Goldman Sachs | Goldman Sachs | investor protection violation | 2015 | NY-DFS | $50,000,000 |
Waddell & Reed Inc. | Macquarie | investor protection violation | 2008 | OK-SEC | $10,000 |
CUNA Brokerage Services Inc. | CUNA Mutual | investor protection violation | 2014 | OK-SEC | $15,000 |
Solium Financial Services LLC | Morgan Stanley | investor protection violation | 2020 | OK-SEC | $9,968 |
Ragen Mackenzie Investment Services LLC | Wells Fargo | investor protection violation | 2004 | OR-FIN | $8,500 |
MetLife Securities | MetLife | investor protection violation | 2005 | OR-FIN | $12,000 |
Prosper Marketplace Inc. | Prosper Marketplace | investor protection violation | 2009 | OR-FIN | $15,000 |
AXA Advisors LLC | Equitable Holdings | investor protection violation | 2011 | OR-FIN | $80,000 |
LPL Financial LLC | LPL Financial | investor protection violation | 2011 | OR-FIN | $100,000 |
Solium Financial Services LLC | Morgan Stanley | investor protection violation | 2020 | OR-FIN | $10,599 |
State Farm VP Management Corp. | State Farm Insurance | investor protection violation | 2013 | PA-BKG | $75,000 |
MML Investors Services LLC | Massachusetts Mutual Life Insurance | investor protection violation | 2015 | PA-BKG | $100,000 |
Janney Montgomery Scott LLC | Penn Mutual | investor protection violation | 2016 | PA-BKG | $10,000 |
Edward D. Jones & Co. LP | Jones Financial | investor protection violation | 2016 | PA-BKG | $135,000 |
Vanguard Advisers Inc. | Vanguard Group | investor protection violation | 2017 | PA-BKG | $23,480 |
Raymond James Financial Services Inc. | Raymond James Financial | investor protection violation | 2017 | PA-BKG | $125,000 |
Cadaret Grant & Co. Inc. | Atria Wealth Solutions | investor protection violation | 2019 | PA-BKG | $90,000 |
Janney Montgomery Scott LLC | Penn Mutual | investor protection violation | 2006 | RI-FIN | $10,250 |
Lincoln Financial Advisors Corp. | Lincoln National | investor protection violation | 2007 | RI-FIN | $5,000 |
Morgan Stanley & Co. Inc. | Morgan Stanley | investor protection violation | 2007 | RI-FIN | $250,000 |
Ameriprise Advisor Services Inc. | Ameriprise Financial | investor protection violation | 2009 | RI-FIN | $48,411 |
Morgan Keegan & Co. Inc. | Raymond James Financial | investor protection violation | 2010 | RI-FIN | $20,000 |
MML Investors Services LLC | Massachusetts Mutual Life Insurance | investor protection violation | 2012 | RI-FIN | $250,000 |
Morgan Stanley Smith Barney LLC | Morgan Stanley | investor protection violation | 2018 | RI-FIN | $175,000 |
A.G. Edwards & Sons Inc. | Wells Fargo | investor protection violation | 2007 | SC-SEC | $575,000 |
Morgan Stanley & Co. Inc. | Morgan Stanley | investor protection violation | 2011 | SC-SEC | $30,000 |
LendingClub Corporation | LendingClub Corp. | investor protection violation | 2015 | SC-SEC | $150,000 |
Oppenheimer & Co. Inc. | Oppenheimer Holdings | investor protection violation | 2016 | SC-SEC | $175,000 |
Branch Banking and Trust Company | Truist Financial | investor protection violation | 2016 | SC-SEC | $97,500 |
Ameriprise Financial Services Inc. | Ameriprise Financial | investor protection violation | 2018 | SC-SEC | $650,000 |
LPL Financial LLC | LPL Financial | investor protection violation | 2019 | SC-SEC | $40,000 |
Edward D. Jones & Co. L.P. | Jones Financial | investor protection violation | 2019 | SD-INS | $10,000 |
Wedbush Securities Inc. | Wedbush Securities | investor protection violation | 2016 | TN-SEC | $30,000 |
Solium Financial Services LLC | Morgan Stanley | investor protection violation | 2020 | TN-SEC | $12,994 |
American Express Financial Advisors Inc. | Ameriprise Financial | investor protection violation | 2000 | TX-SEC | $9,000 |
Ameritas Investment Corporation | Ameritas Mutual Holding Company | investor protection violation | 2003 | TX-SEC | $25,000 |
