Apple Seven Advisors Inc. | | | accounting fraud or deficiencies | 2014 | SEC | $375,000 |
Apple Eight Advisors Inc. | | | accounting fraud or deficiencies | 2014 | SEC | $437,500 |
Apple Nine Advisors Inc. | | | accounting fraud or deficiencies | 2014 | SEC | $250,000 |
Onyx Capital Advisors | | | investor protection violation | 2014 | SEC | $9,100,000 |
Instinet LLC | | | investor protection violation | 2013 | SEC | $813,280 |
GLG Partners L.P. | | | accounting fraud or deficiencies | 2013 | SEC | $8,954,346 |
Sherb & Co. LLP | | | accounting fraud or deficiencies | 2013 | SEC | $75,000 |
Greater Wenatchee Regional Events Center Public Facilities District | | | investor protection violation | 2013 | SEC | $20,000 |
Milan Group Inc. | | | investor protection violation | 2013 | SEC | $4,141,148 |
Further Lane Asset Management | | | investor protection violation | 2013 | SEC | $150,000 |
Knelman Asset Management Group | | | investor protection violation | 2013 | SEC | $60,000 |
GW & Wade | | | investor protection violation | 2013 | SEC | $250,000 |
Modern Portfolio Management Inc. | | | investor protection violation | 2013 | SEC | $175,000 |
Equitas Capital Advisers LLC | | | investor protection violation | 2013 | SEC | $225,000 |
Petro-Suisse Ltd. | | | investor protection violation | 2013 | SEC | $8,370,000 |
Patrizio & Zhao LLC | | | accounting fraud or deficiencies | 2013 | SEC | $30,000 |
Universal Travel Group | | | accounting fraud or deficiencies | 2013 | SEC | $750,000 |
City Securities Corporation | | | investor protection violation | 2013 | SEC | $580,000 |
Fuqi International Inc. | | | accounting fraud or deficiencies | 2013 | SEC | $1,000,000 |
China Natural Gas Inc. | | | accounting fraud or deficiencies | 2013 | SEC | $815,000 |
MedLink International Inc. | | | accounting fraud or deficiencies | 2013 | SEC | $8,084,515 |
Capital Solutions Distributors, LLC and Capital Solutions Management, LP | | | accounting fraud or deficiencies | 2013 | SEC | $4,997,077 |
211 Ventures LLC | | | investor protection violation | 2013 | SEC | $2,300,000 |
J.C. Reed & Co. | | | investor protection violation | 2013 | SEC | $14,910,003 |
Ranieri Partners | | | investor protection violation | 2013 | SEC | $375,000 |
Keyuan Petrochemicals | | | accounting fraud or deficiencies | 2013 | SEC | $1,000,000 |
Fiduciary Asset Management LLC | | | investor protection violation | 2012 | SEC | $2,859,858 |
eBX LLC | | | investor protection violation | 2012 | SEC | $800,000 |
Advanced Equities Inc | | | investor protection violation | 2012 | SEC | $1,000,000 |
ICP Asset Management | | | investor protection violation | 2012 | SEC | $18,275,033 |
Worldwide Energy and Manufacturing USA Inc. | | | investor protection violation | 2012 | SEC | $100,000 |
Focus Point Solutions and The H Group | | | investor protection violation | 2012 | SEC | $1,100,000 |
AMMB Consultant Sendirian Berhad | | | investor protection violation | 2012 | SEC | $1,550,000 |
New Futures Trading International Corporation | | | investor protection violation | 2012 | SEC | $1,433,889 |
Martin Currie | | | investor protection violation | 2012 | SEC | $8,300,000 |
Banco Espirito Santo S.A. | | | investor protection violation | 2011 | SEC | $7,000,000 |
Long Term-Short Term Inc., d/b/a BetterTrades | | | investor protection violation | 2011 | SEC | $750,000 |
Wall Street Capital Funding LLC | | | investor protection violation | 2011 | SEC | $300,000 |
Locke Capital Management Inc. | | | investor protection violation | 2011 | SEC | $3,673,996 |
LaBarge Inc. | | | accounting fraud or deficiencies | 2011 | SEC | $200,000 |
Aerokinetic Energy Corporation | | | investor protection violation | 2011 | SEC | $859,571 |
LandOak Securities LLC | | | investor protection violation | 2011 | SEC | $992,140 |
Navigators International Management Co., Ltd. | | | investor protection violation | 2011 | SEC | $45,000 |
Deerfield Capital Corp. | | | accounting fraud or deficiencies | 2011 | SEC | $1,277,070 |
Hudson Highland Group | | | accounting fraud or deficiencies | 2011 | SEC | $200,000 |
Enzyme Environmental Solutions, Inc. | | | investor protection violation | 2011 | SEC | $371,135 |
