Mizuho Capital Markets LLC | Mizuho Financial | investor protection violation | 2021 | CFTC | $1,500,000 |
Citibank, N.A. | Citigroup | investor protection violation | 2021 | CFTC | $1,000,000 |
Wedbush Securities Inc. | Wedbush Securities | investor protection violation | 2021 | SEC | $1,207,000 |
WEX Inc. | WEX Inc. | investor protection violation | 2021 | SEC | $350,000 |
LPL Financial LLC | LPL Financial | investor protection violation | 2021 | SEC | $891,202 |
RBC Capital Markets, LLC | Royal Bank of Canada | investor protection violation | 2021 | VA-SEC | $10,000 |
JPMorgan Chase Bank, N.A. | JPMorgan Chase | investor protection violation | 2021 | CFTC | $75,000,000 |
J.P. Morgan Securities LLC | JPMorgan Chase | investor protection violation | 2021 | SEC | $125,000,000 |
LPL Financial LLC | LPL Financial | investor protection violation | 2021 | CT-SEC | $500,000 |
Credit Suisse Securities | UBS | investor protection violation | 2022 | FINRA | $9,000,000 |
Interactive Brokers LLC | Interactive Brokers Group | investor protection violation | 2022 | OK-SEC | $15,000 |
Ameritas Advisory Services, LLC | Ameritas Mutual Holding Company | investor protection violation | 2022 | SEC | $4,628,194 |
Ameritas Investment Co. | Ameritas Mutual Holding Company | investor protection violation | 2022 | NV-SEC | $15,000 |
Robinhood Financial LLC | Robinhood Markets | investor protection violation | 2022 | VT-FIN | $640,000 |
Merrill Lynch, Pierce, Fenner & Smith, Inc. | Bank of America | investor protection violation | 2022 | FINRA | $15,200,000 |
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 |
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 |
Allianz Global Investors U.S. LLC | Allianz | investor protection violation | 2022 | USAO | $5,763,000,000 |
Interactive Brokers LLC | Interactive Brokers Group | investor protection violation | 2022 | CFTC | $1,010,828 |
UBS Financial Services Inc. | UBS | investor protection violation | 2022 | SEC | $25,000,000 |
JPMorgan Chase Bank, N.A. | JPMorgan Chase | investor protection violation | 2022 | CFTC | $850,000 |
BNP Paribas | BNP Paribas | investor protection violation | 2022 | CFTC | $6,000,000 |
MML Investors Services, LLC | Massachusetts Mutual Life Insurance | investor protection violation | 2022 | MA-SEC | $262,092 |
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 |
Bank of America | Bank of America | investor protection violation | 2022 | CFTC | $100,000,000 |
Barclays Bank PLC | Barclays | investor protection violation | 2022 | CFTC | $75,000,000 |
Cantor Fitzgerald | Cantor Fitzgerald | investor protection violation | 2022 | CFTC | $6,000,000 |
Citibank N.A. | Citigroup | investor protection violation | 2022 | CFTC | $75,000,000 |
Credit Suisse | UBS | investor protection violation | 2022 | CFTC | $75,000,000 |
Deutsche Bank | Deutsche Bank | investor protection violation | 2022 | CFTC | $75,000,000 |
Goldman Sachs | Goldman Sachs | investor protection violation | 2022 | CFTC | $75,000,000 |
Morgan Stanley | Morgan Stanley | investor protection violation | 2022 | CFTC | $75,000,000 |
Nomura Securities | Nomura | investor protection violation | 2022 | CFTC | $50,000,000 |
UBS AG | UBS | investor protection violation | 2022 | CFTC | $75,000,000 |
UBS Securities LLC | UBS | investor protection violation | 2022 | FINRA | $2,500,000 |
BofA Securities, Inc. | Bank of America | investor protection violation | 2022 | FINRA | $5,000,000 |
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 |
Credit Suisse Securities (USA) LLC et al. | UBS | investor protection violation | 2022 | NJ-AG | $495,000,000 |
Raymond James & Associates, Inc. | Raymond James Financial | investor protection violation | 2022 | SC-SEC | $50,000 |
LPL Financial LLC | LPL Financial | investor protection violation | 2022 | TX-SEC | $125,000 |
