Banc of America Securities LLC | Bank of America | investor protection violation | 2004 | SEC | $10,000,000 |
American Express Financial Advisors Inc. | Ameriprise Financial | investor protection violation | 2004 | SEC | $3,706,693 |
Legg Mason Wood Walker, Inc. | Franklin Resources | investor protection violation | 2004 | SEC | $2,315,467 |
Raymond James Financial Services, Inc. | Raymond James Financial | investor protection violation | 2004 | SEC | $2,595,129 |
UBS Financial Services Inc. | UBS | investor protection violation | 2004 | SEC | $4,621,768 |
Wachovia Securities, LLC | Wells Fargo | investor protection violation | 2004 | SEC | $4,844,465 |
Massachusetts Financial Services Co. | Sun Life Financial | investor protection violation | 2004 | SEC | $225,000,000 |
Canadian Imperial Bank of Commerce | Canadian Imperial Bank of Commerce | accounting fraud or deficiencies | 2003 | SEC | $80,000,000 |
Alliance Capital Management L.P. | Equitable Holdings | investor protection violation | 2003 | SEC | $250,000,000 |
Morgan Stanley DW Inc. | Morgan Stanley | investor protection violation | 2003 | SEC | $50,000,000 |
J.P. Morgan Securities Inc. | JPMorgan Chase | investor protection violation | 2003 | SEC | $25,000,000 |
American International Group, Inc. | American International Group | accounting fraud or deficiencies | 2003 | SEC | $10,000,000 |
Goldman Sachs | Goldman Sachs | investor protection violation | 2003 | SEC | $9,305,382 |
Massachusetts Financial Services Company | Sun Life Financial | investor protection violation | 2003 | SEC | $917,858 |
UBS PaineWebber, Inc. | UBS | investor protection violation | 2003 | SEC | $500,000 |
Deutsche Asset Management, Inc. | Deutsche Bank | investor protection violation | 2003 | SEC | $750,000 |
SG Cowen Securities Corporation | Toronto-Dominion Bank | investor protection violation | 2003 | SEC | $5,000,000 |
Citigroup, Inc. | Citigroup | accounting fraud or deficiencies | 2003 | SEC | $101,000,000 |
Citigroup, Inc. | Citigroup | accounting fraud or deficiencies | 2003 | SEC | $19,000,000 |
J.P. Morgan Chase & Co. | JPMorgan Chase | accounting fraud or deficiencies | 2003 | SEC | $135,000,000 |
Prudential Securities, Inc. | Wells Fargo | investor protection violation | 2003 | SEC | $382,000 |
Bear, Stearns & Co. Inc. | JPMorgan Chase | investor protection violation | 2003 | SEC | $80,000,000 |
Citigroup Global Markets Inc. f/k/a Salomon Smith Barney Inc. | Citigroup | investor protection violation | 2003 | SEC | $400,000,000 |
Credit Suisse First Boston LLC | UBS | investor protection violation | 2003 | SEC | $200,000,000 |
Goldman, Sachs & Co. | Goldman Sachs | investor protection violation | 2003 | SEC | $110,000,000 |
J.P. Morgan Securities Inc. | JPMorgan Chase | investor protection violation | 2003 | SEC | $80,000,000 |
Merrill Lynch, Pierce, Fenner & Smith, Incorporated | Bank of America | investor protection violation | 2003 | SEC | $200,000,000 |
Morgan Stanley & Co. Incorporated | Morgan Stanley | investor protection violation | 2003 | SEC | $125,000,000 |
U.S. Bancorp Piper Jaffray Inc. | Piper Sandler | investor protection violation | 2003 | SEC | $32,500,000 |
UBS Warburg LLC | UBS | investor protection violation | 2003 | SEC | $80,000,000 |
Merrill Lynch & Co. Inc. | Bank of America | accounting fraud or deficiencies | 2003 | SEC | $80,000,000 |
Deutsche Bank Securities Inc. | Deutsche Bank | data submission deficiencies | 2002 | SEC | $1,650,000 |
Goldman, Sachs & Co. | Goldman Sachs | data submission deficiencies | 2002 | SEC | $1,650,000 |
