Wells Fargo Securities, LLC et al. | Wells Fargo | financial services | investor protection violation | 2023 | SEC | $125,000,000 |
BNP Paribas Securities Corp. | BNP Paribas | financial services | investor protection violation | 2023 | SEC | $35,000,000 |
SG Americas Securities, LLC | Societe Generale | financial services | investor protection violation | 2023 | SEC | $35,000,000 |
BMO Capital Markets Corp | Bank of Montreal | financial services | investor protection violation | 2023 | SEC | $25,000,000 |
Mizuho Securities USA LLC | Mizuho Financial | financial services | investor protection violation | 2023 | SEC | $25,000,000 |
Houlihan Lokey Capital, Inc. | | | investor protection violation | 2023 | SEC | $15,000,000 |
Moelis & Company LLC | | | investor protection violation | 2023 | SEC | $10,000,000 |
Wedbush Securities Inc. | Wedbush Securities | financial services | investor protection violation | 2023 | SEC | $10,000,000 |
SMBC Nikko Securities America, Inc. | Sumitomo Group | diversified | investor protection violation | 2023 | SEC | $9,000,000 |
Theorem Fund Services LLC | | | investor protection violation | 2023 | SEC | $122,271 |
Exchange Traded Managers Group LLC | | | investor protection violation | 2023 | SEC | $4,000,000 |
Vika Ventures LLC | | | investor protection violation | 2023 | SEC | $8,929,120 |
Ustocktrade LLC | | | investor protection violation | 2023 | SEC | $75,000 |
Summitcrest Capital, Inc. | | | investor protection violation | 2023 | SEC | $23,181,761 |
Valo Holdings Group | | | investor protection violation | 2023 | SEC | $668,240 |
DST Asset Manager Solutions, Inc. | | | investor protection violation | 2023 | SEC | $500,000 |
Malvern Bancorp, Inc. | | | investor protection violation | 2023 | SEC | $350,000 |
Ault Alliance, Inc. | | | investor protection violation | 2023 | SEC | $700,000 |
Sica Wealth Management, LLC and Circle Squared Alternative Investments, LLC | | | investor protection violation | 2023 | SEC | $584,333 |
Canoo Inc. | Canoo Inc. | motor vehicles | investor protection violation | 2023 | SEC | $1,500,000 |
Allied Wine Corp. | | | tax violations | 2023 | ATTTB | $55,000 |
Shacksbury Holdings Inc. | | | tax violations | 2023 | ATTTB | $68,631 |
Cutwater Spirits, LLC | | | tax violations | 2023 | ATTTB | $169,850 |
Signature Selections, LLC | | | tax violations | 2023 | ATTTB | $90,000 |
Park Street Imports, LLC | | | tax violations | 2023 | ATTTB | $350,000 |
Financial Leverage LLC et al. | | | investor protection violation | 2023 | AZ-CC | $4,879,122 |
FXPIPSESSION, LLC | | | investor protection violation | 2023 | AZ-CC | $120,004 |
Atwood Consortium LLC | | | investor protection violation | 2023 | CA-DFPI | $5,000 |
Stock Option Academy dba Stock Option Coach | | | investor protection violation | 2023 | CA-DFPI | $435,000 |
Deridex, Inc. | | | investor protection violation | 2023 | CFTC | $100,000 |
Mirror Trading International Proprietary Limited | | | investor protection violation | 2023 | CFTC | $1,700,000,000 |
Opyn, Inc. | | | investor protection violation | 2023 | CFTC | $250,000 |
ZeroEx, Inc. | | | investor protection violation | 2023 | CFTC | $200,000 |
BareIt Media LLC | | | investor protection violation | 2023 | CFTC | $100,000 |
Goldman Sachs & Co. | Goldman Sachs | financial services | investor protection violation | 2023 | CFTC | $5,500,000 |
Blackstone Wealth Solutions LLC | | | investor protection violation | 2023 | CT-SEC | $100,000 |
Blackstone Wealth Solutions LLC | | | investor protection violation | 2023 | CT-SEC | $335,000 |
Parnassus Funds and Parnassus Income Funds | | | investor protection violation | 2023 | CT-SEC | $8,500 |
Black Diamond Lifeplan Fund et al. | | | investor protection violation | 2023 | CT-SEC | $15,000 |
Clipper Capital Group LLC and T&T Capital Partners LLC | | | investor protection violation | 2023 | CT-SEC | $10,000 |
Greenfield Financial Services, LLC | | | investor protection violation | 2023 | CT-SEC | $10,000 |
First Fed Bank | | | banking violation | 2023 | FDIC | $13,000 |
Regions Bank | Regions Financial | financial services | banking violation | 2023 | FED | $2,950,000 |
Leviathan Financial Management Corp and 323 HOLDINGS LLC | | | investor protection violation | 2023 | IN-SEC | $192,400 |
WEALTH PLANNING & MANAGEMENT, LLC | | | investor protection violation | 2023 | IN-SEC | $6,568 |
Suez Rajan Limited | | | economic sanction violation | 2023 | DOJ_NATSEC | $2,500,000 |
USA Financial Securities Corporation | | | investor protection violation | 2023 | ME-SEC | $5,000 |
IBN Financial Services Inc. | | | investor protection violation | 2023 | ME-SEC | $7,500 |
Cubic Pye Capital Management Inc. | | | investor protection violation | 2023 | ME-SEC | $16,548 |
Camara Enterprises LLC | | | investor protection violation | 2023 | MD-SEC | $300,000 |
