Raymond James & Associates, Inc. | Raymond James Financial | investor protection violation | 2011 | MULTI-FIN | $1,750,000 |
RBC Capital Markets Corporation | Royal Bank of Canada | 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. $9,800,000 |
RBC Capital Markets, LLC | Royal Bank of Canada | investor protection violation | 2014 | MULTI-FIN | $2,800,000 |
Stifel, Nicolaus & Company, Incorporated | Stifel Financial | investor protection violation | 2009 | MULTI-FIN | $525,000 |
Thomas Weisel Partners LLC | Stifel Financial | 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. $5,000,000 |
U.S. Bancorp Piper Jaffray Inc. | Piper Sandler | 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. $12,500,000 |
UBS Financial Services Inc. | UBS | investor protection violation | 2013 | MULTI-FIN | $4,600,000 |
UBS Securities LLC and UBS Financial Services Inc. | UBS | 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. $150,000,000 |
UBS Warburg and UBS PaineWebber | 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. $25,000,000 |
UVEST Financial Services Group, Inc. | LPL Financial | investor protection violation | 2013 | MULTI-FIN | $750,000 |
Wachovia Capital Markets LLC | Wells Fargo | investor protection violation | 2007 | MULTI-FIN | $24,650,000 |
Wachovia Securities LLC | Wells Fargo | 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 |
Waddell & Reed, Inc. | Macquarie | investor protection violation | 2005 | MULTI-FIN | $18,000,000 |
Wells Fargo Investments, LLC | Wells Fargo | investor protection violation | 2009 | MULTI-FIN | $1,900,000 |
The Bank of Nova Scotia | Scotiabank | investor protection violation | 2020 | CFTC | $50,000,000 |
The Bank of Nova Scotia | Scotiabank | investor protection violation | 2020 | CFTC | $77,400,000 |
Deutsche Bank AG | Deutsche Bank | investor protection violation | 2020 | CFTC | $9,000,000 |
Deutsche Bank Securities Inc. | Deutsche Bank | investor protection violation | 2020 | CFTC | $1,250,000 |
Merrill Lynch, Pierce, Fenner & Smith Inc. | Bank of America | investor protection violation | 2020 | CT-SEC | $400,000 |
Solium Financial Services LLC | Morgan Stanley | investor protection violation | 2020 | FL-OFR | $79,045 |
Wells Fargo & Co. | Wells Fargo | investor protection violation | 2020 | MD-AG | $20,000,000 |
Solium Financial Services LLC | Morgan Stanley | investor protection violation | 2020 | PA-BKG | $52,372 |
Solium Financial Services LLC | Morgan Stanley | investor protection violation | 2020 | SD-SEC | $5,750 |
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 |
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 |
Solium Financial Services LLC | Morgan Stanley | investor protection violation | 2020 | TX-SEC | $46,073 |
Morgan Stanley Capital Services LLC | Morgan Stanley | investor protection violation | 2020 | CFTC | $5,000,000 |
Gain Capital Group, LLC | StoneX Group | investor protection violation | 2020 | CFTC | $300,000 |
JPMorgan Chase & Company | JPMorgan Chase | investor protection violation | 2020 | CFTC | $920,200,000 |
Citibank N.A. | Citigroup | investor protection violation | 2020 | CFTC | $4,500,000 |
Solium Financial Services LLC | Morgan Stanley | investor protection violation | 2020 | CO-SEC | $69,338 |
Janney Montgomery Scott, LLC | Penn Mutual | investor protection violation | 2020 | CT-BKG | $150,000 |
Schupp & Grochmal, LLC | Schupp & Grochmal | investor protection violation | 2020 | CT-BKG | $10,510 |
Solium Financial Services LLC | Morgan Stanley | investor protection violation | 2020 | IL-SEC | $11,385 |
Thrivent Investment Management Inc. | Thrivent Financial | investor protection violation | 2020 | IL-SEC | $400,000 |
Solium Financial Services LLC | Morgan Stanley | investor protection violation | 2020 | KY-FIN | $5,465 |
Solium Financial Services LLC | Morgan Stanley | investor protection violation | 2020 | MS-SEC | $6,000 |
Solium Financial Services LLC | Morgan Stanley | investor protection violation | 2020 | MT-FIN | $14,700 |
LPL Financial LLC | LPL Financial | investor protection violation | 2020 | NH-BSR | $976,000 |
Solium Financial Services LLC | Morgan Stanley | investor protection violation | 2020 | NM-SEC | $6,500 |
Goldman Sachs Group | Goldman Sachs | investor protection violation | 2020 | NY-DFS | $150,000,000 |
Ameritas Investment Company LLC | Ameritas Mutual Holding Company | investor protection violation | 2020 | PA-BKG | $100,000 |
Solium Financial Services LLC | Morgan Stanley | investor protection violation | 2020 | RI-FIN | $6,500 |
Solium Financial Services LLC | Morgan Stanley | investor protection violation | 2020 | SC-SEC | $28,007 |
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 |
Solium Financial Services | Morgan Stanley | investor protection violation | 2021 | DC-DISB | $9,879 |
