Wells Fargo Investments, LLC | Wells Fargo | investor protection violation | 2004 | FINRA | $150,000 |
World Group Securities, Inc. | Aegon | investor protection violation | 2004 | FINRA | $150,000 |
Jefferson Pilot Securities Corporation | Lincoln National | investor protection violation | 2004 | FINRA | $125,000 |
SunAmerica Securities, Inc. | American International Group | investor protection violation | 2004 | FINRA | $100,000 |
Citigroup Global Markets, Inc. | Citigroup | investor protection violation | 2004 | FINRA | $250,000 |
Credit Suisse First Boston, L.L.C. | UBS | investor protection violation | 2004 | FINRA | $50,000 |
Deutsche Bank Securities, Inc. | Deutsche Bank | investor protection violation | 2004 | FINRA | $15,000 |
Schwab Capital Markets, L.P. | UBS | investor protection violation | 2004 | FINRA | $70,000 |
Scottrade, Inc. | Charles Schwab Corp. | investor protection violation | 2004 | FINRA | $16,000 |
Spear, Leeds & Kellogg, L.P. | Goldman Sachs | investor protection violation | 2004 | FINRA | $75,000 |
UBS Securities, L.L.C. | UBS | investor protection violation | 2004 | FINRA | $10,000 |
SG Cowen, LLC | Toronto-Dominion Bank | investor protection violation | 2004 | FINRA | $800,000 |
Morgan Stanley DW Inc. | Morgan Stanley | investor protection violation | 2004 | FINRA | $2,200,000 |
Goldman, Sachs & Co. | Goldman Sachs | investor protection violation | 2004 | FINRA | $5,000,000 |
Deutsche Bank Securities, Inc. | Deutsche Bank | investor protection violation | 2004 | FINRA | $5,000,000 |
Citigroup Global Markets Inc. | Citigroup | investor protection violation | 2004 | FINRA | $5,000,000 |
Citigroup Global Markets, Inc. | Citigroup | investor protection violation | 2004 | FINRA | $250,000 |
Merrill Lynch, Pierce, Fenner & Smith Incorporated | Bank of America | investor protection violation | 2004 | FINRA | $250,000 |
Morgan Stanley DW Inc. | Morgan Stanley | investor protection violation | 2004 | FINRA | $250,000 |
Piper Jaffray & Co. | Piper Sandler | investor protection violation | 2004 | FINRA | $2,400,000 |
Charles Schwab & Co, Inc. | Charles Schwab Corp. | investor protection violation | 2004 | FINRA | $60,869 |
Edward Jones | Jones Financial | investor protection violation | 2004 | FINRA | $25,181 |
Merrill Lynch, Pierce, Fenner & Smith Inc. | Bank of America | investor protection violation | 2004 | FINRA | $109,527 |
Morgan Stanley DW Inc. | Morgan Stanley | investor protection violation | 2004 | FINRA | $38,312 |
Prudential Equity Group, LLC | Prudential Financial | investor protection violation | 2004 | FINRA | $17,306 |
UBS Financial Services Inc. | UBS | investor protection violation | 2004 | FINRA | $200,666 |
Wachovia Securities, LLC. | Wells Fargo | investor protection violation | 2004 | FINRA | $39,486 |
TD Waterhouse Investor Services, Inc. | Toronto-Dominion Bank | investor protection violation | 2004 | FINRA | $150,000 |
Stifel Nicolaus & Company | Stifel Financial | investor protection violation | 2004 | FINRA | $125,000 |
American Express Financial Advisors, Inc. | Ameriprise Financial | investor protection violation | 2004 | FINRA | $300,000 |
Bear, Stearns & Co. Inc. | JPMorgan Chase | investor protection violation | 2004 | FINRA | $4,950,000 |
Deutsche Bank Securities, Inc. | Deutsche Bank | investor protection violation | 2004 | FINRA | $5,290,000 |
Morgan Stanley & Co. Inc. | Morgan Stanley | investor protection violation | 2004 | FINRA | $5,390,000 |
Ameritrade, Inc. | Charles Schwab Corp. | investor protection violation | 2004 | FINRA | $10,000,000 |