Snows Acquisition, LLC | | | investor protection violation | 2023 | MA-SEC | $50,000 |
FINANCIAL PRODUCT DISTRIBUTORS, LLC | | | investor protection violation | 2023 | MI-SEC | $20,000 |
PAYMENT SERVICING GROUP | | | investor protection violation | 2023 | MI-SEC | $20,000 |
UPSTATE LAW GROUP, LLC | | | investor protection violation | 2023 | MI-SEC | $20,000 |
BAYTREE CAPITAL AMA LLC | | | investor protection violation | 2023 | MI-SEC | $30,000 |
AACHEN AUTO K E B INC dba TFN GROUP INC dba ITSONLY5COM | | | investor protection violation | 2023 | MI-SEC | $10,000 |
BATES INVESTMENT GROUP, LLC | | | investor protection violation | 2023 | MI-SEC | $30,000 |
Raymond James & Associates, Inc. | Raymond James Financial | financial services | investor protection violation | 2023 | MO-SEC | $150,000 |
H & Z Enterprises HI, LLC and H & Z Cultivation, LLC | | | investor protection violation | 2023 | MO-SEC | $100,000 |
Priority Management, LLC | | | investor protection violation | 2023 | MO-SEC | $43,250 |
Raymond James & Associates, Inc. et al. | Raymond James Financial | financial services | investor protection violation | 2023 | MULTI-FIN | $12,450,000 |
Hybrid Capital Group et al. | | | investor protection violation | 2023 | NH-BSR | $784,966 |
Ireland & Sando LLC | | | investor protection violation | 2023 | ND-SEC | $59,250 |
Womack Investment Advisers, Inc. | | | investor protection violation | 2023 | OK-SEC | $200,000 |
Greenbacker Renewable Energy Company, LLC | | | investor protection violation | 2023 | OR-FIN | $20,000 |
Bunsunad, LLC | | | investor protection violation | 2023 | OR-FIN | $43,000 |
LPL Financial, LLC | LPL Financial | financial services | investor protection violation | 2023 | PA-BKG | $190,000 |
Lansing Street Advisors, LLC | | | investor protection violation | 2023 | PA-BKG | $100,000 |
Megaannum Capital, LLC | | | investor protection violation | 2023 | PA-BKG | $20,000 |
WDC Advisors, LLC | | | investor protection violation | 2023 | PA-BKG | $50,000 |
TT Capital Management | | | investor protection violation | 2023 | PA-BKG | $30,000 |
K.R. Margetson Ltd | | | accounting fraud or deficiencies | 2023 | PCAOB | $30,000 |
Warren Averett, LLC | | | accounting fraud or deficiencies | 2023 | PCAOB | $200,000 |
GlennCap LLC | | | investor protection violation | 2023 | SEC | $3,000,000 |
Artemis Wealth Advisors, LLC | | | investor protection violation | 2023 | SEC | $150,000 |
Stoner Cats 2 LLC | | | investor protection violation | 2023 | SEC | $1,000,000 |
True Capital Management, LLC | | | investor protection violation | 2023 | SEC | $821,793 |
YieldStreet Inc. | | | investor protection violation | 2023 | SEC | $1,900,000 |
Banorte Asset Management Inc. | | | investor protection violation | 2023 | SEC | $50,000 |
BTS Asset Management Inc. | | | investor protection violation | 2023 | SEC | $135,000 |
Elm Partners Management LLC | | | investor protection violation | 2023 | SEC | $175,000 |
Hansen and Associates Financial Group Inc | | | investor protection violation | 2023 | SEC | $50,000 |
Linden Thomas Advisory Services LLC | | | investor protection violation | 2023 | SEC | $135,000 |
Macroclimate LLC | | | investor protection violation | 2023 | SEC | $100,000 |
Maximus, Inc. | Maximus | miscellaneous services | investor protection violation | 2023 | SEC | $500,000 |
McElhenny Sheffield Capital Management LLC | | | investor protection violation | 2023 | SEC | $60,000 |
Mortgage Industry Advisory Corporation | | | investor protection violation | 2023 | SEC | $100,000 |
MRA Advisory Group | | | investor protection violation | 2023 | SEC | $85,000 |
Simplex Trading, LLC | | | investor protection violation | 2023 | SEC | $200,000 |
Trowbridge Capital Partners LLC | | | investor protection violation | 2023 | SEC | $60,000 |
Fluor Corporation | Fluor | construction and engineering | accounting fraud or deficiencies | 2023 | SEC | $14,500,000 |
Apex Financial Advisors Inc. | | | investor protection violation | 2023 | SEC | $130,000 |
Bluestone Capital Management LLC | | | investor protection violation | 2023 | SEC | $75,000 |
Disruptive Technology Advisers LLC | | | investor protection violation | 2023 | SEC | $225,000 |
Lloyd George Management (HK) Limited | | | investor protection violation | 2023 | SEC | $50,000 |
Prime Group Holdings LLC | | | investor protection violation | 2023 | SEC | $20,500,000 |
The Eideard Group, LLC | | | investor protection violation | 2023 | SEC | $80,000 |
SQN Capital Management, LLC | | | investor protection violation | 2023 | SEC | $200,000 |
Plug Power Inc. | Plug Power Inc. | utilities and power generation | investor protection violation | 2023 | SEC | $1,250,000 |
Archipelago Trading Services Inc. | | | investor protection violation | 2023 | SEC | $1,500,000 |
Bittrex Inc. | | | investor protection violation | 2023 | SEC | $24,000,000 |