Aptus Financial, LLC | | | investor protection violation | 2021 | PA-BKG | $5,000 |
Paul Winkler, Inc. | | | investor protection violation | 2021 | TX-SEC | $5,000 |
Capital Management Associates LLC | | | investor protection violation | 2021 | WA-SEC | $5,000 |
Perfectly Posh, LLC | | | investor protection violation | 2021 | MT-FIN | $5,000 |
Norwex USA, Inc. | | | investor protection violation | 2021 | MT-FIN | $5,000 |
Williams Wealth Management, LLC | | | investor protection violation | 2021 | NH-BSR | $5,000 |
4Rivers Wealth Management, LLC | | | investor protection violation | 2021 | PA-BKG | $5,000 |
SS Accounting and Auditing Inc. | | | accounting fraud or deficiencies | 2021 | PCAOB | $5,000 |
Basic Wealth Advisors, Inc. | | | investor protection violation | 2021 | SC-SEC | $5,000 |
NYPPEX, LLC | | | investor protection violation | 2021 | MD-SEC | $5,000 |
Lasting Connections, LLC et al. | | | investor protection violation | 2021 | OR-FIN | $5,000 |
Jemma Investment Advisors, LLC dba Jemma Financial Services | | | investor protection violation | 2022 | PA-BKG | $5,000 |
Kaboom USA, LLC and SKEARCH, LLC | | | investor protection violation | 2021 | WI-FIN | $5,000 |
East Fork Energy Partners, Inc. | | | investor protection violation | 2022 | KY-FIN | $5,000 |
Women of Substance LLC | | | investor protection violation | 2022 | PA-BKG | $5,000 |
Wealth Protection Group, LLC | | | investor protection violation | 2022 | SD-SEC | $5,000 |
Servant Wealth Management, LLC | | | investor protection violation | 2022 | TN-SEC | $5,000 |
R2 Advisors, P.C. and M2 Advisors, Inc. | | | investor protection violation | 2022 | VA-SEC | $5,000 |
Yale Partners, LLC | | | investor protection violation | 2022 | WA-SEC | $5,000 |
Aldwych Securities LLC | | | investor protection violation | 2022 | CT-SEC | $5,000 |
Jero Worldwide, Inc. | | | investor protection violation | 2021 | IL-SEC | $5,000 |
Sapphire Wealth Planning LLC | | | investor protection violation | 2022 | MO-SEC | $5,000 |
Proactive Money Management, Inc. | | | investor protection violation | 2022 | MO-SEC | $5,000 |
Olive Tree Ridge Investment Advisors LLC | | | investor protection violation | 2022 | CT-SEC | $5,000 |
Planner Securities LLC | | | investor protection violation | 2022 | NE-DBF | $5,000 |
Alpha Financial Planning, Inc. | | | investor protection violation | 2022 | PA-BKG | $5,000 |
United Pentecostal Church Developemnt Fund, Inc., dba United Pentecostal Church Loan Fund | | | investor protection violation | 2022 | TN-SEC | $5,000 |
Constructis, LLC and Constructis Group, Inc. and Constructis Energy, LLC | | | investor protection violation | 2023 | SC-SEC | $5,000 |
Onpoint Financial Management, LLC fka Onpoint Financial Retirement, LLC | | | investor protection violation | 2022 | VA-SEC | $5,000 |
CW Petroleum Corp. | | | investor protection violation | 2023 | SEC | $5,000 |
Atwood Consortium LLC | | | investor protection violation | 2023 | CA-DFPI | $5,000 |
USA Financial Securities Corporation | | | investor protection violation | 2023 | ME-SEC | $5,000 |
VAILSHIRE CAPITAL MANAGEMENT, LLC | | | investor protection violation | 2023 | FL-OFR | $5,000 |
Wells Fargo Clearing Services LLC | Wells Fargo | financial services | investor protection violation | 2023 | ME-SEC | $5,000 |
Avantax Investment Services Inc | | | investor protection violation | 2023 | ME-SEC | $5,000 |
United Planners' Financial Services of America A Limited Partner | | | investor protection violation | 2023 | ME-SEC | $5,000 |
Fortune Financial Services Inc. | | | investor protection violation | 2023 | ME-SEC | $5,000 |
Morgan Stanley Smith Barney LLC | Morgan Stanley | financial services | investor protection violation | 2023 | ME-SEC | $5,000 |
Equitas Capital Advisors, LLC | | | investor protection violation | 2023 | VA-SEC | $5,000 |
Northwestern Mutual Investment Services LLC | Northwestern Mutual | financial services | investor protection violation | 2024 | ME-SEC | $5,000 |
Robert W. Baird & Co. Incorporated | | | investor protection violation | 2024 | ME-SEC | $5,000 |
Sovereign Legacy Securities, Inc. | | | investor protection violation | 2024 | OR-FIN | $5,000 |
Wolff Asset Management, LLC | | | investor protection violation | 2023 | PA-BKG | $5,000 |
Robbins Capital Management, Inc. | | | investor protection violation | 2024 | TN-SEC | $5,000 |