AXA Advisors, LLC | Equitable Holdings | investor protection violation | 2004 | FINRA | $250,000 |
State Street Research Investment Services, Inc. | BlackRock | investor protection violation | 2004 | FINRA | $1,500,000 |
Bear, Stearns & Co. Inc. | JPMorgan Chase | investor protection violation | 2004 | FINRA | $280,469 |
Southwest Securities, Inc. | Hilltop Holdings | investor protection violation | 2004 | FINRA | $36,971 |
Credit Suisse First Boston LLC | UBS | investor protection violation | 2004 | FINRA | $770,000 |
Prudential Equity Group, Inc. and Prudential Investment Management Services LLC | Prudential Financial | investor protection violation | 2004 | FINRA | $11,500,000 |
Morgan Stanley DW Inc. | Morgan Stanley | investor protection violation | 2003 | FINRA | (*)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 |
Morgan Stanley DW Inc. | Morgan Stanley | investor protection violation | 2003 | FINRA | $2,000,000 |
J.P. Morgan Securities, Inc. | JPMorgan Chase | investor protection violation | 2003 | FINRA | $6,000,000 |
American Express Financial Advisors Inc. | Ameriprise Financial | investor protection violation | 2002 | FINRA | $350,000 |
Deutsche Bank Securities Inc. | Deutsche Bank | investor protection violation | 2002 | FINRA | (*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $1,650,000 |
Goldman, Sachs & Co. | Goldman Sachs | investor protection violation | 2002 | FINRA | (*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $1,650,000 |
Morgan Stanley & Co. Incorporated | Morgan Stanley | investor protection violation | 2002 | FINRA | (*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $1,650,000 |
Salomon Smith Barney Inc. | Morgan Stanley | investor protection violation | 2002 | FINRA | (*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $1,650,000 |
U.S. Bancorp Piper Jaffray Inc. | Piper Sandler | investor protection violation | 2002 | FINRA | (*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $1,650,000 |
Salomon Smith Barney | Morgan Stanley | investor protection violation | 2002 | FINRA | $5,000,000 |
U.S. Bancorp Piper Jaffray | Piper Sandler | investor protection violation | 2002 | FINRA | $250,000 |
Interactive Brokers, L.L.C. | Interactive Brokers Group | investor protection violation | 2002 | FINRA | $230,000 |
Credit Suisse First Boston Corporation | UBS | investor protection violation | 2002 | FINRA | (*)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 |
Knight Securities L.P. | Virtu Financial | investor protection violation | 2002 | FINRA | $1,500,000 |
CUNA Brokerage Services, Inc. | CUNA Mutual | investor protection violation | 2001 | FINRA | $100,000 |
Prudential Securities Incorporated | Wells Fargo | investor protection violation | 2001 | FINRA | $20,000 |
J.P. Morgan Securities, Inc. | JPMorgan Chase | investor protection violation | 2001 | FINRA | $10,000 |
Schwab Capital Markets | UBS | investor protection violation | 2001 | FINRA | $12,000 |
Spear, Leeds & Kellogg | Goldman Sachs | investor protection violation | 2001 | FINRA | $10,000 |
E-Trade Securities | Morgan Stanley | investor protection violation | 2001 | FINRA | $90,000 |
Banc of America Securities LLC | Bank of America | investor protection violation | 2001 | FINRA | $40,000 |
Credit Suisse First Boston Corporation | UBS | investor protection violation | 2001 | FINRA | $25,000 |
Merrill Lynch, Pierce, Fenner & Smith, Inc. | Bank of America | investor protection violation | 2001 | FINRA | $15,000 |
