ProEquities, Inc. | Dai-ichi Life | investor protection violation | 2019 | SEC | $1,852,383 |
Santander Consumer USA Holdings Inc. | Banco Santander | investor protection violation | 2018 | SEC | $1,500,000 |
UBS Financial Services Inc. | UBS | investor protection violation | 2018 | SEC | $5,000,000 |
Deutsche Bank Trust Company Americas | Deutsche Bank | investor protection violation | 2019 | SEC | $500,000 |
BMO Capital Markets Corporation | Bank of Montreal | investor protection violation | 2019 | SEC | $3,946,000 |
Cantor Fitzgerald & Co. | Cantor Fitzgerald | investor protection violation | 2019 | SEC | $647,000 |
Deutsche Bank AG | Deutsche Bank | Foreign Corrupt Practices Act | 2019 | SEC | $16,178,850 |
Industrial and Commercial Bank of China Financial Services LLC | Industrial and Commercial Bank of China | investor protection violation | 2019 | SEC | $42,700,000 |
Nomura Securities International Inc. | Nomura | investor protection violation | 2019 | SEC | $26,400,000 |
State Street Bank and Trust Company | State Street Corp. | investor protection violation | 2019 | SEC | $88,780,000 |
Wedbush Securities Inc. | Wedbush Securities | investor protection violation | 2019 | SEC | $8,100,000 |
Morgan Stanley Smith Barney LLC | Morgan Stanley | investor protection violation | 2019 | SEC | $1,545,758 |
Hilltop Securities Inc. and Hilltop Securities Independent Network Inc. | Hilltop Holdings | investor protection violation | 2019 | SEC | $810,785 |
Wedbush Securities Inc. | Wedbush Securities | investor protection violation | 2019 | SEC | $1,852,540 |
Virtu Americas LLC | Virtu Financial | investor protection violation | 2019 | SEC | $1,500,000 |
BMO Harris Financial Advisors Inc. and BMO Asset Management Corp. | Bank of Montreal | investor protection violation | 2019 | SEC | $37,980,000 |
Barclays PLC | Barclays | Foreign Corrupt Practices Act | 2019 | SEC | $6,308,726 |
GFI Securities LLC | BGC Partners | investor protection violation | 2019 | SEC | $4,300,000 |
Raymond James & Associates, Inc. et al. | Raymond James Financial | investor protection violation | 2019 | SEC | $15,000,000 |
Morgan Stanley Smith Barney, LLC | Morgan Stanley | investor protection violation | 2019 | SEC | $225,000 |
Stifel, Nicolaus & Co., Inc. | Stifel Financial | investor protection violation | 2019 | SEC | $2,700,000 |
BMO Capital Markets Corp. | Bank of Montreal | investor protection violation | 2019 | SEC | $1,950,000 |
Prudential Financial Inc. | Prudential Financial | investor protection violation | 2019 | SEC | $32,600,000 |
Wells Fargo Clearing Services and Wells Fargo Advisors Financial Network | Wells Fargo | investor protection violation | 2020 | SEC | $35,000,000 |
Wells Fargo & Co. | Wells Fargo | investor protection violation | 2020 | SEC | (*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $500,000,000 |
ABN AMRO Clearing Chicago LLC | ABN AMRO | investor protection violation | 2020 | SEC | $586,000 |
MetLife, Inc. | MetLife | investor protection violation | 2019 | SEC | $10,000,000 |
J.P. Morgan Securities LLC | JPMorgan Chase | investor protection violation | 2020 | SEC | $1,822,438 |
U.S. Bancorp Investments, Inc. | U.S. Bancorp | investor protection violation | 2020 | SEC | $15,992,441 |
Morgan Stanley Smith Barney LLC | Morgan Stanley | investor protection violation | 2020 | SEC | $5,000,000 |
RBC Capital Markets LLC | Royal Bank of Canada | investor protection violation | 2020 | SEC | $3,889,007 |
Merrill Lynch, Pierce and Fenner & Smith, Incorporated | Bank of America | investor protection violation | 2020 | SEC | $325,376 |
Cantor Fitzgerald & Co. | Cantor Fitzgerald | investor protection violation | 2020 | SEC | $3,200,000 |
