Fleet Securities, Inc. | | | investor protection violation | 2001 | FINRA | $50,000 |
NDB Capital Markets LP | | | investor protection violation | 2001 | FINRA | $250,000 |
Herzog, Heine, Geduld, Inc. | | | investor protection violation | 2001 | FINRA | $18,000 |
Schwab Capital Markets | UBS | financial services | investor protection violation | 2001 | FINRA | $12,000 |
Spear, Leeds & Kellogg | Goldman Sachs | financial services | investor protection violation | 2001 | FINRA | $10,000 |
Access Securities, Inc. | | | investor protection violation | 2001 | FINRA | $14,000 |
Aegis Capital Corp. | | | investor protection violation | 2001 | FINRA | $19,000 |
Dalton Kent Securities Group, Inc. | | | investor protection violation | 2001 | FINRA | $25,000 |
Ramius Securities L.L.C. | | | investor protection violation | 2001 | FINRA | $61,000 |
Torrey Pines Securities, Inc. | | | investor protection violation | 2001 | FINRA | $14,000 |
NDB Capital Markets, LP | | | investor protection violation | 2001 | FINRA | $75,000 |
Lehman Brothers, Inc. | | | investor protection violation | 2001 | FINRA | $65,000 |
Fleet Securities, Inc. | | | investor protection violation | 2001 | FINRA | $40,000 |
Herzog, Heine, Geduld, Inc. | | | investor protection violation | 2001 | FINRA | $40,000 |
Banc of America Securities LLC | Bank of America | financial services | investor protection violation | 2001 | FINRA | $40,000 |
Credit Suisse First Boston Corporation | UBS | financial services | investor protection violation | 2001 | FINRA | $25,000 |
ING Barings LLC | | | investor protection violation | 2001 | FINRA | $20,000 |
Merrill Lynch, Pierce, Fenner & Smith, Inc. | Bank of America | financial services | investor protection violation | 2001 | FINRA | $15,000 |
Penson Financial Services, Inc. | | | investor protection violation | 2001 | FINRA | $15,000 |
Chase Securities, Inc. | JPMorgan Chase | financial services | investor protection violation | 2001 | FINRA | $10,000 |
Ramius Securities LLC | | | investor protection violation | 2001 | FINRA | $10,000 |
Banc One Capital Markets, Inc. | | | investor protection violation | 2001 | FINRA | $1,800,000 |
Prudential Securities, Inc. | Wells Fargo | financial services | investor protection violation | 2001 | FINRA | $10,000 |
First Union Brokerage Services, Inc. | Wells Fargo | financial services | investor protection violation | 2001 | FINRA | $32,500 |
Allmerica Investments, Inc. | | | investor protection violation | 2001 | FINRA | $15,000 |
Lutheran Brotherhood Securities Corp. | | | investor protection violation | 2001 | FINRA | $25,000 |
SOUTHERN PACIFIC BANK | | | banking violation | 2000 | FDIC | $7,500 |
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 |
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 |
America Online, Inc. | Apollo Global Management | private equity (including portfolio companies) | accounting fraud or deficiencies | 2000 | SEC | $3,500,000 |
Marion Bass Securities Corp. | | | investor protection violation | 2000 | SEC | $150,000 |
Focus Tech Investments, Inc. | | | investor protection violation | 2000 | SEC | $10,000 |
Adar International | | | investor protection violation | 2000 | SEC | $10,000 |
Longman & Associates, Inc. | | | investor protection violation | 2000 | SEC | $10,000 |
Kading Companies, S.A. and Joning Corp. | | | investor protection violation | 2000 | SEC | $10,000 |
National Stock Transfer Inc. | | | investor protection violation | 2000 | SEC | $5,000 |
First Union Securities, Inc. | Wells Fargo | financial services | investor protection violation | 2000 | SEC | $408,931 |
CGI Capital, Inc. | | | investor protection violation | 2000 | SEC | $25,000 |
D.E. Frey and Company, Inc. | | | investor protection violation | 2000 | SEC | $100,000 |
Prospera Financial Services, Inc. | | | investor protection violation | 2000 | SEC | $40,000 |
Signal Securities Inc. | | | investor protection violation | 2000 | SEC | $50,000 |
First Colonial Securities Group, Inc. | | | investor protection violation | 2000 | SEC | $25,000 |
F.W. Thompson Company Ltd. | | | investor protection violation | 2000 | SEC | $100,000 |
Dean Witter Reynolds Inc. | Morgan Stanley | financial services | investor protection violation | 2000 | SEC | $476,702 |
Alpha Tech Stock Transfer Trust | | | investor protection violation | 2000 | SEC | $10,000 |
Dawson-Samberg Capital Management, Inc. | | | investor protection violation | 2000 | SEC | $100,000 |
Fahnestock & Co., Inc. | Oppenheimer Holdings | financial services | investor protection violation | 2000 | SEC | $20,000 |
Janney Montgomery Scott LLC | Penn Mutual | financial services | investor protection violation | 2000 | SEC | $100,000 |
