial services | investor protection violation | 2001 | $100,000 |
Mutual Service Corporation, Inc. | | | investor protection violation | 2001 | $35,000 |
National Financial Services, L.L.C. | | | investor protection violation | 2001 | $30,000 |
Windsor Capital Advisors, Inc. | | | investor protection violation | 2001 | $20,000 |
Prudential Securities Incorporated | Wells Fargo | financial services | investor protection violation | 2001 | $20,000 |
Pershing Trading Company, L.P. | | | investor protection violation | 2001 | $20,000 |
Gerard Klauer Mattison & Co., Inc. | | | investor protection violation | 2001 | $10,000 |
BancBoston Robertson Stephens | | | investor protection violation | 2001 | $10,000 |
J.P. Morgan Securities, Inc. | JPMorgan Chase | financial services | investor protection violation | 2001 | $10,000 |
Ko Securities, Inc. | | | investor protection violation | 2001 | $162,450 |
Fleet Securities, Inc. | | | investor protection violation | 2001 | $50,000 |
NDB Capital Markets LP | | | investor protection violation | 2001 | $250,000 |
Herzog, Heine, Geduld, Inc. | | | investor protection violation | 2001 | $18,000 |
Schwab Capital Markets | UBS | financial services | investor protection violation | 2001 | $12,000 |
Spear, Leeds & Kellogg | Goldman Sachs | financial services | investor protection violation | 2001 | $10,000 |
Access Securities, Inc. | | | investor protection violation | 2001 | $14,000 |
Aegis Capital Corp. | | | investor protection violation | 2001 | $19,000 |
Dalton Kent Securities Group, Inc. | | | investor protection violation | 2001 | $25,000 |
Ramius Securities L.L.C. | | | investor protection violation | 2001 | $61,000 |
Torrey Pines Securities, Inc. | | | investor protection violation | 2001 | $14,000 |
E-Trade Securities | Morgan Stanley | financial services | investor protection violation | 2001 | $90,000 |
NDB Capital Markets, LP | | | investor protection violation | 2001 | $75,000 |
Lehman Brothers, Inc. | | | investor protection violation | 2001 | $65,000 |
Fleet Securities, Inc. | | | investor protection violation | 2001 | $40,000 |
Herzog, Heine, Geduld, Inc. | | | investor protection violation | 2001 | $40,000 |
Banc of America Securities LLC | Bank of America | financial services | investor protection violation | 2001 | $40,000 |
Credit Suisse First Boston Corporation | UBS | financial services | investor protection violation | 2001 | $25,000 |
ING Barings LLC | | | investor protection violation | 2001 | $20,000 |
Merrill Lynch, Pierce, Fenner & Smith, Inc. | Bank of America | financial services | investor protection violation | 2001 | $15,000 |
Penson Financial Services, Inc. | | | investor protection violation | 2001 | $15,000 |
Chase Securities, Inc. | JPMorgan Chase | financial services | investor protection violation | 2001 | $10,000 |
Ramius Securities LLC | | | investor protection violation | 2001 | $10,000 |
All-Tech Direct, Inc. | | | investor protection violation | 2001 | $250,000 |
Momentum Securities, LLC | | | investor protection violation | 2001 | $75,000 |
CyBerBroker, Inc. | | | investor protection violation | 2001 | $20,000 |
Cornerstone Securities Corporation | | | investor protection violation | 2001 | $35,000 |
Summit Trading, Inc. | | | investor protection violation | 2001 | $20,000 |
Josephthal & Co., Inc. | Oppenheimer Holdings | financial services | investor protection violation | 2001 | $2,300,000 |
Stifel, Nicolaus & Company, Inc. | Stifel Financial | financial services | investor protection violation | 2001 | $225,000 |
Banc One Capital Markets, Inc. | | | investor protection violation | 2001 | $1,800,000 |
Prudential Securities, Inc. | Wells Fargo | financial services | investor protection violation | 2001 | $10,000 |
First Union Brokerage Services, Inc. | Wells Fargo | financial services | investor protection violation | 2001 | $32,500 |
Allmerica Investments, Inc. | | | investor protection violation | 2001 | $15,000 |
Lutheran Brotherhood Securities Corp. | | | investor protection violation | 2001 | $25,000 |
Datek Online Brokerage Services, LLC | | | investor protection violation | 2001 | $30,000 |
Providential Securities, Inc. | | | investor protection violation | 2000 | $115,000 |
Morgan Stanley & Co. Inc. | Morgan Stanley | financial services | investor protection violation | 2000 | $200,000 |
Asensio & Company, Inc. | | | investor protection violation | 2000 | $75,000 |
Merrill Lynch, Pierce, Fenner & Smith, Inc. | Bank of America | financial services | investor protection violation | 2000 | $97,000 |
E-TRADE Securities, Inc. | Morgan Stanley | financial services | investor protection violation | 2000 | $20,000 |
R.D. White & Co., Inc. | | | investor protection violation | 2000 | $500,000 |
WMA Securities, Inc. | | | investor protection violation | 2000 | $125,000 |
Cain Brothers & Company, LLC and SHP Capital Markets, Inc. | | | investor protection violation | 2000 | $1,180,000 |
First Chicago Capital Markets, Inc. | | | investor protection violation | 2000 | $4,420,000 |
John Nuveen & Co., Inc. | TIAA | financial services | investor protection violation | 2000 | $6,630,000 |
Peacock, Hislop, Staley & Given, Inc. | | | investor protection violation | 2000 | $539,117 |
Scott & Stringfellow, Inc. | | | investor protection violation | 2000 | $393,263 |
First Union Securities, Inc. | Wells Fargo | financial services | investor protection violation | 2000 | $350,000 |
Botta Trading, LLC | | | investor protection violation | 2000 | $75,000 |
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 |
E-TRADE Securities, Inc. | Morgan Stanley | financial services | investor protection violation | 2000 | $20,000 |
Wheat First Securities Inc. | | | investor protection violation | 2000 | $7,730,000 |
A.G. Edwards & Sons, Inc. | Wells Fargo | financial services | investor protection violation | 2000 | $5,890,000 |
Raymond James & Associates Inc. | Raymond James Financial | financial services | investor protection violation | 2000 | $3,410,000 |
CS First Boston Corp. | UBS | financial services | investor protection violation | 2000 | $1,240,000 |
Piper Jaffray Inc. | Piper Sandler | financial services | investor protection violation | 2000 | $933,000 |
J.C. Bradford & Co. | | | investor protection violation | 2000 | $536,000 |
Southwest Securities Inc. | Hilltop Holdings | financial services | investor protection violation | 2000 | $500,000 |
Prudential Securities, Inc. | Wells Fargo | financial services | investor protection violation | 2000 | $100,000 |
1-800DAYTRADE.COM, Inc. | | | investor protection violation | 2000 | $25,000 |
Donnelly & Co., Inc. | | | investor protection violation | 2000 | $17,500 |
LaSalle St. Securities, L.L.C. | | | investor protection violation | 2000 | $13,000 |
Addison Securities, Inc. | | | investor protection violation | 2000 | $37,500 |
Choice Investments, Inc. | | | investor protection violation | 2000 | $27,000 |