HSBC Securities (USA) Inc. | HSBC | investor protection violation | 2020 | SEC | $725,000 |
Northern Trust Hedge Fund Services LLC | Northern Trust | investor protection violation | 2020 | SEC | $167,629 |
Interactive Brokers LLC | Interactive Brokers Group | investor protection violation | 2020 | SEC | $11,500,000 |
World Acceptance Corporation | World Acceptance Corporation | Foreign Corrupt Practices Act | 2020 | SEC | $21,700,000 |
VALIC Financial Advisors Inc. | American International Group | investor protection violation | 2020 | SEC | $39,900,000 |
UBS Financial Services Inc. | UBS | investor protection violation | 2020 | SEC | $10,000,000 |
Franklin Advisers and Inc. | Franklin Resources | investor protection violation | 2020 | SEC | $250,000 |
Franklin Templeton Investments Corp. | Franklin Resources | investor protection violation | 2020 | SEC | $75,000 |
BNP Paribas Securities Corp. | BNP Paribas | investor protection violation | 2020 | SEC | $250,000 |
SG Americas Securities LLC | Societe Generale | investor protection violation | 2020 | SEC | $1,550,000 |
Goldman Sachs Group Inc. | Goldman Sachs | Foreign Corrupt Practices Act | 2020 | SEC | (*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $1,006,000,000 |
Morgan Stanley & Co. LLC | Morgan Stanley | investor protection violation | 2020 | SEC | $5,000,000 |
Transamerica Asset Management, Inc. | Aegon | investor protection violation | 2020 | SEC | $5,946,782 |
BGC Partners, Inc. | BGC Partners | investor protection violation | 2020 | SEC | $1,400,000 |
J.P. Morgan Securities LLC | JPMorgan Chase | investor protection violation | 2020 | SEC | $35,000,000 |
Fulton Financial Corporation | Fulton Financial | investor protection violation | 2020 | SEC | $1,500,000 |
Credit Suisse Securities (USA) LLC | UBS | investor protection violation | 2020 | SEC | $600,000 |
Deutsche Bank AG | Deutsche Bank | Foreign Corrupt Practices Act | 2021 | SEC | $43,000,000 |
Pruco Securities, LLC | Prudential Financial | investor protection violation | 2020 | SEC | $18,252,341 |
Voya Financial Advisors, Inc. | Voya Financial | investor protection violation | 2020 | SEC | $22,919,155 |
Robinhood Financial LLC | Robinhood Markets | investor protection violation | 2020 | SEC | $65,000,000 |
RBC Capital Markets LLC | Royal Bank of Canada | investor protection violation | 2021 | SEC | $863,326 |
Berthel Fisher & Company Financial Services, Inc. | Berthel Fisher | investor protection violation | 2021 | SEC | $389,425 |
MML Investors Services, LLC | Massachusetts Mutual Life Insurance | investor protection violation | 2021 | SEC | $2,109,458 |
UBS Financial Services Inc. | UBS | investor protection violation | 2021 | SEC | $8,112,174 |
TIAA-CREF Individual & Institutional Services LLC | TIAA | accounting fraud or deficiencies | 2021 | SEC | $97,000,000 |
Hilltop Securities Inc. | Hilltop Holdings | investor protection violation | 2021 | SEC | $340,193 |
First American Financial Corporation | First American Financial | privacy violation | 2021 | SEC | $487,616 |
Wedbush Securities Inc. | Wedbush Securities | investor protection violation | 2021 | SEC | $1,207,000 |
WEX Inc. | WEX Inc. | investor protection violation | 2021 | SEC | $350,000 |
Credit Suisse Group AG | UBS | Foreign Corrupt Practices Act | 2021 | SEC | $99,000,000 |
LPL Financial LLC | LPL Financial | investor protection violation | 2021 | SEC | $891,202 |
J.P. Morgan Securities LLC | JPMorgan Chase | investor protection violation | 2021 | SEC | $125,000,000 |
Ameritas Advisory Services, LLC | Ameritas Mutual Holding Company | investor protection violation | 2022 | SEC | $4,628,194 |
Charles Schwab & Co., Inc. et al. | Charles Schwab Corp. | investor protection violation | 2022 | SEC | $187,000,000 |
