Amcore Bank, National Association | | | banking violation | 2003 | OCC | $5,000 |
First National Bank & Trust | | | banking violation | 2003 | OCC | $5,000 |
Guaranty National Bank of Tallahassee | | | banking violation | 2003 | OCC | $25,000 |
The Fremont National Bank and Trust Company | | | banking violation | 2003 | OCC | $5,000 |
Terre Haute First National Bank | | | banking violation | 2003 | OCC | $12,950 |
Peoples National Bank | | | banking violation | 2003 | OCC | $175,000 |
Cumberland Valley National Bank & Trust Company | | | banking violation | 2003 | OCC | $14,000 |
Goleta National Bank | | | banking violation | 2002 | OCC | $75,000 |
Fidelity National Bank | | | banking violation | 2002 | OCC | $50,000 |
Home National Bank | | | banking violation | 2000 | OCC | $5,000 |
Banco Do Estado Do Parana | | | banking violation | 2000 | OCC | $75,000 |
The Park Avenue Bank, National Association | | | banking violation | 2000 | OCC | $55,000 |
GMC Holding Corporation | | | investor protection violation | 2009 | SEC | $2,090,000 |
SafeNet, Inc. | | | accounting fraud or deficiencies | 2009 | SEC | $1,000,000 |
Value Line Inc. | | | investor protection violation | 2009 | SEC | $43,705,765 |
Thompson Price Holding Inc. | | | investor protection violation | 2009 | SEC | $288,815 |
Lion Gate Capital, Inc. | | | investor protection violation | 2009 | SEC | $150,000 |
Marshall Holdings International, Inc. | | | investor protection violation | 2009 | SEC | $8,974,033 |
Colonial Fund LLC and Colonial Investment Management LLC | | | investor protection violation | 2009 | SEC | $1,400,000 |
M.A.G. Capital LLC | | | investor protection violation | 2009 | SEC | $100,000 |
Conversion Solutions Holding Corporation | | | accounting fraud or deficiencies | 2008 | SEC | $250,000 |
Halt, Buzas & Powell, Ltd. | | | accounting fraud or deficiencies | 2008 | SEC | $101,711 |
K.W. Brown & Company, 21st Century Advisors Inc., and K.W. Brown Investments, Inc. | | | accounting fraud or deficiencies | 2008 | SEC | $9,983,586 |
Nortel Networks Corporation | | | accounting fraud or deficiencies | 2007 | SEC | $35,000,000 |
Electronic Data Systems Corporation | | | accounting fraud or deficiencies | 2007 | SEC | $490,902 |
Mercury Interactive, LLC | | | accounting fraud or deficiencies | 2007 | SEC | $28,000,000 |
Crestview Capital Partners | | | investor protection violation | 2007 | SEC | $394,640 |
GetAnswers, Inc. | | | investor protection violation | 2007 | SEC | $15,713,676 |
1st Global Capital Corp. | | | investor protection violation | 2006 | SEC | $100,000 |
BISYS Fund Services, Inc. | | | investor protection violation | 2006 | SEC | $21,400,000 |
Doral Financial Corporation | | | accounting fraud or deficiencies | 2006 | SEC | $25,000,000 |
American-Amicable Life Insurance Company of Texas, Pioneer American Insurance Company, and Pioneer Security Life Insurance Company | | | investor protection violation | 2006 | SEC | $10,000,000 |
Endocare, Inc. | | | accounting fraud or deficiencies | 2006 | SEC | $750,000 |
Lehman Brothers Inc. | | | investor protection violation | 2006 | SEC | $1,500,000 |
Deephaven Capital Management, LLC | | | insider trading | 2006 | SEC | $5,709,958 |
Zomax Inc. | | | insider trading | 2005 | SEC | $2,000,000 |
Capital Concept Marketing, Inc. | | | investor protection violation | 2005 | SEC | $580,000 |
PanaMed Corp. | | | investor protection violation | 2004 | SEC | $5,000 |
First Command Financial Planning, Inc. | | | investor protection violation | 2004 | SEC | $12,000,000 |
Beacon Hill Asset Management, LLC | | | investor protection violation | 2004 | SEC | $600,000 |
A.C.L.N. Ltd. and Scandinavian Car Carriers | | | investor protection violation | 2004 | SEC | $27,000,000 |
Bridgeway Capital Management | | | investor protection violation | 2004 | SEC | $5,116,464 |
Digital Exchange Systems, Inc. | | | accounting fraud or deficiencies | 2004 | SEC | $100,000 |
Kemps LLC, f/k/a Marigold Foods LLC | | | accounting fraud or deficiencies | 2004 | SEC | $150,000 |
National Institute Companies of America, Inc. | | | investor protection violation | 2004 | SEC | $1,600,000 |
ACI Inc. | | | investor protection violation | 2004 | SEC | $7,756,750 |
Van Wagoner Capital Management, Inc. | | | investor protection violation | 2004 | SEC | $800,000 |
Adams Harkness, Inc. f/k/a Adams Harkness & Hill, Inc. | | | investor protection violation | 2004 | SEC | $575,000 |
Needham & Company, Inc. | | | investor protection violation | 2004 | SEC | $700,000 |
Doeren Mayhew & Co. P.C. | | | accounting fraud or deficiencies | 2004 | SEC | $115,126 |
Global Telecom Services, L.L.C. d/b/a Medical Disposal Devices | | | investor protection violation | 2004 | SEC | $1,431,369 |
