BLUE LIGHTNING ENTERPRISES INC. | | | investor protection violation | 2015 | VA-SEC | $5,000 |
WELLS FARGO ADVISORS | Wells Fargo | financial services | investor protection violation | 2015 | VA-SEC | $205,000 |
HOCOA Franchising Co., LLC | | | investor protection violation | 2015 | VA-SEC | $12,000 |
G4i Capital Partners, Inc. | | | investor protection violation | 2015 | VA-SEC | $160,000 |
911 RESTORATION FRANCHISE, INC | | | investor protection violation | 2015 | VA-SEC | $7,000 |
NEXT FINANCIAL GROUP, INC. | Atria Wealth Solutions | financial services | investor protection violation | 2015 | VA-SEC | $18,000 |
Goldberg Financial, LLC | | | investor protection violation | 2015 | VA-SEC | $12,000 |
GLOBAL RETAILERS, LLC | | | investor protection violation | 2015 | VA-SEC | $15,000 |
FULCRUM SECURITIES, LLC | | | investor protection violation | 2016 | VA-SEC | $91,954 |
CI FRANCHISE COMPANY, LLC | | | investor protection violation | 2016 | VA-SEC | $65,000 |
AMERIPRISE FINANCIAL SERVICES, INC. | Ameriprise Financial | financial services | investor protection violation | 2016 | VA-SEC | $14,000 |
CHRISTIAN WEALTH MANAGEMENT, LLC | | | investor protection violation | 2016 | VA-SEC | $60,000 |
Key West Yogurt International, Inc. | | | investor protection violation | 2016 | VA-SEC | $547,750 |
Merrill Lynch, Pierce, Fenner & Smith, Inc. | Bank of America | financial services | investor protection violation | 2016 | VA-SEC | $11,500 |
BFK FRANCHISE COMPANY, LLC | | | investor protection violation | 2016 | VA-SEC | $35,500 |
Bambu IP, LLC, Bambu Desserts & Drinks, Inc. | | | investor protection violation | 2016 | VA-SEC | $84,500 |
Vasilios Community Development Corporation | | | investor protection violation | 2016 | VA-SEC | $250,000 |
YOFRESH YOGURTS FRANCHISING, INC. | | | investor protection violation | 2016 | VA-SEC | $205,000 |
DIVERSIFIED REAL ESTATE HOLDING LLC | | | investor protection violation | 2016 | VA-SEC | $10,000 |
PRESTON WEALTH ADVISORS, LLC | | | investor protection violation | 2016 | VA-SEC | $10,000 |
SKRIMP SHACK, LLC | | | investor protection violation | 2016 | VA-SEC | $15,500 |
Pelican's Snoballs VA LLC | | | investor protection violation | 2016 | VA-SEC | $15,000 |
Megadance USA Corp | | | investor protection violation | 2017 | VA-SEC | $7,500 |
PAWS & REMEMBER LLC | | | investor protection violation | 2017 | VA-SEC | $5,000 |
AMAZING FINISH, LLC | | | investor protection violation | 2017 | VA-SEC | $5,000 |
EXPANSION INDUSTRIES, LLC | | | investor protection violation | 2017 | VA-SEC | $22,000 |
MAXIMIZED LIVING HEALTH CENTERS LLC | | | investor protection violation | 2017 | VA-SEC | $35,000 |
KLINE FRANCHISING, INC. | | | investor protection violation | 2017 | VA-SEC | $19,000 |
NEXT FINANCIAL GROUP, INC. | Atria Wealth Solutions | financial services | investor protection violation | 2017 | VA-SEC | $60,000 |
Montessori School Franchising, LLC | | | investor protection violation | 2017 | VA-SEC | $15,000 |
BRIDGETOWN FRAGRANCES, INC. | | | investor protection violation | 2017 | VA-SEC | $5,000 |
Sugar Shack Donuts, LLC | | | investor protection violation | 2017 | VA-SEC | $8,000 |
CRITTER CONTROL INC. | Rollins Inc. | miscellaneous services | investor protection violation | 2018 | VA-SEC | $23,500 |
BLOOP FROZEN YOGURT, LLC | | | investor protection violation | 2018 | VA-SEC | $45,000 |