E*Trade Securities LLC | Morgan Stanley | investor protection violation | 2021 | NH-BSR | $5,000 |
Merrill Lynch, Pierce, Fenner & Smith Inc. | Bank of America | investor protection violation | 2020 | NH-BSR | $26,250,000 |
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 |
Transamerica Financial Advisors, Inc. | Aegon | investor protection violation | 2020 | FINRA | $8,800,000 |
Wells Fargo Clearing Services, LLC and Wells Fargo Advisors Financial Network, LLC | Wells Fargo | investor protection violation | 2020 | FINRA | $2,075,000 |
SG Americas Securities, LLC | Societe Generale | investor protection violation | 2020 | FINRA | $1,550,000 |
Merrill Lynch, Pierce, Fenner & Smith Inc. | Bank of America | investor protection violation | 2020 | FINRA | $7,200,000 |
Stifel, Nicolaus & Company, Incorporated | Stifel Financial | investor protection violation | 2020 | FINRA | $3,650,000 |
Oppenheimer & Co. Inc. | Oppenheimer Holdings | investor protection violation | 2019 | FINRA | $4,600,000 |
Citigroup Global Markets Inc. | Citigroup | investor protection violation | 2019 | FINRA | $280,000 |
J.P. Morgan Securities LLC | JPMorgan Chase | investor protection violation | 2019 | FINRA | $280,000 |
LPL Financial LLC | LPL Financial | investor protection violation | 2019 | FINRA | $280,000 |
Morgan Stanley Smith Barney LLC | Morgan Stanley | investor protection violation | 2019 | FINRA | $280,000 |
Merrill Lynch, Pierce, Fenner & Smith Incorporated | Bank of America | investor protection violation | 2019 | FINRA | $280,000 |
Credit Suisse Securities (USA) LLC | UBS | investor protection violation | 2019 | FINRA | $6,500,000 |
Robinhood Financial, LLC | Robinhood Markets | investor protection violation | 2019 | FINRA | $1,250,000 |
Merrill Lynch, Pierce, Fenner & Smith Incorporated | Bank of America | investor protection violation | 2019 | FINRA | $4,000,000 |
Raymond James & Associates, Inc. and Raymond James Financial Services, Inc. | Raymond James Financial | investor protection violation | 2019 | FINRA | $8,000,000 |
UBS Financial Services Inc. | UBS | investor protection violation | 2019 | FINRA | $2,000,000 |
J.P. Morgan Securities LLC | JPMorgan Chase | investor protection violation | 2019 | FINRA | $1,100,000 |
Citigroup Global Markets Inc. | Citigroup | investor protection violation | 2019 | FINRA | $1,250,000 |
AXA Advisors, LLC | Equitable Holdings | investor protection violation | 2019 | FINRA | $772,000 |
Cantor Fitzgerald & Co. | Cantor Fitzgerald | investor protection violation | 2019 | FINRA | $2,000,000 |
LPL Financial, LLC | LPL Financial | investor protection violation | 2018 | FINRA | $2,750,000 |
Interactive Brokers LLC | Interactive Brokers Group | investor protection violation | 2018 | FINRA | $5,500,000 |
E-Trade Securities, LLC | Morgan Stanley | investor protection violation | 2008 | FINRA | $500,000 |
CIBC World Markets Corp. | Canadian Imperial Bank of Commerce | investor protection violation | 2008 | FINRA | $350,000 |
Fifth Third Securities, Inc. | Fifth Third Bancorp | investor protection violation | 2018 | FINRA | $6,000,000 |
Wedbush Securities Inc. | Wedbush Securities | investor protection violation | 2018 | FINRA | $1,500,000 |
Citigroup Global Markets Inc. | Citigroup | investor protection violation | 2017 | FINRA | $11,500,000 |
J.P. Morgan Securities | JPMorgan Chase | investor protection violation | 2017 | FINRA | $2,800,000 |
Raymond James Financial Services, Inc. | Raymond James Financial | investor protection violation | 2017 | FINRA | $2,000,000 |
Merrill Lynch, Pierce, Fenner & Smith Incorporated | Bank of America | investor protection violation | 2017 | FINRA | $1,400,000 |
J.P. Morgan Securities, LLC | JPMorgan Chase | investor protection violation | 2017 | FINRA | $1,250,000 |
Wells Fargo Clearing Services, LLC and Wells Fargo Advisors Financial Network, LLC | Wells Fargo | investor protection violation | 2017 | FINRA | $3,400,000 |
Morgan Stanley Smith Barney LLC | Morgan Stanley | investor protection violation | 2017 | FINRA | $13,030,000 |
Deutsche Bank Securities Inc. | Deutsche Bank | investor protection violation | 2017 | FINRA | $2,500,000 |
Citigroup Global Markets Inc. | Citigroup | investor protection violation | 2017 | FINRA | $1,000,000 |
J.P. Morgan Securities LLC | JPMorgan Chase | investor protection violation | 2017 | FINRA | $800,000 |
Interactive Brokers LLC | Interactive Brokers Group | investor protection violation | 2017 | FINRA | $450,000 |
Wells Fargo Securities, LLC and Wells Fargo Prime Services, LLC | Wells Fargo | investor protection violation | 2016 | FINRA | $4,000,000 |
RBC Capital Markets LLC and RBC Capital Markets Arbitrage S.A. | Royal Bank of Canada | investor protection violation | 2016 | FINRA | $3,500,000 |