Pruco Securities LLC | Prudential Financial | investor protection violation | 2004 | TX-SEC | $10,000 |
Ameritrade Inc. | Charles Schwab Corp. | investor protection violation | 2007 | TX-SEC | $200,000 |
A.G. Edwards & Sons Inc. | Wells Fargo | investor protection violation | 2008 | TX-SEC | $5,000 |
Morgan Stanley & Co. Inc. | Morgan Stanley | investor protection violation | 2008 | TX-SEC | $400,000 |
LPL Financial Corporation | LPL Financial | investor protection violation | 2008 | TX-SEC | $5,000 |
Securian Financial Services Inc. | Securian Financial | investor protection violation | 2009 | TX-SEC | $50,000 |
UBS Securities LLC | UBS | investor protection violation | 2010 | TX-SEC | $6,640,432 |
Citigroup Global Markets Inc. | Citigroup | investor protection violation | 2010 | TX-SEC | $130,000 |
Lincoln Financial Securities Corporation | Lincoln National | investor protection violation | 2010 | TX-SEC | $40,000 |
BNY Mellon Capital Markets LLC | Bank of New York Mellon | investor protection violation | 2011 | TX-SEC | $500,000 |
TD Ameritrade Inc. | Charles Schwab Corp. | investor protection violation | 2015 | TX-SEC | $400,000 |
LPL Financial LLC | LPL Financial | investor protection violation | 2016 | TX-SEC | $95,000 |
Scottrade Inc. | Charles Schwab Corp. | investor protection violation | 2016 | TX-SEC | $100,000 |
Charles Schwab & Co. Inc. | Charles Schwab Corp. | investor protection violation | 2016 | TX-SEC | $125,000 |
Next Financial Group, Inc. | Atria Wealth Solutions | investor protection violation | 2020 | TX-SEC | $600,000 |
LendingClub Corporation | LendingClub Corp. | investor protection violation | 2020 | TX-SEC | $400,000 |
JEFFERSON PILOT SECURITIES | Lincoln National | investor protection violation | 2003 | VA-SEC | $26,500 |
MERRILL LYNCH PIERCE FENNER & | Bank of America | investor protection violation | 2004 | VA-SEC | $268,723 |
CITIGROUP GLOBAL MARKETS INC | Citigroup | investor protection violation | 2004 | VA-SEC | $72,486 |
SUNAMERICA SECURITIES, INC. | American International Group | investor protection violation | 2006 | VA-SEC | $10,000 |
Merrill Lynch, Pierce, Fenner & Smith, Incorporated | Bank of America | investor protection violation | 2006 | VA-SEC | $75,000 |
Merrill Lynch, Pierce, Fenner & Smith, Incorporated | Bank of America | investor protection violation | 2006 | VA-SEC | $33,000 |
UBS FINANCIAL SERVICES, INC. | UBS | investor protection violation | 2007 | VA-SEC | $100,000 |
AMERIPRISE FINANCIAL SERVICES | Ameriprise Financial | investor protection violation | 2008 | VA-SEC | $780,000 |
CITIGROUP GLOBAL MARKETS | Citigroup | investor protection violation | 2008 | VA-SEC | $22,000 |
UBS FINANCIAL SERVICES, INC. | UBS | investor protection violation | 2010 | VA-SEC | $625,000 |
Citigroup Global Markets Inc. | Citigroup | investor protection violation | 2014 | VA-SEC | $9,500 |
WELLS FARGO ADVISORS | Wells Fargo | investor protection violation | 2015 | VA-SEC | $205,000 |
NEXT FINANCIAL GROUP, INC. | Atria Wealth Solutions | investor protection violation | 2015 | VA-SEC | $18,000 |
AMERIPRISE FINANCIAL SERVICES, INC. | Ameriprise Financial | investor protection violation | 2016 | VA-SEC | $14,000 |
Merrill Lynch, Pierce, Fenner & Smith, Inc. | Bank of America | investor protection violation | 2016 | VA-SEC | $11,500 |
NEXT FINANCIAL GROUP, INC. | Atria Wealth Solutions | investor protection violation | 2017 | VA-SEC | $60,000 |
LINCOLN FINANCIAL SECURITIES | Lincoln National | investor protection violation | 2018 | VA-SEC | $20,000 |
UBS Financial Services Inc. | UBS | investor protection violation | 2019 | VA-SEC | $288,970 |
Solium Financial Services LLC | Morgan Stanley | investor protection violation | 2019 | VA-SEC | $10,000 |