Morgan Stanley & Co. Incorporated | Morgan Stanley | data submission deficiencies | 2002 | SEC | $1,650,000 |
Salomon Smith Barney Inc. | Morgan Stanley | data submission deficiencies | 2002 | SEC | $1,650,000 |
U.S. Bancorp Piper Jaffray Inc. | Piper Sandler | data submission deficiencies | 2002 | SEC | $1,650,000 |
Credit Suisse First Boston Corporation | UBS | investor protection violation | 2002 | SEC | $100,000,000 |
Dain Rauscher Incorporated | Royal Bank of Canada | investor protection violation | 2000 | SEC | $12,941,191 |
Goldman, Sachs & Co. | Goldman Sachs | investor protection violation | 2000 | SEC | $5,200,000 |
Merrill Lynch, Pierce, Fenner & Smith Incorporated | Bank of America | investor protection violation | 2000 | SEC | $5,000,000 |
Morgan Stanley & Co. Incorporated | Morgan Stanley | investor protection violation | 2000 | SEC | $2,500,000 |
PaineWebber Incorporated | UBS | investor protection violation | 2000 | SEC | $26,200,000 |
Prudential Securities Incorporated | Wells Fargo | investor protection violation | 2000 | SEC | $5,880,000 |
Salomon Smith Barney Inc. | Morgan Stanley | investor protection violation | 2000 | SEC | $45,000,000 |
Warburg Dillon Read LLC | UBS | investor protection violation | 2000 | SEC | $6,680,000 |
RBC Capital Markets LLC | Royal Bank of Canada | investor protection violation | 2016 | SEC | $2,500,000 |
Raymond James & Associates | Raymond James Financial | investor protection violation | 2016 | SEC | $600,000 |
BOK Financial Corporation | BOK Financial | investor protection violation | 2016 | SEC | $1,667,720 |
Park National Corporation | Park National Corp. | accounting fraud or deficiencies | 2016 | SEC | $500,000 |
Merrill Lynch | Bank of America | investor protection violation | 2016 | SEC | $12,500,000 |
UBS Financial Services | UBS | investor protection violation | 2016 | SEC | $15,025,882 |
Och-Ziff Capital Management Group | Sculptor Capital Management | Foreign Corrupt Practices Act | 2016 | SEC | $199,045,167 |
Credit Suisse AG | UBS | accounting fraud or deficiencies | 2016 | SEC | $90,000,000 |
Deutsche Bank Securities | Deutsche Bank | investor protection violation | 2016 | SEC | $9,500,000 |
Bank Leumi | Bank Leumi | investor protection violation | 2016 | SEC | $1,600,000 |
JPMorgan Chase & Co. | JPMorgan Chase | Foreign Corrupt Practices Act | 2016 | SEC | $130,000,000 |
Stifel, Nicolaus & Co., Inc. | Stifel Financial | investor protection violation | 2016 | SEC | $24,500,000 |
Deutsche Bank | Deutsche Bank | investor protection violation | 2016 | SEC | $18,500,000 |
Morgan Stanley & Co. LLC | Morgan Stanley | investor protection violation | 2016 | SEC | $7,500,000 |
Morgan Stanley Smith Barney | Morgan Stanley | investor protection violation | 2017 | SEC | $13,000,000 |
BNY Mellon | Bank of New York Mellon | investor protection violation | 2017 | SEC | $6,600,000 |
HomeStreet Inc | HomeStreet Inc. | accounting fraud or deficiencies | 2017 | SEC | $500,000 |
Citigroup Global Markets | Citigroup | investor protection violation | 2017 | SEC | $2,963,735 |
Morgan Stanley Smith Barney | Morgan Stanley | investor protection violation | 2017 | SEC | $2,963,735 |
Citigroup Global Markets | Citigroup | investor protection violation | 2017 | SEC | $18,300,000 |
Morgan Stanley Smith Barney | Morgan Stanley | investor protection violation | 2017 | SEC | $8,000,000 |
Barclays Capital | Barclays | investor protection violation | 2017 | SEC | $97,037,659 |
State Street Bank and Trust Company | State Street Corp. | investor protection violation | 2017 | SEC | $35,300,000 |
