PGH Advisors LLC | | | investor protection violation | 2023 | AZ-CC | $445,790 |
J.A.G. Capital, LLC | | | investor protection violation | 2023 | CO-SEC | $7,500 |
Parker Street Securities LLC | | | investor protection violation | 2023 | CO-SEC | $5,300 |
Bayou Teche Brewing L.L.C. | | | tax violations | 2022 | ATTTB | $77,600 |
Abu Nawas Beverage Company LLC | | | tax violations | 2022 | ATTTB | $25,000 |
Excel Industries, Inc. | | | tax violations | 2023 | ATTTB | $44,527 |
Godfrey Phillips India Limited | | | economic sanction violation | 2023 | OFAC | $332,500 |
Friedman, LLP | | | accounting fraud or deficiencies | 2023 | PCAOB | $100,000 |
Uphold HQ Inc. | | | economic sanction violation | 2023 | OFAC | $72,230 |
Windy Inc. | | | investor protection violation | 2023 | SEC | $89,979 |
Braverock Investments LLC | | | investor protection violation | 2023 | SEC | $132,000 |
DCAST Capital Investments LLCandFive Traders LLC | | | investor protection violation | 2023 | CFTC | $16,087,440 |
RT LLP | | | accounting fraud or deficiencies | 2023 | PCAOB | $50,000 |
Betterment LLC | | | investor protection violation | 2023 | SEC | $9,000,000 |
Corvex Management LP | | | investor protection violation | 2023 | SEC | $1,000,000 |
Murad, LLC | | | economic sanction violation | 2023 | OFAC | $3,508,286 |
Poloniex, LLC | | | economic sanction violation | 2023 | OFAC | $7,591,630 |
Gaia Inc. | | | investor protection violation | 2023 | SEC | $2,000,000 |
Chicago Crypto Capital LLC | | | investor protection violation | 2023 | SEC | $1,071,686 |
CW Petroleum Corp. | | | investor protection violation | 2023 | SEC | $5,000 |
DNA Brands Inc. | | | investor protection violation | 2023 | SEC | $10,000 |
Graystone Company Inc. | | | investor protection violation | 2023 | SEC | $25,000 |
Green Stream Holdings Inc. | | | investor protection violation | 2023 | SEC | $75,000 |
Hemp Naturals Inc. | | | investor protection violation | 2023 | SEC | $50,000 |
LiveWire Ergogenics Inc. | | | investor protection violation | 2023 | SEC | $50,000 |
Principal Solar Inc. | | | investor protection violation | 2023 | SEC | $40,000 |
SFLMaven Corp. | | | investor protection violation | 2023 | SEC | $25,000 |
The Marquie Group Inc. | | | investor protection violation | 2023 | SEC | $10,000 |
Verde Bio Holdings Inc. | | | investor protection violation | 2023 | SEC | $90,000 |
Pinnacle Investments LLC | | | investor protection violation | 2023 | SEC | $476,000 |
Classic Asset Management LLC | | | investor protection violation | 2023 | SEC | $195,228 |
Coinme Inc. | | | investor protection violation | 2023 | SEC | $250,000 |
Up Global SEZC | | | investor protection violation | 2023 | SEC | $3,520,000 |
Trends Investments Inc. | | | investor protection violation | 2023 | SEC | $4,007,027 |
Expro Group Holdings N.V. | | | investor protection violation | 2023 | SEC | $7,998,721 |
Kingdom Trust Company | | | anti-money-laundering deficiencies | 2023 | FINCEN | $1,500,000 |
Bear Fruit Films, L.L.C. | | | investor protection violation | 2023 | AZ-CC | $1,700,500 |
J.A.G. Capital, LLC | | | investor protection violation | 2023 | CT-SEC | $7,500 |
Parker Street Securities LLC | | | investor protection violation | 2023 | CT-SEC | $5,340 |
WEST STREET FINANCIAL SERVICES LLC | | | investor protection violation | 2023 | FL-OFR | $16,750 |
Perpetual Financial | | | investor protection violation | 2023 | FL-OFR | $72,500 |
Rtfbsl L.L.C. Aka First Draft Bar | | | investor protection violation | 2023 | IL-SEC | $1,161,899 |
MoneyLife Partners, Inc. | | | investor protection violation | 2023 | KY-FIN | $7,400 |
Index Portfolio Tools Advisors | | | investor protection violation | 2023 | MD-SEC | $10,000 |
North Texas Energy, Inc. | | | investor protection violation | 2023 | MD-SEC | $1,850,000 |
August Wealth Group, Inc. | | | investor protection violation | 2023 | ME-SEC | $6,982 |
H.C. Denison Co. | | | investor protection violation | 2023 | ME-SEC | $7,105 |
Together We Profit | | | investor protection violation | 2022 | MI-SEC | $10,000 |
Seaview Global Advisors LLC | | | investor protection violation | 2023 | NJ-BOS | $150,000 |
Womack Investment Advisers, Inc. | | | investor protection violation | 2023 | OK-DCC | $200,000 |
Capital Energy Resources, LLC et al. | | | investor protection violation | 2023 | PA-BKG | $45,000 |
Dedicated Investment Advisers LLC | | | investor protection violation | 2023 | PA-BKG | $20,000 |