Owen-Joseph Asset Management Corp.? | | | investor protection violation | 2000 | SEC | $68,000 |
Founders Asset Management LLC | | | investor protection violation | 2000 | SEC | $50,000 |
Dreyfus Corporation | Bank of New York Mellon | financial services | investor protection violation | 2000 | SEC | $950,000 |
Gold Asset Management, Inc. | | | investor protection violation | 2000 | SEC | $20,000 |
WWW Advisors, Inc. | | | investor protection violation | 2000 | SEC | $5,000 |
Asset Timing Corp. | | | investor protection violation | 2000 | SEC | $5,000 |
Investment Street Company and Dynamic Trading of Miami, Inc. | | | investor protection violation | 2000 | SEC | $25,000 |
Amerada Hess | Hess Corp. | oil and gas | tax violations | 2000 | LA-AG | $4,360,000 |
Chevron Oil Co. | Chevron | oil and gas | tax violations | 2000 | LA-AG | $9,600,000 |
Conoco | ConocoPhillips | oil and gas | tax violations | 2000 | LA-AG | $4,360,000 |
Deloitte and Touche | Deloitte | business services | accounting fraud or deficiencies | 2000 | AZ-AG | $800,000 |
Dreyfus Corporation | Bank of New York Mellon | financial services | investor protection violation | 2000 | NY-AG | $2,000,000 |
Energen | | | tax violations | 2000 | LA-AG | $4,360,000 |
Shell | Shell PLC | oil and gas | tax violations | 2000 | LA-AG | $4,360,000 |
Tate Ford Lincoln Mercury, Inc. dba Tate Auto Center | | | accounting fraud or deficiencies | 2000 | AZ-AG | $150,000 |
Tops Markets, Inc. | Tops Markets | retailing | tax violations | 2000 | NY-AG | $21,000 |
Unocal | Chevron | oil and gas | tax violations | 2000 | LA-AG | $4,360,000 |
World Interactive Gaming Corporation | | | investor protection violation | 2000 | NY-AG | $6,300,000 |
JB Oxford Holdings, Inc. | | | accounting fraud or deficiencies | 2000 | USAO | $2,000,000 |
Truckville Inc. dba EZ Finance Auto Sales | | | investor protection violation | 2000 | AZ-CC | $5,000 |
Forex Investment Services Corp. et al. | | | investor protection violation | 2000 | AZ-CC | $416,086 |
Great Western Investment Trust, Ltd. | | | investor protection violation | 2000 | AZ-CC | $435,789 |
National Financial Group and World Wide Business Opportunities, LLC | | | investor protection violation | 2000 | AZ-CC | $20,000 |
Superior Leasing of Arizona, Inc. and Superior Holding Group, Inc. | | | investor protection violation | 2000 | AZ-CC | $6,792,956 |
Estate Services II, Inc. | | | investor protection violation | 2000 | AZ-CC | $15,000 |
Cochise Financial Corp. | | | investor protection violation | 2000 | AZ-CC | $1,301,929 |
Alliance Trust and Chemical Trust and United Marketing Trust | | | investor protection violation | 2000 | AZ-CC | $75,000 |
Tucson Estate Financial Advisors, Inc. | | | investor protection violation | 2000 | AZ-CC | $114,080 |
Mining Ventures International, LLC | | | investor protection violation | 2000 | AZ-CC | $253,500 |
Successful Finance, Inc. | | | investor protection violation | 2000 | AZ-CC | $421,040 |
Eye International, L.L.C. and American International Beneficial Association, Inc. | | | investor protection violation | 2000 | AZ-CC | $11,500 |
Buckson Realty Brokerage, Inc. | | | investor protection violation | 2000 | DE-SEC | $39,934 |
Condor and Eagle, Inc., Contact Generation, Inc. and TCI | | | investor protection violation | 2000 | FL-OFR | $5,000 |
Baggy Stuff, Inc. | | | investor protection violation | 2000 | FL-OFR | $325,000 |
VTR Capital, Inc. nka Fairchild Financial Group, Inc. | | | investor protection violation | 2000 | FL-OFR | $12,000 |
First Financial Planners, Inc. et al. | | | investor protection violation | 2000 | FL-OFR | $39,232 |
The Morgan Group | | | investor protection violation | 2000 | FL-OFR | $15,000 |
Morgan Carlton Financial Corp. | | | investor protection violation | 2000 | FL-OFR | $15,000 |
Morgan Commercial Private Investment Bankers | | | investor protection violation | 2000 | FL-OFR | $15,000 |
Offshore Financial Facilitiators | | | investor protection violation | 2000 | FL-OFR | $69,900 |
First Capital Services, Inc. | | | investor protection violation | 2000 | FL-OFR | $30,000 |
Securities Services Network, Inc. | Reverence Capital Partners | private equity (including portfolio companies) | investor protection violation | 2000 | FL-OFR | $10,000 |
Southern 2000, Inc. | | | investor protection violation | 2000 | FL-OFR | $50,000 |
Allen Financial Group, Inc. | | | investor protection violation | 2000 | FL-OFR | $50,000 |
International Currency Management, LLC | | | investor protection violation | 2000 | ID-SEC | $175,000 |
LinkNet, Inc. fka INFOLINK, Inc. | | | investor protection violation | 2000 | ID-SEC | $10,000 |
FSC Securities Corp. | | | investor protection violation | 2000 | MN-FIN | $5,000 |