ASI Capital, LLC et al. | | | investor protection violation | 2020 | MI-SEC | $5,000 |
FSC Securities Corp. | | | investor protection violation | 2000 | MN-FIN | $5,000 |
American Express Financial Advisors, Inc. | Ameriprise Financial | financial services | investor protection violation | 2002 | MN-FIN | $5,000 |
CGF Securities, LLC | | | investor protection violation | 2003 | MN-FIN | $5,000 |
Thomas G. Grace Advisors | | | investor protection violation | 2008 | MN-FIN | $5,000 |
Cherokee Gas Systems, Inc. | | | investor protection violation | 2009 | MN-FIN | $5,000 |
ING Financial Partners, Inc. | Voya Financial | financial services | investor protection violation | 2012 | MN-FIN | $5,000 |
Revelle Resources, Inc. | | | investor protection violation | 2012 | MN-FIN | $5,000 |
Strive Financial Group LLC and Wealth Security Firm LLC | | | investor protection violation | 2013 | MN-FIN | $5,000 |
Life Organic Holdings, Inc. | | | investor protection violation | 2017 | MN-FIN | $5,000 |
Bakken Workforce Housing, L.L.C. | | | investor protection violation | 2017 | MN-FIN | $5,000 |
American Blast Systems, Inc. | | | investor protection violation | 2017 | MN-FIN | $5,000 |
Vertical Securities, LLC and Vertical Group, LLC | | | investor protection violation | 2005 | MO-SEC | $5,000 |
R.M. Duncan Securities, Inc. | | | investor protection violation | 2005 | MO-SEC | $5,000 |
Easterday Exploration, Inc. | | | investor protection violation | 2006 | MO-SEC | $5,000 |
Omni Media & Entertainment, Inc. | | | investor protection violation | 2006 | MO-SEC | $5,000 |
Robert Olsen, P.C. | | | investor protection violation | 2007 | MO-SEC | $5,000 |
Strand, Atkinson, Williams & York, Inc. | | | investor protection violation | 2007 | MO-SEC | $5,000 |
Aisle 411, Inc. | | | investor protection violation | 2009 | MO-SEC | $5,000 |
Boulder Wealth Management, LLC | | | investor protection violation | 2010 | MO-SEC | $5,000 |
MFA Incorporated | | | investor protection violation | 2011 | MO-SEC | $5,000 |
Capital Management Services, Inc. | | | investor protection violation | 2011 | MO-SEC | $5,000 |
Berthel Fisher & Company Financial Services, Inc. | Berthel Fisher | financial services | investor protection violation | 2011 | MO-SEC | $5,000 |
Guidepost Financial Limited Liability Company | | | investor protection violation | 2011 | MO-SEC | $5,000 |
Blackbay Capital Advisors | | | investor protection violation | 2012 | MO-SEC | $5,000 |
Valuepoint Partners, Inc. | | | investor protection violation | 2012 | MO-SEC | $5,000 |
WealthCare, LLC | | | investor protection violation | 2016 | MO-SEC | $5,000 |
Personal Financial Group | | | investor protection violation | 2017 | MO-SEC | $5,000 |
Williamson Poultry Farms, Inc. | | | investor protection violation | 2002 | MS-SEC | $5,000 |
American Wealth Management, Inc. | | | investor protection violation | 2017 | MS-SEC | $5,000 |
MDM Energy | | | investor protection violation | 2007 | MT-FIN | $5,000 |
Royal Alliance Associates, Inc. | Reverence Capital Partners | private equity (including portfolio companies) | investor protection violation | 2007 | MT-FIN | $5,000 |
Rothschild Investment Corp. | | | investor protection violation | 2008 | MT-FIN | $5,000 |
NEXT Financial Group, Inc. | Atria Wealth Solutions | financial services | investor protection violation | 2010 | MT-FIN | $5,000 |
Loveless Wealth management, LLC | | | investor protection violation | 2011 | MT-FIN | $5,000 |
Metlife Investors USA Insurance Co | MetLife | financial services | investor protection violation | 2012 | MT-FIN | $5,000 |
Delano & Morgenroth Investment Advisors, LLC | | | investor protection violation | 2013 | MT-FIN | $5,000 |
Close to My Heart, Inc. | | | investor protection violation | 2014 | MT-FIN | $5,000 |
Kannaway, LLC | | | investor protection violation | 2014 | MT-FIN | $5,000 |
Seacret Direct, LLC | | | investor protection violation | 2014 | MT-FIN | $5,000 |
Nutrie, LLC | | | investor protection violation | 2014 | MT-FIN | $5,000 |
Lawson Financial Corp. | | | investor protection violation | 2015 | MT-FIN | $5,000 |
Halen Capital | | | investor protection violation | 2017 | MT-FIN | $5,000 |
The Source | | | investor protection violation | 2020 | NC-SEC | $5,000 |
Baxter, Banks & Smith Ltd. | | | investor protection violation | 2000 | ND-SEC | $5,000 |
Bison Capital Inc. | | | investor protection violation | 2001 | ND-SEC | $5,000 |
BrokerageAmerica Inc. | | | investor protection violation | 2001 | ND-SEC | $5,000 |
MDVIP Inc. | | | investor protection violation | 2003 | ND-SEC | $5,000 |
CGF Securities LLC | | | investor protection violation | 2003 | ND-SEC | $5,000 |
D & M Capital, LLC and Associated Financial Services, Inc. | | | investor protection violation | 2004 | ND-SEC | $5,000 |