Banca IMI Securities Corp. | Intesa Sanpaolo | investor protection violation | 2017 | SEC | $35,300,000 |
SunTrust Banks | Truist Financial | investor protection violation | 2017 | SEC | $1,100,000 |
BlackRock Inc. | BlackRock | investor protection violation | 2017 | SEC | $340,000 |
Wedbush Securities Inc. | Wedbush Securities | investor protection violation | 2018 | SEC | $1,304,197 |
Industrial and Commercial Bank of China Financial Services LLC | Industrial and Commercial Bank of China | investor protection violation | 2018 | SEC | $1,250,000 |
Merrill Lynch, Pierce, Fenner & Smith Incorporated | Bank of America | anti-money-laundering deficiencies | 2017 | SEC | $13,000,000 |
Ameriprise Financial Services, Inc. | Ameriprise Financial | investor protection violation | 2017 | SEC | $8,750,000 |
Wells Fargo Advisors, LLC | Wells Fargo | anti-money-laundering deficiencies | 2017 | SEC | $3,500,000 |
UBS Financial Services, Inc. | UBS | investor protection violation | 2017 | SEC | $3,500,000 |
Barclays Capital Inc. | Barclays | investor protection violation | 2017 | SEC | $12,710,040 |
Blackrock Fund Advisors | BlackRock | investor protection violation | 2017 | SEC | $1,500,000 |
Credit Suisse Securities (USA) LLC | UBS | investor protection violation | 2017 | SEC | $5,754,714 |
Stifel, Nicolaus & Company, Incorporated | Stifel Financial | investor protection violation | 2017 | SEC | $300,000 |
Voya Financial Advisors, Inc. | Voya Financial | investor protection violation | 2017 | SEC | $3,095,953 |
Columbia Management Investment Services Corp. | Ameriprise Financial | investor protection violation | 2017 | SEC | $250,000 |
BB&T Securities, LLC | Truist Financial | investor protection violation | 2016 | SEC | $200,000 |
WL Ross & Co. LLC | Invesco | investor protection violation | 2016 | SEC | $2,300,000 |
Wells Fargo Bank N.A. Municipal Products Group | Wells Fargo | investor protection violation | 2016 | SEC | $440,000 |
Mitsubishi UFJ Securities (USA), Inc. | Mitsubishi UFJ Financial Group | investor protection violation | 2016 | SEC | $20,000 |
TD Securities (USA) LLC | Toronto-Dominion Bank | investor protection violation | 2016 | SEC | $500,000 |
Hilltop Securities Inc. | Hilltop Holdings | investor protection violation | 2016 | SEC | $360,000 |
Janney Montgomery Scott LLC | Penn Mutual | investor protection violation | 2016 | SEC | $500,000 |
Keybanc Capital Markets Inc. | KeyCorp | investor protection violation | 2016 | SEC | $440,000 |
Barclays Capital Inc. | Barclays | investor protection violation | 2016 | SEC | $500,000 |
SG Americas Securities LLC | Societe Generale | investor protection violation | 2015 | SEC | $1,011,093 |
KCG Americas LLC | Virtu Financial | investor protection violation | 2015 | SEC | $1,055,197 |
Edward D. Jones & Co., L.P. | Jones Financial | investor protection violation | 2015 | SEC | $100,000 |
Comerica Securities, Inc. | Comerica | investor protection violation | 2015 | SEC | $60,000 |
BB&T Securities, LLC | Truist Financial | investor protection violation | 2015 | SEC | $200,000 |
Ameritas Investment Corp. | Ameritas Mutual Holding Company | investor protection violation | 2015 | SEC | $200,000 |
Fifth Third Securities, Inc. | Fifth Third Bancorp | investor protection violation | 2015 | SEC | $20,000 |
U.S. Bank Municipal Securities Group | U.S. Bancorp | investor protection violation | 2015 | SEC | $60,000 |
UMB Bank N.A. Investment Banking Division | UMB Financial Corp. | investor protection violation | 2015 | SEC | $420,000 |