Federated Investors, Inc. | Federated Hermes | investor protection violation | 2005 | SEC | $72,000,000 |
Canadian Imperial Bank of Commerce | Canadian Imperial Bank of Commerce | investor protection violation | 2005 | SEC | $125,000,000 |
Citigroup, Inc. | Citigroup | investor protection violation | 2005 | SEC | $208,000,000 |
New York Stock Exchange, Inc. | IntercontinentalExchange Group | investor protection violation | 2005 | SEC | $20,000,000 |
Citigroup Global Markets, Inc. | Citigroup | investor protection violation | 2005 | SEC | $20,000,000 |
Banc of America Capital Management LLC, BACAP Distributors LLC and Banc of America Securities LLC | Bank of America | investor protection violation | 2005 | SEC | $375,000,000 |
Columbia Management Advisors Inc. and Columbia Funds Distributor Inc. | Ameriprise Financial | investor protection violation | 2005 | SEC | $140,000,000 |
Goldman, Sachs & Co. | Goldman Sachs | investor protection violation | 2005 | SEC | $40,000,000 |
Morgan Stanley & Co. | Morgan Stanley | investor protection violation | 2005 | SEC | $40,000,000 |
Southwest Securities, Inc. | Hilltop Holdings | investor protection violation | 2005 | SEC | $10,000,000 |
Edward D. Jones & Co., L.P. | Jones Financial | investor protection violation | 2004 | SEC | $75,000,000 |
Knight Securities, L.P. | Virtu Financial | investor protection violation | 2004 | SEC | $66,500,000 |
Franklin Advisers, Inc. and Franklin Templeton Distributors, Inc. | Franklin Resources | investor protection violation | 2004 | SEC | $20,000,000 |
American International Group, Inc. | American International Group | investor protection violation | 2004 | SEC | $46,000,000 |
Wachovia Corporation | Wells Fargo | investor protection violation | 2004 | SEC | $37,000,000 |
AIM Advisors, Inc. and AIM Distributors, Inc. | Invesco | investor protection violation | 2004 | SEC | $50,000,000 |
Invesco Funds Group, Inc. | Invesco | investor protection violation | 2004 | SEC | $325,000,000 |
TD Waterhouse Investor Services, Inc. | Toronto-Dominion Bank | investor protection violation | 2004 | SEC | $2,000,000 |
PA Fund Management LLC, PEA Capital LLC and PA Distributors LLC | Allianz | investor protection violation | 2004 | SEC | $11,600,000 |
Charles Schwab & Co., Inc. | Charles Schwab Corp. | investor protection violation | 2004 | SEC | $350,000 |
PA Fund Management LLC, PEA Capital LLC and PA Distributors LLC | Allianz | investor protection violation | 2004 | SEC | $50,000,000 |
Deutsche Bank Securities Inc. | Deutsche Bank | investor protection violation | 2004 | SEC | $87,500,000 |
Thomas Weisel Partners LLC | Stifel Financial | investor protection violation | 2004 | SEC | $12,500,000 |
Friedman, Billings, Ramsey & Co., Inc. | Arlington Asset Investment Corp. | investor protection violation | 2004 | SEC | $125,000 |
Janney Montgomery Scott LLC | Penn Mutual | investor protection violation | 2004 | SEC | $875,000 |
Morgan Keegan & Co., Inc. | Raymond James Financial | investor protection violation | 2004 | SEC | $875,000 |
Prudential Equity Group, LLC f/k/a Prudential Securities Inc. | Prudential Financial | investor protection violation | 2004 | SEC | $375,000 |
SG Cowen & Co., LLC f/k/a SG Cowen Securities Corporation | Toronto-Dominion Bank | investor protection violation | 2004 | SEC | $125,000 |
Janus Capital Management LLC | Janus Henderson | investor protection violation | 2004 | SEC | $100,000,000 |
Conseco, Inc. | CNO Financial | investor protection violation | 2004 | SEC | $15,000,000 |
Fidelity Brokerage Services, LLC | Fidelity Investments | investor protection violation | 2004 | SEC | $1,000,000 |
Franklin Advisers, Inc. | Franklin Resources | investor protection violation | 2004 | SEC | $50,000,000 |
Banc One Investment Advisors Corporation | JPMorgan Chase | investor protection violation | 2004 | SEC | $50,000,000 |
Wilmington Trust Company | M&T Bank | investor protection violation | 2004 | SEC | $125,000 |
Strong Capital Management, Inc. | Wells Fargo | investor protection violation | 2004 | SEC | $80,000,000 |
Putnam Investment Management LLC | Franklin Resources | investor protection violation | 2004 | SEC | $55,000,000 |
Massachusetts Financial Services Company | Sun Life Financial | investor protection violation | 2004 | SEC | $50,000,000 |
Spear, Leeds & Kellogg Specialists LLC | Goldman Sachs | investor protection violation | 2004 | SEC | $45,272,478 |
FleetBoston Financial Corporation | Bank of America | investor protection violation | 2004 | SEC | $140,000,000 |
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 |
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 |
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 |
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 |
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 |
SG Americas Securities, LLC | Societe Generale | investor protection violation | 2016 | CFTC | $750,000 |
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 |
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 |
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 |
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 |
J.P. Morgan Securities LLC | JPMorgan Chase | investor protection violation | 2017 | CFTC | $900,000 |
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 |
Citigroup Global Markets Inc. | Citigroup | investor protection violation | 2017 | CFTC | $25,000,000 |
E*TRADE Securities LLC | Morgan Stanley | investor protection violation | 2017 | CFTC | $280,000 |
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 |
Bank of Tokyo-Mitsubishi UFJ, Ltd. | Mitsubishi UFJ Financial Group | investor protection violation | 2017 | CFTC | $600,000 |
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 |
INTL FCStone Financial Inc. | StoneX Group | investor protection violation | 2017 | CFTC | $280,000 |
Morgan Stanley | Morgan Stanley | investor protection violation | 2017 | CFTC | $500,000 |
Merrill Lynch | Bank of America | investor protection violation | 2017 | CFTC | $2,500,000 |
SunTrust Banks | Truist Financial | investor protection violation | 2017 | SEC | $1,100,000 |