Third Ridge Capital LP | | | investor protection violation | 2005 | ND-SEC | $5,000 |
Berthel, Fisher & Company Financial Services, Inc. | Berthel Fisher | financial services | investor protection violation | 2007 | NE-DBF | $5,000 |
III to I Emerging Market Partners Real Estate Investment Fund I, LP | | | investor protection violation | 2013 | NH-BSR | $5,000 |
III to I Maritime Partners Cayman I, L.P. | | | investor protection violation | 2013 | NH-BSR | $5,000 |
ACL Alternative Fund Limited | | | investor protection violation | 2013 | NH-BSR | $5,000 |
Johnston Capital Partners Fund I L.P. | | | investor protection violation | 2013 | NH-BSR | $5,000 |
Halliday Financial | | | investor protection violation | 2015 | NH-BSR | $5,000 |
Profile Club Inc. | | | investor protection violation | 2015 | NH-BSR | $5,000 |
Blackbook Capital, LLC | | | investor protection violation | 2016 | NH-BSR | $5,000 |
Hanover Consumer Cooperative Society, Inc. | | | investor protection violation | 2016 | NH-BSR | $5,000 |
Richard A. Norkun & Associates, LLC | | | investor protection violation | 2017 | NH-BSR | $5,000 |
Alternative Asset Management Securities, LLC | | | investor protection violation | 2017 | NH-BSR | $5,000 |
Windsor Street Capital, LP | | | investor protection violation | 2018 | NH-BSR | $5,000 |
Renaissance Institutional Management | | | investor protection violation | 2018 | NH-BSR | $5,000 |
Alight Financial Solutions, LLC | | | investor protection violation | 2019 | NH-BSR | $5,000 |
White Birch Brewing LLC | | | investor protection violation | 2020 | NH-BSR | $5,000 |
Chinese American Bank | | | banking violation | 2004 | NY-DFS | $5,000 |
T.S. Phillips Investment Inc. | | | investor protection violation | 2010 | OK-SEC | $5,000 |
RAF Operating LLC | | | investor protection violation | 2013 | OK-SEC | $5,000 |
Pentecost Capital Management Inc. | | | investor protection violation | 2015 | OK-SEC | $5,000 |
E.J. Sterling LLC | | | investor protection violation | 2015 | OK-SEC | $5,000 |
Wilshire-Pennington Group Inc. | | | investor protection violation | 2019 | OK-SEC | $5,000 |
American Family Legacy Group LLC | | | investor protection violation | 2019 | OK-SEC | $5,000 |
Laser Vision Technologies Inc. | | | investor protection violation | 2000 | OR-FIN | $5,000 |
Prosper Trust | | | investor protection violation | 2000 | OR-FIN | $5,000 |
Energy Group International Inc. | | | investor protection violation | 2001 | OR-FIN | $5,000 |
DR Thaut Inc. dba First Security Financial | | | investor protection violation | 2003 | OR-FIN | $5,000 |
First Liberty Financial | | | investor protection violation | 2005 | OR-FIN | $5,000 |
Eurotrust LLC | | | banking violation | 2006 | OR-FIN | $5,000 |
Gigapix Studios Inc. | | | investor protection violation | 2008 | OR-FIN | $5,000 |
Treasure Heart Financial Counseling | | | investor protection violation | 2011 | OR-FIN | $5,000 |
Cutler Investment Counsel, LLC | | | investor protection violation | 2011 | OR-FIN | $5,000 |
Eljay Investment Company | | | investor protection violation | 2012 | OR-FIN | $5,000 |
Castle Advisers, LLC | | | investor protection violation | 2012 | OR-FIN | $5,000 |
Freeman Capital Management, LLC | | | investor protection violation | 2012 | OR-FIN | $5,000 |
Lincoln Highlands Limited Partnership | | | investor protection violation | 2012 | OR-FIN | $5,000 |
Catalyst Financial Resources, LLC | | | investor protection violation | 2013 | OR-FIN | $5,000 |
Avalon Investment & Securities Group, Inc. | | | investor protection violation | 2013 | OR-FIN | $5,000 |
Smith Rock Race Group, LLC | | | investor protection violation | 2014 | OR-FIN | $5,000 |
Thorne Trading & Investment Management | | | investor protection violation | 2014 | OR-FIN | $5,000 |
Business Development Corporation of America | | | investor protection violation | 2016 | OR-FIN | $5,000 |
CW Group LLC | | | investor protection violation | 2019 | OR-FIN | $5,000 |
McGervey Wealth Management LLC | | | investor protection violation | 2013 | PA-BKG | $5,000 |
Bryan Funding Inc. | | | investor protection violation | 2016 | PA-BKG | $5,000 |
Cobble Creek Group LLC | | | investor protection violation | 2016 | PA-BKG | $5,000 |
Elish & Elish Inc. | | | investor protection violation | 2017 | PA-BKG | $5,000 |
A. Neff Associates | | | investor protection violation | 2017 | PA-BKG | $5,000 |
GJO Financial | | | investor protection violation | 2017 | PA-BKG | $5,000 |
Apollo18 LLC | | | investor protection violation | 2018 | PA-BKG | $5,000 |
Iron Valley Wealth Management LLC | | | investor protection violation | 2019 | PA-BKG | $5,000 |
RCM Securities a/k/a SNC Capital Management Corporation | | | investor protection violation | 2019 | PA-BKG | $5,000 |