BroCo Investments, Inc. | | | accounting fraud or deficiencies | 2010 | SEC | $627,633 |
Berkshire Resources, L.L.C. | | | investor protection violation | 2010 | SEC | $16,255,846 |
Prime Time Group Inc. | | | investor protection violation | 2010 | SEC | $325,000 |
ASMAC Financial, Inc. | | | investor protection violation | 2010 | SEC | $133,995 |
K&L International Enterprises, Inc., Signature Leisure, Inc., and Signature Worldwide Advisors, LLC | | | investor protection violation | 2010 | SEC | $12,574,582 |
Thompson Consulting Inc. | | | investor protection violation | 2010 | SEC | $400,000 |
CFO-5 LLC | | | investor protection violation | 2010 | SEC | $3,197,222 |
Presstek Inc. | | | investor protection violation | 2010 | SEC | $400,000 |
Wealth Management LLC | | | investor protection violation | 2010 | SEC | $1,471,002 |
TSB Bank | | | banking violation | 2016 | FDIC | $40,000 |
Proficio Bank | | | banking violation | 2016 | FDIC | $250,000 |
Hawaiian Gardens Casino, Inc. d/b/a The Gardens Casino | | | anti-money-laundering deficiencies | 2016 | FINCEN | $2,800,000 |
HyperBranch Medical Technology Inc. | | | economic sanction violation | 2016 | OFAC | $107,691 |
CGG Services S.A | | | economic sanction violation | 2016 | OFAC | $614,250 |
STATE BANK OF KANSAS, THE | | | banking violation | 2009 | FDIC | $25,000 |
CITIZENS BANK AND TRUST COMPANY OF CHICAGO | | | banking violation | 2009 | FDIC | $5,500 |
COMMUNITY FIRSTBANK OF CHARLESTON | | | banking violation | 2009 | FDIC | $26,840 |
COATESVILLE SAVINGS BANK | | | banking violation | 2009 | FDIC | $5,500 |
WEST POINTE BANK | | | banking violation | 2009 | FDIC | $15,950 |
COMMERCIAL STATE BANK | | | banking violation | 2009 | FDIC | $20,535 |
STATE CENTRAL BANK | | | banking violation | 2009 | FDIC | $9,500 |
THE FIRST STATE BANK OF BURLINGAME | | | banking violation | 2009 | FDIC | $8,000 |
EAST BOSTON SAVINGS BANK | | | banking violation | 2009 | FDIC | $9,430 |
DELAWARE COUNTY BANK AND TRUST COMPANY, THE | | | banking violation | 2009 | FDIC | $5,000 |
BANK OF ONTARIO | | | banking violation | 2009 | FDIC | $5,350 |
HORIZON COMMUNITY BANK | | | banking violation | 2009 | FDIC | $6,740 |
FIRSTRUST SAVINGS BANK | | | banking violation | 2009 | FDIC | $10,000 |
WEST SUBURBAN BANK | | | banking violation | 2009 | FDIC | $7,000 |
CHEYENNE STATE BANK | | | banking violation | 2009 | FDIC | $6,765 |
CORNERSTONE COMMUNITY BANK | | | banking violation | 2009 | FDIC | $25,000 |
WAUMANDEE STATE BANK | | | banking violation | 2009 | FDIC | $13,090 |
AMERICAN RIVER BANK | | | banking violation | 2009 | FDIC | $7,770 |
COMMUNITY BANK OF CENTRAL WISCONSIN | | | banking violation | 2009 | FDIC | $7,200 |
MAIN STREET BANK CORP. | | | banking violation | 2009 | FDIC | $9,600 |
PEOPLE'S BANK AND TRUST COMPANY OF PICKETT COUNTY | | | banking violation | 2009 | FDIC | $5,390 |
SOUND BANKING COMPANY | | | banking violation | 2009 | FDIC | $5,400 |
MONROE BANK & TRUST | | | banking violation | 2009 | FDIC | $12,400 |
REPUBLIC FIRST BANK | | | banking violation | 2009 | FDIC | $8,750 |
DORAL BANK | | | banking violation | 2009 | FDIC | $38,030 |
HILLCREST BANK | | | banking violation | 2009 | FDIC | $8,000 |
Advanta Bank Corporation | | | banking violation | 2009 | FDIC | $35,150,000 |
BANK OF AGRICULTURE AND COMMERCE | | | banking violation | 2009 | FDIC | $100,000 |
AL Amerilife First Financial, LLC | | | banking violation | 2009 | FDIC | $100,000 |
FIRST EXCHANGE BANK | | | banking violation | 2009 | FDIC | $8,225 |
FIRST GUARANTY BANK | | | banking violation | 2009 | FDIC | $17,000 |
FIDELITY SAVINGS BANK | | | banking violation | 2009 | FDIC | $17,000 |
UNITED BANK | | | banking violation | 2009 | FDIC | $8,470 |
SEATTLE BANK | | | banking violation | 2009 | FDIC | $15,050 |
FIRST SERVICE BANK | | | banking violation | 2009 | FDIC | $8,000 |
COULEE BANK | | | banking violation | 2009 | FDIC | $5,270 |
GRABILL BANK | | | banking violation | 2009 | FDIC | $10,000 |
MARION CENTER BANK | | | banking violation | 2009 | FDIC | $12,000 |
CITIZENS FIRST BANK | | | banking violation | 2009 | FDIC | $16,535 |
WEST BANK | | | banking violation | 2009 | FDIC | $18,920 |
FIRST MARINER BANK | | | banking violation | 2009 | FDIC | $50,000 |