Chase Securities, Inc. | JPMorgan Chase | investor protection violation | 2001 | FINRA | $10,000 |
Josephthal & Co., Inc. | Oppenheimer Holdings | investor protection violation | 2001 | FINRA | $2,300,000 |
Stifel, Nicolaus & Company, Inc. | Stifel Financial | investor protection violation | 2001 | FINRA | $225,000 |
Prudential Securities, Inc. | Wells Fargo | investor protection violation | 2001 | FINRA | $10,000 |
First Union Brokerage Services, Inc. | Wells Fargo | investor protection violation | 2001 | FINRA | $32,500 |
Morgan Stanley & Co. Inc. | Morgan Stanley | investor protection violation | 2000 | FINRA | $200,000 |
Merrill Lynch, Pierce, Fenner & Smith, Inc. | Bank of America | investor protection violation | 2000 | FINRA | $97,000 |
E-TRADE Securities, Inc. | Morgan Stanley | investor protection violation | 2000 | FINRA | $20,000 |
John Nuveen & Co., Inc. | TIAA | investor protection violation | 2000 | FINRA | $6,630,000 |
First Union Securities, Inc. | Wells Fargo | investor protection violation | 2000 | FINRA | $350,000 |
J. P. Morgan Securities Inc. | JPMorgan Chase | investor protection violation | 2000 | FINRA | $200,000 |
Kemper Distributors, Inc. | Kemper | investor protection violation | 2000 | FINRA | $100,000 |
E-TRADE Securities, Inc. | Morgan Stanley | investor protection violation | 2000 | FINRA | $20,000 |
A.G. Edwards & Sons, Inc. | Wells Fargo | investor protection violation | 2000 | FINRA | $5,890,000 |
Raymond James & Associates Inc. | Raymond James Financial | investor protection violation | 2000 | FINRA | $3,410,000 |
CS First Boston Corp. | UBS | investor protection violation | 2000 | FINRA | $1,240,000 |
Piper Jaffray Inc. | Piper Sandler | investor protection violation | 2000 | FINRA | $933,000 |
Southwest Securities Inc. | Hilltop Holdings | investor protection violation | 2000 | FINRA | $500,000 |
Prudential Securities, Inc. | Wells Fargo | investor protection violation | 2000 | FINRA | $100,000 |
Morgan Stanley & Co., Inc. | Morgan Stanley | investor protection violation | 2000 | FINRA | $495,000 |
Janney Montgomery Scott, LLC | Penn Mutual | investor protection violation | 2020 | CT-SEC | $250,000 |
Schupp & Grochmal, LLC | Schupp & Grochmal | investor protection violation | 2020 | CT-SEC | $7,500 |
Ameritas Investment Corp. | Ameritas Mutual Holding Company | investor protection violation | 2021 | SD-SEC | $20,000 |
Coinbase Inc. | Coinbase Global Inc. | investor protection violation | 2021 | CFTC | $6,500,000 |
Credit Suisse | UBS | investor protection violation | 2021 | CFTC | $1,500,000 |
Robinhood Financial LLC | Robinhood Markets | investor protection violation | 2021 | FINRA | $69,600,000 |
Merrill Lynch, Pierce, Fenner & Smith, Inc. | Bank of America | investor protection violation | 2021 | FINRA | $11,650,000 |
MML Investors Services, LLC | Massachusetts Mutual Life Insurance | investor protection violation | 2021 | MA-SEC | $4,000,000 |
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 |
Hilltop Securities Inc. | Hilltop Holdings | investor protection violation | 2021 | SEC | $340,193 |
CUNA Brokerage Services, Inc. | CUNA Mutual | investor protection violation | 2021 | AR-SEC | $50,000 |
UBS AG | UBS | investor protection violation | 2021 | CFTC | $500,000 |
Societe Generale S.A. | Societe Generale | investor protection violation | 2021 | CFTC | $1,500,000 |
Interactive Brokers LLC | Interactive Brokers Group | investor protection violation | 2021 | CFTC | $84,320,000 |
Mizuho Capital Markets LLC | Mizuho Financial | investor protection violation | 2021 | CFTC | $1,500,000 |