Citigroup Global Markets, Inc. | Citigroup | investor protection violation | 2010 | IN-SEC | $692,000 |
ProEquities, Inc. | Dai-ichi Life | investor protection violation | 2010 | IN-SEC | $9,000 |
Wells Fargo Advisors, LLC | Wells Fargo | investor protection violation | 2010 | IN-SEC | $8,495 |
Edward D. Jones & Co., L.P. | Jones Financial | investor protection violation | 2011 | IN-SEC | $10,000 |
UBS Financial Services | UBS | investor protection violation | 2011 | IN-SEC | $677,000 |
Fidelity Brokerage Services LLC | Fidelity Investments | investor protection violation | 2011 | IN-SEC | $7,500 |
Morgan Stanley & Co. Inc. | Morgan Stanley | investor protection violation | 2012 | IN-SEC | $210,000 |
LPL Financial, LLC | LPL Financial | investor protection violation | 2013 | IN-SEC | $14,000 |
Fifth Third Securities, Inc. | Fifth Third Bancorp | investor protection violation | 2013 | IN-SEC | $8,500 |
Prosper Marketplace | Prosper Marketplace | investor protection violation | 2015 | IN-SEC | $13,957 |
Raymond James & Associates, Inc. | Raymond James Financial | investor protection violation | 2015 | IN-SEC | $475,000 |
JPMorgan Chase & Co. | JPMorgan Chase | investor protection violation | 2016 | IN-SEC | $905,000 |
JPMorgan Chase Bank, N.A. and J.P. Morgan Securities LLC | JPMorgan Chase | investor protection violation | 2016 | IN-SEC | $950,000 |
NYLIFE Securities, LLC | New York Life Insurance | investor protection violation | 2017 | IN-SEC | $275,000 |
LPL Financial, LLC | LPL Financial | investor protection violation | 2018 | IN-SEC | $450,000 |
Solium Financial Services LLC | Morgan Stanley | investor protection violation | 2020 | IN-SEC | $15,575 |
Bank of Louisville | Truist Financial | investor protection violation | 2002 | KY-INS | $27,000,000 |
Morgan Stanley D.W., Inc. | Morgan Stanley | investor protection violation | 2004 | KY-FIN | $100,000 |
Ameriprise Financial Services, Inc. | Ameriprise Financial | investor protection violation | 2009 | KY-FIN | $983,984 |
J.P. Morgan Securities LLC | JPMorgan Chase | investor protection violation | 2020 | KY-FIN | $325,000 |
State Street Global Advisors | State Street Corp. | investor protection violation | 2012 | MA-SEC | $5,000,000 |
RBC Capital Markets, LLC | Royal Bank of Canada | investor protection violation | 2012 | MA-SEC | $250,000 |
Citigroup Global Markets Inc. | Citigroup | investor protection violation | 2012 | MA-SEC | $2,000,000 |
Morgan Stanley & Co. LLC | Morgan Stanley | investor protection violation | 2012 | MA-SEC | $5,000,000 |
LPL Financial LLC | LPL Financial | investor protection violation | 2013 | MA-SEC | $500,000 |
Deutsche Bank Securities Inc. | Deutsche Bank | investor protection violation | 2013 | MA-SEC | $17,500,000 |
Ameriprise Financial Services, Inc. | Ameriprise Financial | investor protection violation | 2013 | MA-SEC | $400,000 |
Lincoln Financial Advisors Corp. | Lincoln National | investor protection violation | 2013 | MA-SEC | $100,000 |
Citigroup Global Markets Inc. | Citigroup | investor protection violation | 2013 | MA-SEC | $30,000,000 |
Merrill Lynch, Pierce, Fenner & Smith Inc. | Bank of America | investor protection violation | 2015 | MA-SEC | $2,500,000 |
LPL Financial LLC | LPL Financial | investor protection violation | 2015 | MA-SEC | $250,000 |
LPL Financial LLC | LPL Financial | investor protection violation | 2017 | MA-SEC | $975,000 |
Investment Professionals, Inc. | Ameriprise Financial | investor protection violation | 2017 | MA-SEC | $100,000 |
Morgan Stanley Smith Barney LLC | Morgan Stanley | investor protection violation | 2017 | MA-SEC | $1,000,000 |