COMMUNICLIQUE, INC. | | | investor protection violation | 2018 | VA-SEC | $10,980,923 |
DAVI NAILS SALON AND SPA, LLC | | | investor protection violation | 2018 | VA-SEC | $21,000 |
LINCOLN FINANCIAL SECURITIES | Lincoln National | financial services | investor protection violation | 2018 | VA-SEC | $20,000 |
LARADA SCIENCES, INC. | | | investor protection violation | 2018 | VA-SEC | $15,500 |
37th Parallel Properties Investment Group, LLC | | | investor protection violation | 2018 | VA-SEC | $18,000 |
WINGS TO GO, INC. | | | investor protection violation | 2018 | VA-SEC | $7,500 |
BELLA BALLERINA FRANCHISING | | | investor protection violation | 2018 | VA-SEC | $6,500 |
RESULTS AUCTION, LLC | | | investor protection violation | 2018 | VA-SEC | $79,255 |
UBS Financial Services Inc. | UBS | financial services | investor protection violation | 2019 | VA-SEC | $288,970 |
Lombard Advisers, Inc. | | | investor protection violation | 2019 | VA-SEC | $45,000 |
Downunder Horsemanship Franchising, LLC | | | investor protection violation | 2019 | VA-SEC | $6,000 |
Hartquist & Noblet, LLC | | | investor protection violation | 2019 | VA-SEC | $53,220 |
Moonlighting, Inc. | | | investor protection violation | 2019 | VA-SEC | $7,000 |
Biery, LLC d/b/a Madsen Donuts | | | investor protection violation | 2019 | VA-SEC | $27,000 |
Harvest Financial Group, LLC | | | investor protection violation | 2019 | VA-SEC | $7,500 |
World Trend Financial Planning Services, Ltd | | | investor protection violation | 2019 | VA-SEC | $40,000 |
SuperGlass Windshield Repair, Inc. | | | investor protection violation | 2019 | VA-SEC | $86,667 |
360 Tour Designs & Marketing, LLC | | | investor protection violation | 2019 | VA-SEC | $6,000 |
Iron Valley Real Estate, LLC | | | investor protection violation | 2019 | VA-SEC | $8,000 |
Clear Sky Financial, LLC | | | investor protection violation | 2019 | VA-SEC | $6,000 |
Dental Fix Rx, LLC | | | investor protection violation | 2019 | VA-SEC | $17,000 |
Slagel Investment Management | | | investor protection violation | 2019 | VA-SEC | $7,500 |
Lionsgate Investments, Incorporated | | | investor protection violation | 2019 | VA-SEC | $285,786 |
McLawhorn Financial Advisors, Inc. | | | investor protection violation | 2019 | VA-SEC | $13,000 |
Solium Financial Services LLC | Morgan Stanley | financial services | investor protection violation | 2019 | VA-SEC | $10,000 |
WealthForge Securities, LLC and WealthForge Holdings, Inc. | | | investor protection violation | 2020 | VA-SEC | $50,000 |
Reye Partners Asset Management, LLC | | | investor protection violation | 2020 | VA-SEC | $6,000 |
HealthSource Chiropractic, Inc. | | | investor protection violation | 2020 | VA-SEC | $89,000 |
My Choice Hair, LLC | | | investor protection violation | 2020 | VA-SEC | $7,000 |
Capitol Securities Management, Inc. | | | investor protection violation | 2020 | VA-SEC | $100,000 |
SNC Capital Management Corporation d/b/a RCM Securities | | | investor protection violation | 2020 | VA-SEC | $5,000 |
Best Western International, Inc. | | | investor protection violation | 2020 | VA-SEC | $13,000 |
Master Networks, LLC | | | investor protection violation | 2020 | VA-SEC | $8,000 |
Skrimp Shack LLC | | | investor protection violation | 2020 | VA-SEC | $25,000 |