Measurement Specialties, Inc. | | | accounting fraud or deficiencies | 2004 | SEC | $1,000,000 |
Gemstar-TV Guide International, Inc. | | | accounting fraud or deficiencies | 2004 | SEC | $10,000,000 |
i2 Technologies, Inc. | | | accounting fraud or deficiencies | 2004 | SEC | $10,000,000 |
Del Global Technologies Corp., Inc. | | | accounting fraud or deficiencies | 2004 | SEC | $400,000 |
Premier Marketing and Investments, Inc. | | | investor protection violation | 2003 | SEC | $4,497,451 |
Gardere Wynne Sewell LLP | | | accounting fraud or deficiencies | 2003 | SEC | $2,000,000 |
Lehman Brothers Inc. | | | investor protection violation | 2003 | SEC | $80,000,000 |
North American Medical Products, Inc. | | | investor protection violation | 2003 | SEC | $120,000 |
Texon Energy Corp. and Lonestar Petroleum Corp. | | | investor protection violation | 2002 | SEC | $1,268,253 |
Moret Ernst & Young Accountants | | | accounting fraud or deficiencies | 2002 | SEC | $400,000 |
Advance Local Development Corp. | | | investor protection violation | 2002 | SEC | $9,509,736 |
Big Country AGS, Inc. d/b/a AGS, Inc. | | | investor protection violation | 2002 | SEC | $242,840 |
Financial Asset Management, Inc. | | | accounting fraud or deficiencies | 2002 | SEC | $25,000 |
World Financial & Investment Co., Inc. | | | investor protection violation | 2001 | SEC | $175,000 |
Arthur Andersen LLP | | | accounting fraud or deficiencies | 2001 | SEC | $7,000,000 |
Yes Entertainment, LLC | | | investor protection violation | 2000 | SEC | $14,546,808 |
EquityAlert.com, Inc. | | | investor protection violation | 2000 | SEC | $20,000 |
Chemical Trust, U.S. Guarantee Corp., and United Marketing Trust | | | investor protection violation | 2000 | SEC | $20,590,000 |
JW Charles Financial Services, Inc. | | | investor protection violation | 2000 | SEC | $20,000 |
Liberty Capital Group, Inc. | | | investor protection violation | 2000 | SEC | $35,000 |
Sigue Corporation and Sigue LLC | | | anti-money-laundering deficiencies | 2008 | FINCEN | $12,000,000 |
Deprez?s Quality Jewelry and Loans, Inc. | | | anti-money-laundering deficiencies | 2006 | FINCEN | $25,000 |
Frosty Food Mart | | | anti-money-laundering deficiencies | 2006 | FINCEN | $10,000 |
Tonkawa Tribe | | | anti-money-laundering deficiencies | 2006 | FINCEN | $1,000,000 |
International Monetary Metals, Inc. | | | investor protection violation | 2016 | CFTC | $9,800,000 |
My Global Leverage, LLC | | | investor protection violation | 2016 | CFTC | $1,465,528 |
Advanced Trading Workshop, Inc. | | | investor protection violation | 2016 | CFTC | $940,000 |
Angus Partners LLC | | | investor protection violation | 2016 | CFTC | $250,000 |
The Yorkshire Group, Inc. | | | investor protection violation | 2016 | CFTC | $1,569,801 |
IB Capital FX, LLC | | | investor protection violation | 2016 | CFTC | $35,420,000 |
PanAmerican Seed Company | | | economic sanction violation | 2016 | OFAC | $4,320,000 |
World Class Technology Corporation | | | economic sanction violation | 2016 | OFAC | $43,200 |
Robert W. Baird & Co. | | | investor protection violation | 2016 | SEC | $250,000 |
Portugal Telecom SGPS S.A. | | | accounting fraud or deficiencies | 2016 | SEC | $125,000 |
Orrstown Financial Services, Inc. | | | accounting fraud or deficiencies | 2016 | SEC | $1,000,000 |
Forcerank LLC | | | investor protection violation | 2016 | SEC | $50,000 |
Lime Energy Co. | | | accounting fraud or deficiencies | 2016 | SEC | $1,000,000 |
Powersecure International, Inc. | | | accounting fraud or deficiencies | 2016 | SEC | $470,000 |
Pacific Investment Management Company (PIMCO) | | | investor protection violation | 2016 | SEC | $19,829,807 |
CG Technology, L.P. dba Cantor Gaming | | | anti-money-laundering deficiencies | 2016 | FINCEN | $12,000,000 |
Adams Capital Management | | | investor protection violation | 2017 | SEC | $45,000 |
Aisling Capital | | | investor protection violation | 2017 | SEC | $70,456 |
Alta Communications | | | investor protection violation | 2017 | SEC | $35,000 |
Commonwealth Venture Management Corporation | | | investor protection violation | 2017 | SEC | $75,000 |
Cypress Advisors | | | investor protection violation | 2017 | SEC | $35,000 |
FFL Partners | | | investor protection violation | 2017 | SEC | $75,000 |
Lime Rock Management | | | investor protection violation | 2017 | SEC | $75,000 |
NGN Capital | | | investor protection violation | 2017 | SEC | $100,000 |
Pershing Square Capital Management | | | investor protection violation | 2017 | SEC | $75,000 |
The Banc Funds Company | | | investor protection violation | 2017 | SEC | $75,000 |