LPL Financial LLC | LPL Financial | investor protection violation | 2017 | MA-SEC | $1,000,000 |
MetLife, Inc. | MetLife | investor protection violation | 2018 | MA-SEC | $1,000,000 |
LPL Financial LLC | LPL Financial | investor protection violation | 2019 | MA-SEC | $1,100,000 |
Wells Fargo Clearing Services, LLC | Wells Fargo | investor protection violation | 2019 | MA-SEC | $450,000 |
Morgan Stanley Smith Barney LLC | Morgan Stanley | investor protection violation | 2019 | MA-SEC | $382,500 |
Next Financial Group, Inc. | Atria Wealth Solutions | investor protection violation | 2019 | MA-SEC | $150,000 |
Banc of America Investment Services, Inc. | Bank of America | investor protection violation | 2008 | MD-SEC | $10,000 |
Morgan Stanley & Co. Inc. | Morgan Stanley | investor protection violation | 2008 | MD-SEC | $35,000 |
Wachovia Securities, LLC | Wells Fargo | investor protection violation | 2008 | MD-SEC | $50,000 |
Morgan Stanley & Co. Inc. | Morgan Stanley | investor protection violation | 2009 | MD-SEC | $100,000 |
Prosper Marketplace, Inc. | Prosper Marketplace | investor protection violation | 2009 | MD-SEC | $28,706 |
Wells Fargo Advisors LLC | Wells Fargo | investor protection violation | 2012 | MD-SEC | $50,000 |
Ameriprise Financial Services, Inc. | Ameriprise Financial | investor protection violation | 2013 | MD-SEC | $50,000 |
JPMorgan Chase Bank, N.A. | JPMorgan Chase | investor protection violation | 2017 | MD-SEC | $100,000 |
LPL Financial LLC | LPL Financial | investor protection violation | 2019 | MD-SEC | $499,000 |
Edward D. Jones & Co., L.P. | Jones Financial | investor protection violation | 2010 | ME-SEC | $10,000 |
Prosper Marketplace, Inc. | Prosper Marketplace | investor protection violation | 2011 | ME-SEC | $5,000 |
LendingClub Corporation | LendingClub Corp. | investor protection violation | 2013 | ME-SEC | $45,000 |
NYLIFE Securities LLC | New York Life Insurance | investor protection violation | 2019 | ME-SEC | $50,000 |
Solium Financial Services, LLC | Morgan Stanley | investor protection violation | 2020 | ME-SEC | $5,000 |
Oppenheimer & Co. Inc. | Oppenheimer Holdings | investor protection violation | 2016 | MI-SEC | $900,000 |
Raymond James & Associates, Inc. | Raymond James Financial | investor protection violation | 2020 | MI-SEC | $50,000 |
American Express Financial Advisors, Inc. | Ameriprise Financial | investor protection violation | 2002 | MN-FIN | $5,000 |
Berthel Fisher & Company | Berthel Fisher | investor protection violation | 2003 | MN-FIN | $10,000 |
American Express Financial Advisors, Inc. | Ameriprise Financial | investor protection violation | 2005 | MN-FIN | $2,000,000 |
ING Financial Partners, Inc. | Voya Financial | investor protection violation | 2012 | MN-FIN | $5,000 |
Oppenheimer & Co., Inc. | Oppenheimer Holdings | investor protection violation | 2005 | MO-SEC | $122,050 |
Edward D. Jones & Co. L.P. | Jones Financial | investor protection violation | 2005 | MO-SEC | $1,500,000 |
Waddell & Reed, Inc. | Macquarie | investor protection violation | 2006 | MO-SEC | $172,161 |
World Group Securities, Inc. | Aegon | investor protection violation | 2006 | MO-SEC | $228,600 |
Berthel Fisher & Company Financial Services, Inc. | Berthel Fisher | investor protection violation | 2007 | MO-SEC | $230,469 |
Investment Centers of America, Inc. | LPL Financial | investor protection violation | 2007 | MO-SEC | $1,031,618 |
UBS Financial Services, Inc. | UBS | investor protection violation | 2007 | MO-SEC | $697,210 |
