Citigroup Global Markets | Citigroup | data submission deficiencies | 2016 | SEC | $7,000,000 |
Merrill Lynch | Bank of America | investor protection violation | 2016 | SEC | $10,000,000 |
Merrill Lynch | Bank of America | investor protection violation | 2016 | SEC | $415,000,000 |
Morgan Stanley Smith Barney LLC | Morgan Stanley | investor protection violation | 2016 | SEC | $1,000,000 |
INTL FCStone | StoneX Group | accounting fraud or deficiencies | 2016 | SEC | $150,000 |
KeyBanc Capital Markets Inc. | KeyCorp | accounting fraud or deficiencies | 2016 | SEC | $175,000 |
Ocwen Financial Corp. | Ocwen Financial | accounting fraud or deficiencies | 2016 | SEC | $2,000,000 |
State Street Bank and Trust Company | State Street Corp. | illicit political contributions | 2016 | SEC | $12,000,000 |
J.P. Morgan Investment Management Inc. | JPMorgan Chase | investor protection violation | 2015 | SEC | $1,084,210 |
Omega Advisors, Inc. | Omega Advisors | investor protection violation | 2015 | SEC | $134,026 |
Guggenheim Partners Investment Management LLC | Guggenheim Partners | investor protection violation | 2015 | SEC | $20,000,000 |
OZ Management LP | Sculptor Capital Management | data submission deficiencies | 2015 | SEC | $4,250,000 |
BMO Capital Markets GKST Inc. | Piper Sandler | investor protection violation | 2015 | SEC | $250,000 |
BNY Mellon Capital Markets, LLC | Bank of New York Mellon | investor protection violation | 2015 | SEC | $120,000 |
Citigroup Global Markets Inc. | Citigroup | investor protection violation | 2015 | SEC | $500,000 |
Goldman, Sachs & Co. | Goldman Sachs | investor protection violation | 2015 | SEC | $500,000 |
Hutchinson, Shockey, Erley & Co. | Huntington Bancshares | investor protection violation | 2015 | SEC | $220,000 |
J.P. Morgan Securities LLC | JPMorgan Chase | investor protection violation | 2015 | SEC | $500,000 |
Merrill Lynch, Pierce, Fenner & Smith Incorporated | Bank of America | investor protection violation | 2015 | SEC | $500,000 |
Morgan Stanley & Co. LLC | Morgan Stanley | investor protection violation | 2015 | SEC | $500,000 |
The Northern Trust Company | Northern Trust | investor protection violation | 2015 | SEC | $60,000 |
Oppenheimer & Co. Inc. | Oppenheimer Holdings | investor protection violation | 2015 | SEC | $400,000 |
Piper Jaffray & Co. | Piper Sandler | investor protection violation | 2015 | SEC | $500,000 |
Raymond James & Associates, Inc. | Raymond James Financial | investor protection violation | 2015 | SEC | $500,000 |
RBC Capital Markets, LLC | Royal Bank of Canada | investor protection violation | 2015 | SEC | $500,000 |
Stifel, Nicolaus & Company, Inc. | Stifel Financial | investor protection violation | 2015 | SEC | $500,000 |
First Bancorp | First Bancorp (North Carolina) | accounting fraud or deficiencies | 2015 | SEC | $275,000 |
Nationwide Life Insurance Company | Nationwide | investor protection violation | 2015 | SEC | $8,000,000 |
Macquarie Capital (USA) Inc. | Macquarie | investor protection violation | 2015 | SEC | $15,000,000 |
Hampton Roads Bankshares | Atlantic Union Bankshares | accounting fraud or deficiencies | 2014 | SEC | $200,000 |
Wedbush Securities | Wedbush Securities | investor protection violation | 2014 | SEC | $2,440,000 |
Charles Schwab & Co. | Charles Schwab Corp. | investor protection violation | 2014 | SEC | $61,800 |
Interactive Brokers LLC | Interactive Brokers Group | investor protection violation | 2014 | SEC | $56,000 |