Goldman Sachs Asset Management, L.P. | Goldman Sachs | investor protection violation | 2022 | SEC | $4,000,000 |
PNC Capital Markets LLC | PNC Financial Services | investor protection violation | 2022 | SEC | $198,323 |
Janney Montgomery Scott LLC | Penn Mutual | investor protection violation | 2022 | DE-SEC | $72,255 |
LPL Financial LLC | LPL Financial | investor protection violation | 2022 | NH-BSR | $10,307 |
Edward D. Jones & Co., L.P. | Jones Financial | investor protection violation | 2022 | WA-SEC | $175,000 |
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 |
Robinhood Financial LLC | Robinhood Markets | investor protection violation | 2023 | MULTI-FIN | $10,200,000 |
Mizuho Capital Markets LLC | Mizuho Financial | investor protection violation | 2023 | CFTC | $6,847,182 |
Goldman Sachs | Goldman Sachs | investor protection violation | 2023 | CFTC | $15,000,000 |
HSBC Bank USA, N.A. | HSBC | investor protection violation | 2023 | CFTC | $45,000,000 |
HSBC Bank PLC | HSBC | investor protection violation | 2023 | CFTC | $30,000,000 |
Bank of Nova Scotia | Scotiabank | investor protection violation | 2023 | CFTC | $15,000,000 |
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 |
Deutsche Bank | Deutsche Bank | investor protection violation | 2012 | private lawsuit-federal | $32,500,000 |
STIFEL, NICOLAUS & COMPANY, INC. | Stifel Financial | investor protection violation | 2023 | MA-SEC | $2,500,000 |
RBC Capital Markets, LLC | Royal Bank of Canada | investor protection violation | 2023 | VA-SEC | $11,000 |
Coinbase, Inc. | Coinbase Global Inc. | investor protection violation | 2023 | NJ-AG | $5,000,000 |
Fifth Third Securities, Inc. | Fifth Third Bancorp | investor protection violation | 2023 | SEC | $709,971 |
Cantor Fitzgerald & Co. | Cantor Fitzgerald | investor protection violation | 2023 | SEC | $1,400,000 |
J.P. Morgan Securities LLC | JPMorgan Chase | investor protection violation | 2023 | SEC | $4,000,000 |
Wedbush Securities Inc. | Wedbush Securities | investor protection violation | 2023 | CFTC | $6,000,000 |
BNP Paribas | BNP Paribas | investor protection violation | 2023 | CFTC | $75,000,000 |
Societe Generale | Societe Generale | investor protection violation | 2023 | CFTC | $75,000,000 |
Wells Fargo | Wells Fargo | investor protection violation | 2023 | CFTC | $75,000,000 |
Bank of Montreal | Bank of Montreal | investor protection violation | 2023 | CFTC | $35,000,000 |
Wells Fargo Securities, LLC et al. | Wells Fargo | investor protection violation | 2023 | SEC | $125,000,000 |
BNP Paribas Securities Corp. | BNP Paribas | investor protection violation | 2023 | SEC | $35,000,000 |
SG Americas Securities, LLC | Societe Generale | investor protection violation | 2023 | SEC | $35,000,000 |
BMO Capital Markets Corp | Bank of Montreal | investor protection violation | 2023 | SEC | $25,000,000 |
Mizuho Securities USA LLC | Mizuho Financial | investor protection violation | 2023 | SEC | $25,000,000 |
Wedbush Securities Inc. | Wedbush Securities | investor protection violation | 2023 | SEC | $10,000,000 |
Goldman Sachs & Co. | Goldman Sachs | investor protection violation | 2023 | CFTC | $5,500,000 |
Raymond James & Associates, Inc. | Raymond James Financial | investor protection violation | 2023 | MO-SEC | $150,000 |
Raymond James & Associates, Inc. et al. | Raymond James Financial | investor protection violation | 2023 | MULTI-FIN | $12,450,000 |
LPL Financial, LLC | LPL Financial | investor protection violation | 2023 | PA-BKG | $190,000 |
Citigroup Global Markets Inc. | Citigroup | investor protection violation | 2023 | SEC | $2,900,000 |
Wells Fargo Clearing Services LLC | Wells Fargo | investor protection violation | 2023 | SEC | $35,000,000 |
Goldman Sachs & Co. LLC | Goldman Sachs | investor protection violation | 2023 | CFTC | $30,000,000 |