Next Financial Group, Inc. | Atria Wealth Solutions | investor protection violation | 2020 | VA-SEC | $5,000 |
Lincoln Financial Securities Corporation | Lincoln National | investor protection violation | 2010 | VT-FIN | $10,000 |
UBS Financial Services Inc. | UBS | investor protection violation | 2014 | VT-FIN | $325,000 |
Raymond James and Associates Inc. | Raymond James Financial | investor protection violation | 2016 | VT-FIN | $4,200,000 |
Wells Fargo Advisors LLC | Wells Fargo | investor protection violation | 2016 | VT-FIN | $300,000 |
Merrill Lynch, Pierce, Fenner & Smith Incorporated | Bank of America | investor protection violation | 2018 | VT-FIN | $120,000 |
Solium Financial Services LLC | Morgan Stanley | investor protection violation | 2020 | VT-FIN | $6,900 |
Merrill Lynch | Bank of America | investor protection violation | 2020 | VT-FIN | $125,000 |
Solium Financial Services LLC | Morgan Stanley | investor protection violation | 2020 | WA-FIN | $33,753 |
Ameriprise Financial Services, Inc. | Ameriprise Financial | investor protection violation | 2016 | WA-FIN | $55,000 |
OppenheimerFunds Distributor, Inc. | Invesco | investor protection violation | 2007 | WA-FIN | $669,500 |
Morgan Stanley DW Inc. | Morgan Stanley | investor protection violation | 2004 | WA-FIN | $325,000 |
Raymond James Financial Services, Inc. | Raymond James Financial | investor protection violation | 2007 | WI-FIN | $50,000 |
Merrill Lynch Pierce Fenner & Smith Inc. | Bank of America | investor protection violation | 2005 | WI-FIN | $7,000 |
Ameriprise Financial Services Inc. | Ameriprise Financial | investor protection violation | 2009 | MULTI-FIN | $720,000 |
Amerisave Mortgage Corporation | AmeriSave Mortgage | investor protection violation | 2013 | MULTI-FIN | $2,300,000 |
AmSouth Investment Services Inc. | Regions Financial | investor protection violation | 2004 | MULTI-FIN | $225,000 |
Bank of America | Bank of America | investor protection violation | 2008 | MULTI-FIN | (*)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 |
Bankers Life and Casualty Company and BLC Financial Services, Inc. | CNO Financial | investor protection violation | 2012 | MULTI-FIN | $10,641,000 |
Bear, Stearns & Co. Inc. | JPMorgan Chase | investor protection violation | 2003 | MULTI-FIN | (*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $25,000,000 |
Citigroup Global Markets Inc. | Citigroup | investor protection violation | 2010 | MULTI-FIN | (*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $100,000,000 |
Citigroup Global Markets Inc. | Citigroup | investor protection violation | 2003 | MULTI-FIN | (*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $150,000,000 |
Citigroup Global Markets Inc. | Citigroup | investor protection violation | 2015 | MULTI-FIN | $1,965,000 |
Credit Suisse First Boston LLC | UBS | investor protection violation | 2003 | MULTI-FIN | (*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $75,000,000 |
Credit Suisse Securities (USA) LLC | UBS | investor protection violation | 2008 | MULTI-FIN | $15,000,000 |
Deutsche Bank Securities Inc. | Deutsche Bank | investor protection violation | 2008 | MULTI-FIN | (*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $15,000,000 |
Deutsche Bank Securities Inc. | Deutsche Bank | investor protection violation | 2005 | MULTI-FIN | (*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $28,750,000 |
E*TRADE Securities LLC | Morgan Stanley | investor protection violation | 2011 | MULTI-FIN | $5,000,000 |
Goldman Sachs | Goldman Sachs | investor protection violation | 2008 | MULTI-FIN | (*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $22,500,000 |
Goldman Sachs & Co. | Goldman Sachs | investor protection violation | 2003 | MULTI-FIN | (*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $25,000,000 |