Investment Professionals Inc. | Ameriprise Financial | investor protection violation | 2014 | SEC | $67,800 |
J.P. Morgan Securities | JPMorgan Chase | investor protection violation | 2014 | SEC | $54,000 |
Oppenheimer & Co. | Oppenheimer Holdings | investor protection violation | 2014 | SEC | $61,200 |
Stifel Nicolaus & Co. | Stifel Financial | investor protection violation | 2014 | SEC | $60,000 |
TD Ameritrade | Charles Schwab Corp. | investor protection violation | 2014 | SEC | $100,800 |
UBS Financial Services | UBS | investor protection violation | 2014 | SEC | $56,400 |
Wedbush Securities Inc. | Wedbush Securities | investor protection violation | 2014 | SEC | $67,200 |
E*TRADE Securities | Morgan Stanley | investor protection violation | 2014 | SEC | $2,500,000 |
BlackRock Institutional Trust Company | BlackRock | investor protection violation | 2014 | SEC | $1,675,350 |
Wilmington Trust | M&T Bank | accounting fraud or deficiencies | 2014 | SEC | $18,500,000 |
LavaFlow Inc. | Citigroup | investor protection violation | 2014 | SEC | $5,000,000 |
New York Stock Exchange | IntercontinentalExchange Group | investor protection violation | 2014 | SEC | $4,500,000 |
Transamerica Financial Advisors | Aegon | investor protection violation | 2014 | SEC | $1,107,248 |
Scottrade | Charles Schwab Corp. | data submission deficiencies | 2014 | SEC | $2,500,000 |
Western Asset Management Company | Franklin Resources | investor protection violation | 2014 | SEC | $19,400,000 |
ConvergEx Group | Toronto-Dominion Bank | investor protection violation | 2013 | SEC | $107,424,429 |
TD Bank | Toronto-Dominion Bank | investor protection violation | 2013 | SEC | $15,000,000 |
Claritas Investments Ltd. | Principal Financial | investor protection violation | 2013 | SEC | $144,819 |
Chicago Board Options Exchange | CBOE Holdings | investor protection violation | 2013 | SEC | $6,000,000 |
New York Stock Exchange | IntercontinentalExchange Group | investor protection violation | 2012 | SEC | $5,000,000 |
AXA Rosenberg | AXA | investor protection violation | 2011 | SEC | $242,000,000 |
Merrill Lynch | Bank of America | investor protection violation | 2011 | SEC | $10,000,000 |
Regions Bank | Regions Financial | investor protection violation | 2010 | SEC | $1,000,001 |
U.S. Pension Trust Corp. and U.S. College Trust Corp. | U.S. Pension Trust Corp. | investor protection violation | 2010 | SEC | $112,600,000 |
State Street Bank and Trust Company | State Street Corp. | investor protection violation | 2010 | SEC | $313,300,000 |
Assurant Inc. | Assurant | accounting fraud or deficiencies | 2010 | SEC | $3,500,000 |
ICAP plc | CME Group | investor protection violation | 2009 | SEC | $25,000,000 |
J.P. Morgan Securities Inc. | JPMorgan Chase | kickbacks and bribery | 2009 | SEC | $75,000,000 |
Regions Bank | Regions Financial | investor protection violation | 2009 | SEC | $1,000,000 |
Bank of America Corporation | Bank of America | investor protection violation | 2009 | SEC | $33,000,000 |
Morgan Stanley | Morgan Stanley | investor protection violation | 2009 | SEC | $500,000 |
Ameriprise Financial Services, Inc. | Ameriprise Financial | investor protection violation | 2009 | SEC | $17,300,000 |
Evergreen Investment Management Company LLC | Wells Fargo | investor protection violation | 2009 | SEC | $40,000,000 |
Merrill Lynch, Pierce, Fenner & Smith Inc. | Bank of America | investor protection violation | 2009 | SEC | $7,000,000 |
UBS AG | UBS | tax violations | 2009 | SEC | $200,000,000 |
