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 |
UBS | UBS | financial services | banking violation | 2023 | TX-AG | $850,000 |
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 |
STIFEL, NICOLAUS & COMPANY, INC. | Stifel Financial | financial services | investor protection violation | 2023 | MA-SEC | $2,500,000 |
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 |
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 |
RBC Capital Markets, LLC | Royal Bank of Canada | financial services | investor protection violation | 2023 | VA-SEC | $11,000 |
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 |
Coinbase, Inc. | Coinbase Global Inc. | financial services | investor protection violation | 2023 | NJ-AG | $5,000,000 |
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 |
MUFG Union Bank, National Association | U.S. Bancorp | financial services | banking violation | 2023 | OCC | $15,000,000 |
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 |
Merrill Lynch, Pierce, Fenner & Smith Inc. | Bank of America | financial services | anti-money-laundering deficiencies | 2023 | FINRA | $6,000,000 |
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 |
Merrill Lynch, Pierce, Fenner & Smith Incorporated | Bank of America | financial services | anti-money-laundering deficiencies | 2023 | SEC | $6,000,000 |
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 |
Fifth Third Securities, Inc. | Fifth Third Bancorp | financial services | investor protection violation | 2023 | SEC | $709,971 |
Cantor Fitzgerald & Co. | Cantor Fitzgerald | financial services | investor protection violation | 2023 | SEC | $1,400,000 |
Benecke Economics | | | investor protection violation | 2023 | SEC | $60,000 |
J.P. Morgan Securities LLC | JPMorgan Chase | financial services | investor protection violation | 2023 | SEC | $4,000,000 |
UBS Group AG | UBS | financial services | banking violation | 2023 | FED | $268,500,000 |
Lear Capital | | | investor protection violation | 2023 | SC-AG | $5,500,000 |
Bryant Capital Trade Management Corporation | | | investor protection violation | 2023 | CFTC | $250,655 |
Wedbush Securities Inc. | Wedbush Securities | financial services | investor protection violation | 2023 | CFTC | $6,000,000 |
BNP Paribas | BNP Paribas | financial services | investor protection violation | 2023 | CFTC | $75,000,000 |
Societe Generale | Societe Generale | financial services | investor protection violation | 2023 | CFTC | $75,000,000 |
Wells Fargo | Wells Fargo | financial services | investor protection violation | 2023 | CFTC | $75,000,000 |
Bank of Montreal | Bank of Montreal | financial services | investor protection violation | 2023 | CFTC | $35,000,000 |
Bluprint LLC | | | investor protection violation | 2023 | CFTC | $8,863,753 |
American Express National Bank | American Express | financial services | banking violation | 2023 | OCC | $15,000,000 |
Construction Specialties Inc. | | | economic sanction violation | 2023 | OFAC | $660,954 |
BDO Taiwan | BDO International | business services | accounting fraud or deficiencies | 2023 | PCAOB | $35,000 |
Blue & Co., LLC | | | accounting fraud or deficiencies | 2023 | PCAOB | $75,000 |
Ciro E. Adams, CPA, LLC | | | accounting fraud or deficiencies | 2023 | PCAOB | $40,000 |
Jendrach Accounting and Professional Services | | | accounting fraud or deficiencies | 2023 | PCAOB | $25,000 |
K G Somani & Co. LLP | | | accounting fraud or deficiencies | 2023 | PCAOB | $125,000 |
Moore MSLL Lima Lucchesi Auditores e Contadores Ltda. | | | accounting fraud or deficiencies | 2023 | PCAOB | $25,000 |
RAM Associates & Company LLC | | | accounting fraud or deficiencies | 2023 | PCAOB | $150,000 |
AJ Robbins CPA, LLC | | | accounting fraud or deficiencies | 2023 | PCAOB | $150,000 |
BPM LLP | | | accounting fraud or deficiencies | 2023 | PCAOB | $50,000 |
Mancera, S.C. | | | accounting fraud or deficiencies | 2023 | PCAOB | $40,000 |
MSPC Certified Public Accountants and Advisors, A Professional Corporation | | | accounting fraud or deficiencies | 2023 | PCAOB | $30,000 |
Plante & Moran, PLLC | | | accounting fraud or deficiencies | 2023 | PCAOB | $40,000 |
Crowe U.K. LLP | | | accounting fraud or deficiencies | 2023 | SEC | $750,000 |
Bittrex Inc. et al. | | | investor protection violation | 2023 | SEC | $24,000,000 |
Wells Fargo Securities, LLC et al. | Wells Fargo | financial services | investor protection violation | 2023 | SEC | $125,000,000 |