Merrill Lynch, Pierce, Fenner & Smith | Bank of America | investor protection violation | 2012 | FINRA | $1,000,000 |
Citigroup Global Markets, Inc. | Citigroup | investor protection violation | 2012 | FINRA | $725,000 |
Credit Suisse Securities (USA) LLC | UBS | investor protection violation | 2011 | FINRA | $1,750,000 |
Barclays Capital Inc. | Barclays | investor protection violation | 2011 | FINRA | $3,000,000 |
Wells Fargo Investments, LLC | Wells Fargo | investor protection violation | 2011 | FINRA | $2,000,000 |
NEXT Financial Group, Inc. | Atria Wealth Solutions | investor protection violation | 2011 | FINRA | $2,050,000 |
Chase Investment Services Corporation | JPMorgan Chase | investor protection violation | 2011 | FINRA | $3,600,000 |
Morgan Stanley & Co. Inc. and Morgan Stanley Smith Barney LLC | Morgan Stanley | investor protection violation | 2011 | FINRA | $1,371,000 |
UBS Securities LLC | UBS | investor protection violation | 2011 | FINRA | $12,000,000 |
Merrill Lynch, Pierce, Fenner & Smith Inc. | Bank of America | investor protection violation | 2011 | FINRA | $1,000,000 |
Raymond James & Associates, Inc. and Raymond James Financial Services, Inc. | Raymond James Financial | investor protection violation | 2011 | FINRA | $2,115,000 |
Citigroup Global Markets, Inc. | Citigroup | investor protection violation | 2011 | FINRA | $500,000 |
SunTrust Robinson Humphrey, Inc. | Truist Financial | investor protection violation | 2011 | FINRA | $5,000,000 |
Northern Trust Securities | Northern Trust | investor protection violation | 2011 | FINRA | $600,000 |
Credit Suisse Securities (USA) LLC | UBS | investor protection violation | 2011 | FINRA | $4,500,000 |
Merrill Lynch | Bank of America | investor protection violation | 2011 | FINRA | $3,000,000 |
Nuveen Investments, LLC | TIAA | investor protection violation | 2011 | FINRA | $3,000,000 |
Wells Fargo Advisors, LLC | Wells Fargo | investor protection violation | 2011 | FINRA | $1,000,000 |
Santander Securities of Puerto Rico | Banco Santander | investor protection violation | 2011 | FINRA | $2,000,000 |
UBS Financial Services, Inc. | UBS | investor protection violation | 2011 | FINRA | $10,750,000 |
Southwest Securities, Inc. | Hilltop Holdings | investor protection violation | 2011 | FINRA | $650,000 |
Southwest Securities, Inc. | Hilltop Holdings | investor protection violation | 2011 | FINRA | $500,000 |
Lincoln Financial Securities, Inc. and Lincoln Financial Advisors Corporation | Lincoln National | investor protection violation | 2011 | FINRA | $600,000 |
Charles Schwab & Company, Inc. | Charles Schwab Corp. | investor protection violation | 2011 | FINRA | $18,000,000 |
Goldman, Sachs & Co. | Goldman Sachs | investor protection violation | 2010 | FINRA | $650,000 |
Ferris, Baker Watts LLC | Royal Bank of Canada | investor protection violation | 2010 | FINRA | $690,000 |
Zions Direct, Inc. | Zions Bancorporation | investor protection violation | 2010 | FINRA | $225,000 |
HSBC Securities (USA) Inc. | HSBC | investor protection violation | 2010 | FINRA | $375,000 |
Merrill Lynch | Bank of America | investor protection violation | 2010 | FINRA | $2,500,000 |
Morgan Stanley & Co., Inc. | Morgan Stanley | investor protection violation | 2010 | FINRA | $800,000 |
SunTrust Investment Services, Inc. | Truist Financial | investor protection violation | 2010 | FINRA | $1,440,000 |
Deutsche Bank Securities Inc. | Deutsche Bank | investor protection violation | 2010 | FINRA | $7,500,000 |
Citigroup Global Markets Inc. | Citigroup | investor protection violation | 2010 | FINRA | $1,500,000 |