BNY Mellon Investment Adviser, Inc. | Bank of New York Mellon | investor protection violation | 2022 | SEC | $1,500,000 |
Wells Fargo Advisors | Wells Fargo | anti-money-laundering deficiencies | 2022 | SEC | $7,000,000 |
First Republic Investment Management, Inc. | JPMorgan Chase | investor protection violation | 2022 | SEC | $1,825,953 |
Allianz Global Investors U.S. LLC | Allianz | investor protection violation | 2022 | SEC | (*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $1,024,200,000 |
UBS Financial Services Inc. | UBS | investor protection violation | 2022 | SEC | $25,000,000 |
BNY Mellon Capital Markets LLC | Bank of New York Mellon | investor protection violation | 2022 | SEC | $956,833 |
TD Securities (USA) LLC | Toronto-Dominion Bank | investor protection violation | 2022 | SEC | $152,955 |
Janus Henderson Investors US LLC | Janus Henderson | investor protection violation | 2022 | SEC | $150,000 |
J.P. Morgan Securities LLC | JPMorgan Chase | investor protection violation | 2022 | SEC | $1,200,000 |
UBS Financial Services Inc. | UBS | investor protection violation | 2022 | SEC | $925,000 |
Equitable Financial Life Insurance Company | Equitable Holdings | investor protection violation | 2022 | SEC | $50,000,000 |
Waddell & Reed, LLC | Macquarie | investor protection violation | 2022 | SEC | $200,000 |
Morgan Stanley Smith Barney LLC | Morgan Stanley | investor protection violation | 2022 | SEC | $35,000,000 |
Raymond James & Associates, Inc. | Raymond James Financial | investor protection violation | 2022 | SEC | $500,000 |
Barclays Bank PLC | Barclays | investor protection violation | 2022 | SEC | $361,000,000 |
Barclays Capital Inc. | Barclays | investor protection violation | 2022 | SEC | $125,000,000 |
BofA Securities Inc. and Merrill Lynch, Pierce, Fenner & Smith Inc. | Bank of America | investor protection violation | 2022 | SEC | $125,000,000 |
Citigroup Global Markets Inc. | Citigroup | investor protection violation | 2022 | SEC | $125,000,000 |
Credit Suisse Securities (USA) LLC | UBS | investor protection violation | 2022 | SEC | $125,000,000 |
Deutsche Bank Securities Inc. | Deutsche Bank | investor protection violation | 2022 | SEC | $125,000,000 |
Goldman Sachs & Co. LLC | Goldman Sachs | investor protection violation | 2022 | SEC | $125,000,000 |
Morgan Stanley & Co. LLC | Morgan Stanley | investor protection violation | 2022 | SEC | $125,000,000 |
UBS Securities LLC and UBS Financial Services Inc. | UBS | investor protection violation | 2022 | SEC | $125,000,000 |
Nomura Securities International, Inc. | Nomura | investor protection violation | 2022 | SEC | $50,000,000 |
Cantor Fitzgerald & Co. | Cantor Fitzgerald | investor protection violation | 2022 | SEC | $10,000,000 |
Goldman Sachs Asset Management, L.P. | Goldman Sachs | investor protection violation | 2022 | SEC | $4,000,000 |
Danske Bank A/S | Danske Bank | anti-money-laundering deficiencies | 2022 | SEC | (*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $413,000,000 |
PNC Capital Markets LLC | PNC Financial Services | investor protection violation | 2022 | SEC | $198,323 |
KeyBanc Capital Markets Inc. | KeyCorp | investor protection violation | 2023 | SEC | $397,135 |
Merrill Lynch, Pierce, Fenner & Smith Incorporated | Bank of America | investor protection violation | 2023 | SEC | $9,660,000 |
Chatham Asset Management LLC | Chatham Asset Management | investor protection violation | 2023 | SEC | $18,800,000 |
HSBC Securities (USA) Inc. | HSBC | investor protection violation | 2023 | SEC | $15,000,000 |
Scotia Capital (USA) Inc. | Scotiabank | investor protection violation | 2023 | SEC | $7,500,000 |