Next Financial Group, Inc. | Atria Wealth Solutions | financial services | investor protection violation | 2020 | VA-SEC | $5,000 |
Liberty Roe Capital LLC | | | investor protection violation | 2020 | VA-SEC | $8,000 |
Savannah Solar International, Inc. and Savannah Solar International, LLC | | | investor protection violation | 2021 | VA-SEC | $61,611 |
Strategic Wealth Partners, LLC | | | investor protection violation | 2021 | VA-SEC | $20,000 |
Cornerstone Asset Management, Inc. | | | investor protection violation | 2020 | VA-SEC | $19,500 |
Securities America, Inc. | Reverence Capital Partners | private equity (including portfolio companies) | investor protection violation | 2021 | VA-SEC | $25,000 |
BDT & Associates, Inc. | | | investor protection violation | 2021 | VA-SEC | $11,000 |
First Command Advisory Services, Inc. | | | investor protection violation | 2021 | VA-SEC | $20,500 |
F.C. Franchising Systems, Inc. d/b/a Fresh Coat | | | investor protection violation | 2021 | VA-SEC | $8,000 |
360 Painting, LLC | | | investor protection violation | 2021 | VA-SEC | $11,000 |
U.S. Data Mining Group, Inc. | | | investor protection violation | 2021 | VA-SEC | $6,000 |
RBC Capital Markets, LLC | Royal Bank of Canada | financial services | investor protection violation | 2021 | VA-SEC | $10,000 |
Aptus Financial, LLC | | | investor protection violation | 2022 | VA-SEC | $6,000 |
Eagle Strategies LLC | | | investor protection violation | 2022 | VA-SEC | $7,000 |
R2 Advisors, P.C. and M2 Advisors, Inc. | | | investor protection violation | 2022 | VA-SEC | $5,000 |
Independent Financial Planning, LLC | | | investor protection violation | 2022 | VA-SEC | $19,500 |
Permanens Capital L.P. | | | investor protection violation | 2022 | VA-SEC | $8,000 |
Onpoint Financial Management, LLC fka Onpoint Financial Retirement, LLC | | | investor protection violation | 2022 | VA-SEC | $5,000 |
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 |
Rede Wealth, LLC | | | investor protection violation | 2023 | VA-SEC | $35,000 |
Equitas Capital Advisors, LLC | | | investor protection violation | 2023 | VA-SEC | $5,000 |
Barclays Capital Inc. | Barclays | financial services | toxic securities abuses | 2016 | VA-AG | $9,000,000 |
Citigroup Global Markets Inc. | Citigroup | financial services | toxic securities abuses | 2016 | VA-AG | $4,750,000 |
Countrywide Securities Corporation and Merrill Lynch, Pierce, Fenner & Smith, Inc. | Bank of America | financial services | toxic securities abuses | 2016 | VA-AG | $19,500,000 |
Credit Suisse Securities (USA) LLC | UBS | financial services | toxic securities abuses | 2016 | VA-AG | $1,200,000 |
Deutsche Bank Securities Inc. | Deutsche Bank | financial services | toxic securities abuses | 2016 | VA-AG | $5,621,897 |
Goldman, Sachs & Co. | Goldman Sachs | financial services | toxic securities abuses | 2016 | VA-AG | $2,900,000 |
HSBC Securities (USA) Inc. | HSBC | financial services | toxic securities abuses | 2016 | VA-AG | $2,500,000 |
Morgan Stanley & Co. LLC | Morgan Stanley | financial services | toxic securities abuses | 2016 | VA-AG | $6,900,000 |
RBS Securities Inc. | NatWest Group PLC | financial services | toxic securities abuses | 2016 | VA-AG | $10,000,000 |
UBS Securities LLC | UBS | financial services | toxic securities abuses | 2016 | VA-AG | $850,000 |