Piper Jaffray & Co. | Piper Sandler | investor protection violation | 2010 | FINRA | $700,000 |
Deutsche Bank Securities | Deutsche Bank | investor protection violation | 2010 | FINRA | $575,000 |
RBC Capital Markets Corporation | Royal Bank of Canada | investor protection violation | 2010 | FINRA | $135,000 |
HSBC Securities (USA) | HSBC | investor protection violation | 2010 | FINRA | $1,500,000 |
US Bancorp Investments, Inc. | U.S. Bancorp | investor protection violation | 2010 | FINRA | $275,000 |
Citigroup Global Markets, Inc. | Citigroup | investor protection violation | 2010 | FINRA | $650,000 |
Scottrade, Inc. | Charles Schwab Corp. | investor protection violation | 2010 | FINRA | $200,000 |
H&R Block Financial Advisors, Inc. | H&R Block | investor protection violation | 2010 | FINRA | $200,000 |
MetLife Securities, Inc. | MetLife | investor protection violation | 2009 | FINRA | $1,200,000 |
Citigroup Global Markets Inc. | Citigroup | investor protection violation | 2009 | FINRA | $600,000 |
Citigroup Global Markets | Citigroup | investor protection violation | 2009 | FINRA | $425,000 |
UBS Securities | UBS | investor protection violation | 2009 | FINRA | $268,000 |
Deutsche Bank | Deutsche Bank | investor protection violation | 2009 | FINRA | $152,000 |
Northwestern Mutual Investment Services, LLC | Northwestern Mutual | investor protection violation | 2009 | FINRA | $200,000 |
Fifth Third Securities, Inc. | Fifth Third Bancorp | investor protection violation | 2009 | FINRA | $150,000 |
Credit Suisse Securities (USA), LLC | UBS | investor protection violation | 2009 | FINRA | $275,000 |
Ameritas Investment Corp. | Ameritas Mutual Holding Company | investor protection violation | 2009 | FINRA | $100,000 |
Merrill Lynch, Pierce, Fenner & Smith, Inc. | Bank of America | investor protection violation | 2009 | FINRA | $150,000 |
UBS Financial Services, Inc. | UBS | investor protection violation | 2009 | FINRA | $100,000 |
KeyBanc Capital Markets, Inc. | KeyCorp | investor protection violation | 2009 | FINRA | $425,000 |
Wells Fargo Investments, LLC | Wells Fargo | investor protection violation | 2009 | FINRA | $275,000 |
PNC Investments | PNC Financial Services | investor protection violation | 2009 | FINRA | $250,000 |
Chase Investment Services Corp. | JPMorgan Chase | investor protection violation | 2009 | FINRA | $250,000 |
NEXT Financial Group, Inc. | Atria Wealth Solutions | investor protection violation | 2009 | FINRA | $1,000,000 |
ICAP Corporates LLC | CME Group | investor protection violation | 2009 | FINRA | $2,800,000 |
Wachovia Securities, LLC | Wells Fargo | investor protection violation | 2009 | FINRA | $1,400,000 |
Raymond James & Associates, Inc. | Raymond James Financial | investor protection violation | 2009 | FINRA | $1,000,000 |
RBC Capital Markets Corporation | Royal Bank of Canada | investor protection violation | 2009 | FINRA | $400,000 |
M&T Securities, Inc. | M&T Bank | investor protection violation | 2009 | FINRA | $200,000 |
Janney Montgomery Scott LLC | Penn Mutual | investor protection violation | 2009 | FINRA | $200,000 |
Fifth Third Securities, Inc. | Fifth Third Bancorp | investor protection violation | 2009 | FINRA | $1,750,000 |
Edward D. Jones & Co., L.P. | Jones Financial | investor protection violation | 2009 | FINRA | $900,000 |
Morgan Stanley & Co. | Morgan Stanley | investor protection violation | 2009 | FINRA | $7,200,000 |
Wachovia Securities, LLC and First Clearing, LLC | Wells Fargo | investor protection violation | 2009 | FINRA | $1,100,000 |