Altair Management Partners, Inc. | | | investor protection violation | 2023 | PA-BKG | $30,000 |
Independent Investment Advisors, LLC | | | investor protection violation | 2023 | SC-SEC | $15,000 |
Pantheon Investments, LLC | | | investor protection violation | 2023 | TN-SEC | $15,000 |
Mackie Financial Group, LLC | | | investor protection violation | 2023 | TN-SEC | $25,000 |
Overtime Franchise LLC | | | investor protection violation | 2023 | VA-SEC | $17,400 |
SyndiCap Investment and Securities Management, LLC et al. | | | investor protection violation | 2023 | VA-SEC | $60,000 |
Connolly Financial Advisors, LLC | | | investor protection violation | 2023 | VT-FIN | $11,000 |
Pacific Investors Group, LLC et al. | | | investor protection violation | 2023 | WA-SEC | $25,000 |
AK Equity Group LLC and Xapphire LLC | | | investor protection violation | 2023 | CFTC | $24,080,325 |
The Bank of New Glarus | | | banking violation | 2023 | FDIC | $9,375 |
Coin Cafe | | | investor protection violation | 2023 | NY-AG | $4,300,000 |
Humane Society of Harrisburg Area | | | accounting fraud or deficiencies | 2023 | PA-AG | $45,055 |
Barzily & Co. | | | accounting fraud or deficiencies | 2023 | PCAOB | $50,000 |
Pacific Investment Management Company LLC (PIMCO) | | | investor protection violation | 2023 | SEC | $9,000,000 |
BHP Capital NY, Inc. | | | investor protection violation | 2023 | SEC | $2,500,000 |
Hydrogen Technology Corporation | | | investor protection violation | 2023 | SEC | $2,796,234 |
Boyle CP LLC | | | accounting fraud or deficiencies | 2023 | SEC | $50,000 |
Cantaloupe, Inc. | | | investor protection violation | 2023 | SEC | $1,500,000 |
First Guaranty Bancshares, Inc. | | | investor protection violation | 2023 | SEC | $600,000 |
RTW Investments, LP | | | investor protection violation | 2023 | SEC | $1,400,000 |
Sciens Investment Management, LLC and Sciens Diversified Managers, LLC | | | investor protection violation | 2023 | SEC | $275,000 |
CoinEx | | | investor protection violation | 2023 | NY-AG | $1,700,000 |
SR&B Investment Enterprises, Inc. | | | investor protection violation | 2023 | CFTC | $2,461,877 |
King Royalty, LLC | | | investor protection violation | 2023 | CFTC | $6,978,837 |
Bull Run Advantage, LLC | | | investor protection violation | 2023 | CFTC | $215,719 |
Green Knight Investments, LLC | | | investor protection violation | 2023 | CFTC | $675,378 |
Argent Asset Group LLC and First State Depository Company, LLC | | | investor protection violation | 2023 | CFTC | $145,700,000 |
Challenger Life Company Limited | | | investor protection violation | 2023 | CFTC | $150,000 |
Swedbank Latvia AS | | | economic sanction violation | 2023 | OFAC | $3,430,900 |
CohnReznick LLP | | | accounting fraud or deficiencies | 2023 | PCAOB | $20,000 |
Total Asia Associates PLT | | | accounting fraud or deficiencies | 2023 | PCAOB | $80,000 |
Marcum LLP | | | accounting fraud or deficiencies | 2023 | PCAOB | $3,000,000 |
RSE Markets Inc. | | | investor protection violation | 2023 | SEC | $350,000 |
Foresee Inc. et al. | | | investor protection violation | 2023 | SEC | $5,374,482 |
Marcum LLP | | | accounting fraud or deficiencies | 2023 | SEC | $10,000,000 |
Insight Venture Management LLC | | | investor protection violation | 2023 | SEC | $2,364,958 |
Legendary Partners, LLC | | | investor protection violation | 2023 | SEC | $412,542 |
Empires Consulting Corp. | | | investor protection violation | 2023 | SEC | $34,839,951 |
Vuuzle Media Corp. et al. | | | investor protection violation | 2023 | SEC | $28,599,662 |
Co-Diagnostics, Inc. | | | investor protection violation | 2023 | SEC | $250,000 |
Future Fintech Group Inc. | | | investor protection violation | 2023 | SEC | $1,650,000 |
Quantstamp, Inc. | | | investor protection violation | 2023 | SEC | $1,000,000 |
Monroe Capital Management Advisors, LLC | | | investor protection violation | 2023 | SEC | $1,000,000 |
Digital World Acquisition Corp. | | | investor protection violation | 2023 | SEC | $18,000,000 |
Benecke Economics | | | investor protection violation | 2023 | SEC | $60,000 |
Lear Capital | | | investor protection violation | 2023 | SC-AG | $5,500,000 |
Bryant Capital Trade Management Corporation | | | investor protection violation | 2023 | CFTC | $250,655 |
Bluprint LLC | | | investor protection violation | 2023 | CFTC | $8,863,753 |
Construction Specialties Inc. | | | economic sanction violation | 2023 | OFAC | $660,954 |