Merrill Lynch, Pierce, Fenner & Smith Inc. | Bank of America | investor protection violation | 2009 | MO-SEC | $20,000 |
Securian Financial Services, Inc. | Securian Financial | investor protection violation | 2009 | MO-SEC | $79,445 |
Raymond James Financial Services, Inc. | Raymond James Financial | investor protection violation | 2009 | MO-SEC | $52,300 |
UBS Financial Services, Inc. | UBS | investor protection violation | 2009 | MO-SEC | $170,175 |
Investment Professionals, Inc. | Ameriprise Financial | investor protection violation | 2009 | MO-SEC | $52,500 |
Stifel, Nicolaus & Company, Inc. | Stifel Financial | investor protection violation | 2010 | MO-SEC | $211,617 |
Edward D. Jones & Co. L.P. | Jones Financial | investor protection violation | 2010 | MO-SEC | $40,500 |
Bankers Life and Casualty Co. | CNO Financial | investor protection violation | 2010 | MO-SEC | $789,600 |
LPL Financial Corp. | LPL Financial | investor protection violation | 2010 | MO-SEC | $37,540 |
Citigroup Global Markets, Inc. | Citigroup | investor protection violation | 2010 | MO-SEC | $277,500 |
AXA Advisors, LLC | Equitable Holdings | investor protection violation | 2010 | MO-SEC | $92,015 |
A.G. Edwards & Sons, Inc. | Wells Fargo | investor protection violation | 2011 | MO-SEC | $765,993 |
Berthel Fisher & Company Financial Services, Inc. | Berthel Fisher | investor protection violation | 2011 | MO-SEC | $5,000 |
Stifel, Nicolaus & Company, Inc. | Stifel Financial | investor protection violation | 2012 | MO-SEC | $1,101,385 |
LendingClub Corp. | LendingClub Corp. | investor protection violation | 2012 | MO-SEC | $105,000 |
Berthel Fisher & Company Financial Services, Inc. | Berthel Fisher | investor protection violation | 2013 | MO-SEC | $80,000 |
Merrill Lynch, Pierce, Fenner & Smith Inc. | Bank of America | investor protection violation | 2013 | MO-SEC | $2,121,579 |
LPL Financial LLC | LPL Financial | investor protection violation | 2013 | MO-SEC | $185,000 |
Bankers Life and Casualty Co. | CNO Financial | investor protection violation | 2015 | MO-SEC | $102,178 |
ProEquities, Inc. | Dai-ichi Life | investor protection violation | 2015 | MO-SEC | $128,528 |
Morgan Keegan & Company, Inc. | Raymond James Financial | investor protection violation | 2016 | MO-SEC | $850,000 |
A.G. Edwards & Sons, Inc. | Wells Fargo | investor protection violation | 2017 | MO-SEC | $25,672 |
Solium Financial Services LLC | Morgan Stanley | investor protection violation | 2020 | MO-SEC | $9,130 |
AmSouth Investment Services, Inc. | Regions Financial | investor protection violation | 2004 | MS-SEC | $225,000 |
MetLife Securities, Inc. | MetLife | investor protection violation | 2006 | MS-SEC | $50,000 |
Morgan Keegan & Company, Inc. | Raymond James Financial | investor protection violation | 2007 | MS-SEC | $12,500 |
Ameriprise Financial Services, Inc. | Ameriprise Financial | investor protection violation | 2008 | MS-SEC | $150,000 |
Morgan Stanley Smith Barney LLC | Morgan Stanley | investor protection violation | 2016 | MS-SEC | $4,743,815 |
Stifel, Nicolaus & Company, Inc. | Stifel Financial | investor protection violation | 2017 | MS-SEC | $50,000 |
LPL Financial LLC | LPL Financial | investor protection violation | 2018 | MS-SEC | $40,000 |
U.S. Bancorp Piper Jaffray Inc. | Piper Sandler | investor protection violation | 2003 | MT-FIN | $2,625,000 |
Waddell & Reed, Inc. | Macquarie | investor protection violation | 2005 | MT-FIN | $25,000 |
Piper Jaffray & Co. | Piper Sandler | investor protection violation | 2006 | MT-FIN | $345,000 |
UBS Financial Services, Inc. | UBS | investor protection violation | 2006 | MT-FIN | $4,503,166 |