New England Securities | MetLife | investor protection violation | 2009 | FINRA | $500,000 |
SunAmerica Securities, Inc. | American International Group | investor protection violation | 2009 | FINRA | $300,000 |
Chase Investment Services Corp. | JPMorgan Chase | investor protection violation | 2009 | FINRA | $32,500 |
ProEquities, Inc. | Dai-ichi Life | investor protection violation | 2009 | FINRA | $25,000 |
Citigroup Global Markets | Citigroup | investor protection violation | 2009 | FINRA | $2,000,000 |
Wachovia Securities | Wells Fargo | investor protection violation | 2009 | FINRA | $4,500,000 |
Citigroup Global Markets, Inc. | Citigroup | investor protection violation | 2008 | FINRA | $300,000 |
BNY Mellon Capital Markets, LLC | Bank of New York Mellon | investor protection violation | 2008 | FINRA | $250,000 |
SunTrust Investment Services, Inc. | Truist Financial | investor protection violation | 2008 | FINRA | $700,000 |
SunTrust Robinson Humphrey, Inc. | Truist Financial | investor protection violation | 2008 | FINRA | $1,650,000 |
Comerica Securities, Inc. | Comerica | investor protection violation | 2008 | FINRA | $750,000 |
SunTrust Investment Services, Inc. | Truist Financial | investor protection violation | 2008 | FINRA | $300,000 |
Prudential Securities | Wells Fargo | investor protection violation | 2008 | FINRA | $1,050,000 |
UBS Financial Services, Inc. | UBS | investor protection violation | 2008 | FINRA | $1,000,000 |
Pruco Securities | Prudential Financial | investor protection violation | 2008 | FINRA | $100,000 |
Merrill Lynch | Bank of America | investor protection violation | 2008 | FINRA | $250,000 |
Oppenheimer & Co. | Oppenheimer Holdings | investor protection violation | 2008 | FINRA | $4,500,000 |
Banc One Securities Corporation | JPMorgan Chase | investor protection violation | 2008 | FINRA | $225,000 |
CIBC World Markets Corp. | Canadian Imperial Bank of Commerce | investor protection violation | 2008 | FINRA | $200,000 |
Merrill Lynch, Pierce, Fenner & Smith, Inc. | Bank of America | investor protection violation | 2008 | FINRA | $200,000 |
Thomas Weisel Partners, LLC | Stifel Financial | investor protection violation | 2008 | FINRA | $200,000 |
UBS Securities, LLC | UBS | investor protection violation | 2008 | FINRA | $200,000 |
Bear, Stearns & Co., Inc. | JPMorgan Chase | investor protection violation | 2008 | FINRA | $150,000 |
BMO Capital Markets Corp. | Bank of Montreal | investor protection violation | 2008 | FINRA | $150,000 |
Cowen and Company, LLC | Toronto-Dominion Bank | investor protection violation | 2008 | FINRA | $150,000 |
Deutsche Bank Securities, Inc., | Deutsche Bank | investor protection violation | 2008 | FINRA | $150,000 |
RBC Capital Markets Corp. | Royal Bank of Canada | investor protection violation | 2008 | FINRA | $150,000 |
Friedman, Billings, Ramsey & Co., Inc. | Arlington Asset Investment Corp. | investor protection violation | 2008 | FINRA | $50,000 |
Piper Jaffray & Co. | Piper Sandler | investor protection violation | 2008 | FINRA | $100,000 |
J.P. Morgan Securities, Inc. | JPMorgan Chase | investor protection violation | 2007 | FINRA | $500,000 |
Wachovia Capital Markets, LLC | Wells Fargo | investor protection violation | 2007 | FINRA | $300,000 |
Oppenheimer & Co. Inc. | Oppenheimer Holdings | investor protection violation | 2007 | FINRA | $1,000,000 |
UBS Financial Services, Inc. | UBS | investor protection violation | 2007 | FINRA | $370,000 |
Morgan Stanley & Co. | Morgan Stanley | investor protection violation | 2007 | FINRA | $12,500,000 |