Morgan Keegan & Co. | Raymond James Financial | financial services | investor protection violation | 2010 | AL-SEC | $15,000 |
Corporate Property Associates 15 Inc. | | | investor protection violation | 2010 | AL-SEC | $15,000 |
Consolidated Management Advisors, Inc. and Consolidated Capital Management, Inc. | | | investor protection violation | 2010 | AL-SEC | $120,000 |
Clean Energy Pathways, Inc. | | | investor protection violation | 2010 | AL-SEC | $5,000 |
BCL, LLC and Sanctus Partners Limited Partnership | | | investor protection violation | 2012 | AL-SEC | $7,500 |
Bluepac Management LLC | | | investor protection violation | 2012 | AL-SEC | $7,000 |
Next Financial Group, Inc. | Atria Wealth Solutions | financial services | investor protection violation | 2012 | AL-SEC | $60,000 |
Global Financial Private Capital, LLC | | | investor protection violation | 2014 | AL-SEC | $5,000 |
Sovereign Funding, LLC | | | investor protection violation | 2015 | AL-SEC | $100,000 |
First Kentucky Securities Corp. | | | investor protection violation | 2016 | AL-SEC | $12,500 |
ClearPoint Capital Management, LLC | | | investor protection violation | 2016 | AL-SEC | $327,026 |
Morgan Keegan & Co. | Raymond James Financial | financial services | investor protection violation | 2017 | AL-SEC | $20,000 |
LPL Financial LLC | LPL Financial | financial services | investor protection violation | 2018 | AL-SEC | $80,000 |
Prominence Homes, LLC | | | investor protection violation | 2019 | AL-SEC | $100,000 |
Paul Winkler, Inc. | | | investor protection violation | 2019 | AL-SEC | $62,954 |
Solium Financial Services LLC | Morgan Stanley | financial services | investor protection violation | 2020 | AL-SEC | $18,874 |
Internet Escrow Services, Inc. | | | investor protection violation | 2020 | AL-SEC | $10,422 |
Haywood Securities (USA) Inc. | | | investor protection violation | 2021 | AL-SEC | $5,000 |
NFN8 Group, Inc. | | | investor protection violation | 2022 | AL-SEC | $120,000 |
Digital Access, LLC | | | investor protection violation | 2022 | AL-SEC | $13,500 |
Regions Bank | Regions Financial | financial services | banking violation | 2014 | AL-SBD | $5,000,000 |
Nationwide Retirement Solutions | | | investor protection violation | 2010 | AL-AG | $16,000,000 |
Betty Foodmart | | | tax violations | 2021 | AL-AG | $34,219 |
Sunoco | Energy Transfer | pipelines | tax violations | 2021 | AL-AG | $122,314 |
Greenetrack Inc. | | | tax violations | 2022 | AL-AG | $76,000,000 |
Edward D. Jones and Co.,LP | Jones Financial | financial services | investor protection violation | 2003 | AK-DBS | $11,000 |
UBS Securities LLC | UBS | financial services | investor protection violation | 2010 | AK-DBS | $733,465 |
Touchstone Funds Group Trust | | | investor protection violation | 2013 | AK-DBS | $5,000 |
Arbor Capital Management, Inc. | | | investor protection violation | 2013 | AK-DBS | $5,000 |
UBS Financial Services, Inc. | UBS | financial services | investor protection violation | 2013 | AK-DBS | $64,661 |
Fortune Oil & Gas, Ltd. | | | investor protection violation | 2014 | AK-DBS | $25,000 |
J.P. Morgan Securities, LLC | JPMorgan Chase | financial services | investor protection violation | 2014 | AK-DBS | $51,120 |
Flatiron Capital Partners, LLC et al. | | | investor protection violation | 2015 | AK-DBS | $125,000 |
St. Andrews Investments, LLC | | | investor protection violation | 2015 | AK-DBS | $50,000 |
Northwest Financial Advisors, Inc. | | | investor protection violation | 2015 | AK-DBS | $6,250 |
Securian Financial Services, Inc. | Securian Financial | financial services | investor protection violation | 2020 | AK-DBS | $10,000 |
Solium Financial Services LLC | Morgan Stanley | financial services | investor protection violation | 2020 | AK-DBS | $10,527 |
TMTE, Inc. aka Metals.com aka Chase Metals, Inc. | | | investor protection violation | 2020 | AK-DBS | $700,000 |
Tycoon Trading, LLC | | | investor protection violation | 2022 | AK-DBS | $14,439,086 |
Tycoon Trading, LLC et al. | | | investor protection violation | 2023 | AK-DBS | $40,684,525 |
AOL | Apollo Global Management | private equity (including portfolio companies) | accounting fraud or deficiencies | 2006 | AK-AG | $25,000,000 |
Mercer | Marsh & McLennan | financial services | accounting fraud or deficiencies | 2010 | AK-AG | $500,000,000 |
Qwest | Lumen Technologies | telecommunications | accounting fraud or deficiencies | 2007 | AK-AG | $19,000,000 |
Time Warner | | | accounting fraud or deficiencies | 2006 | AK-AG | $25,000,000 |