Merrill Lynch, Pierce, Fenner & Smith, Inc. | Bank of America | investor protection violation | 2009 | SEC | $1,000,000 |
Zurich Financial Services | Zurich Insurance | accounting fraud or deficiencies | 2008 | SEC | $25,000,000 |
AmSouth Bank | Regions Financial | investor protection violation | 2008 | SEC | $11,400,000 |
Scottrade, Inc. | Charles Schwab Corp. | investor protection violation | 2008 | SEC | $950,000 |
Banc of America Investment Services, Inc. | Bank of America | investor protection violation | 2008 | SEC | $9,763,634 |
Fidelity Investments | Fidelity Investments | kickbacks and bribery | 2008 | SEC | $8,000,000 |
Federal Home Loan Mortgage Corporation (Freddie Mac) | Freddie Mac (Federal Home Loan Mortgage Corporation) | investor protection violation | 2007 | SEC | $50,000,000 |
Evergreen Investment Management Company | Wells Fargo | investor protection violation | 2007 | SEC | $32,500,000 |
HSBC Bank USA, N.A. | HSBC | investor protection violation | 2007 | SEC | $10,500,000 |
Swiss Re Financial Products Corporation | Swiss Re | investor protection violation | 2007 | SEC | $95,000 |
General American Life Insurance Company | MetLife | investor protection violation | 2007 | SEC | $3,300,000 |
First BanCorp | First Bancorp (Puerto Rico) | accounting fraud or deficiencies | 2007 | SEC | $8,500,000 |
Barclays Bank PLC | Barclays | insider trading | 2007 | SEC | $10,943,561 |
The BISYS Group | Citigroup | accounting fraud or deficiencies | 2007 | SEC | $25,000,000 |
Morgan Stanley & Co. Incorporated | Morgan Stanley | investor protection violation | 2007 | SEC | $7,957,200 |
Zurich Capital Markets Inc. | Zurich Insurance | investor protection violation | 2007 | SEC | $16,800,000 |
A.G. Edwards & Sons, Inc. | Wells Fargo | investor protection violation | 2007 | SEC | $3,860,000 |
Banc of America Securities LLC | Bank of America | fraud | 2007 | SEC | $26,000,000 |
Goldman Sachs Execution and Clearing L.P. | Goldman Sachs | investor protection violation | 2007 | SEC | $2,000,000 |
RenaissanceRe Holdings Ltd. | RenaissanceRe Holdings | accounting fraud or deficiencies | 2007 | SEC | $15,000,000 |
MBIA Inc. | MBIA | accounting fraud or deficiencies | 2007 | SEC | $50,000,000 |
Fred Alger Management, Inc. | Alger Associates | investor protection violation | 2007 | SEC | $40,000,000 |
Friedman, Billings, Ramsey & Co., Inc. | Arlington Asset Investment Corp. | insider trading | 2006 | SEC | $3,755,839 |
Hartford Financial Services Group, Inc. | Hartford Financial Services | investor protection violation | 2006 | SEC | $55,000,000 |
Morgan Stanley & Co. | Morgan Stanley | investor protection violation | 2006 | SEC | $10,000,000 |
A.G. Edwards & Sons, Inc. | Wells Fargo | investor protection violation | 2006 | SEC | $125,000 |
Banc of America Securities LLC | Bank of America | investor protection violation | 2006 | SEC | $750,000 |
Bear, Stearns & Co., Inc. | JPMorgan Chase | investor protection violation | 2006 | SEC | $1,500,000 |
Citigroup Global Markets, Inc. | Citigroup | investor protection violation | 2006 | SEC | $1,500,000 |
Goldman Sachs & Co. | Goldman Sachs | investor protection violation | 2006 | SEC | $1,500,000 |
J.P. Morgan Securities, Inc. | JPMorgan Chase | investor protection violation | 2006 | SEC | $1,500,000 |
Merrill Lynch, Pierce, Fenner & Smith Incorporated | Bank of America | investor protection violation | 2006 | SEC | $1,500,000 |
Morgan Keegan & Company, Inc. | Raymond James Financial | investor protection violation | 2006 | SEC | $125,000 |