Goldman, Sachs & Co. | Goldman Sachs | investor protection violation | 2014 | FINRA | $1,000,000 |
Merrill Lynch, Pierce, Fenner & Smith, Inc. | Bank of America | investor protection violation | 2014 | FINRA | $1,000,000 |
Morgan Stanley Smith Barney LLC | Morgan Stanley | investor protection violation | 2014 | FINRA | $5,000,000 |
Charles Schwab & Co., Inc. | Charles Schwab Corp. | investor protection violation | 2014 | FINRA | $500,000 |
LPL Financial LLC | LPL Financial | investor protection violation | 2014 | FINRA | $950,000 |
Citigroup Global Markets Inc. | Citigroup | investor protection violation | 2014 | FINRA | $1,097,000 |
Berthel Fisher & Company Financial Services, Inc. | Berthel Fisher | investor protection violation | 2014 | FINRA | $775,000 |
Brown Brothers Harriman & Co. | Brown Brothers Harriman | anti-money-laundering deficiencies | 2014 | FINRA | $8,000,000 |
Stifel Financial Corporation | Stifel Financial | investor protection violation | 2014 | FINRA | $1,025,000 |
Barclays Capital Inc. | Barclays | investor protection violation | 2013 | FINRA | $3,750,000 |
Deutsche Bank Securities, Inc. | Deutsche Bank | investor protection violation | 2013 | FINRA | $6,500,000 |
Oppenheimer & Co., Inc. | Oppenheimer Holdings | investor protection violation | 2013 | FINRA | $921,000 |
TD Ameritrade Clearing, Inc. | Charles Schwab Corp. | investor protection violation | 2013 | FINRA | $1,150,000 |
SG Americas Securities, Inc. | Societe Generale | investor protection violation | 2013 | FINRA | $675,000 |
Morgan Stanley Smith Barney LLC and Morgan Stanley & Co. LLC | Morgan Stanley | investor protection violation | 2013 | FINRA | $1,188,000 |
Oppenheimer and Co., Inc. | Oppenheimer Holdings | anti-money-laundering deficiencies | 2013 | FINRA | $1,425,000 |
Wells Fargo Advisors, LLC | Wells Fargo | investor protection violation | 2013 | FINRA | $3,250,000 |
Merrill Lynch, Pierce, Fenner & Smith Incorporated | Bank of America | investor protection violation | 2013 | FINRA | $2,000,000 |
LPL Financial LLC | LPL Financial | investor protection violation | 2013 | FINRA | $9,000,000 |
Merrill Lynch, Pierce, Fenner & Smith Inc. | Bank of America | investor protection violation | 2013 | FINRA | $1,373,000 |
Ameriprise Financial Services, Inc. | Ameriprise Financial | investor protection violation | 2013 | FINRA | $750,000 |
Charles Schwab & Company | Charles Schwab Corp. | investor protection violation | 2013 | FINRA | $500,000 |
ING Groep N.V. | Voya Financial | investor protection violation | 2013 | FINRA | $1,200,000 |
Citigroup | Citigroup | investor protection violation | 2012 | FINRA | $1,279,106 |
Goldman Sachs | Goldman Sachs | investor protection violation | 2012 | FINRA | $683,997 |
JP Morgan | JPMorgan Chase | investor protection violation | 2012 | FINRA | $623,376 |
Merrill Lynch | Bank of America | investor protection violation | 2012 | FINRA | $1,074,200 |
Morgan Stanley | Morgan Stanley | investor protection violation | 2012 | FINRA | $817,754 |
Pruco Securities, LLC | Prudential Financial | investor protection violation | 2012 | FINRA | $11,250,000 |
Merrill Lynch, Pierce, Fenner & Smith Inc. | Bank of America | investor protection violation | 2012 | FINRA | $500,000 |
Merrill Lynch, Pierce, Fenner & Smith, Inc. | Bank of America | investor protection violation | 2012 | FINRA | $2,800,000 |
Citigroup Global Markets, Inc. | Citigroup | investor protection violation | 2012 | FINRA | $3,500,000 |
Citigroup Global Markets, Inc | Citigroup | investor protection violation | 2012 | FINRA | $2,741,489 |
Morgan Stanley & Co., LLC | Morgan Stanley | investor protection violation | 2012 | FINRA | $2,146,431 |
UBS Financial Services | UBS | investor protection violation | 2012 | FINRA | $2,354,584 |
Wells Fargo Advisors, LLC | Wells Fargo | investor protection violation | 2012 | FINRA | $1,931,488 |
Goldman, Sachs & Co. | Goldman Sachs | investor protection violation | 2012 | FINRA | (*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $11,000,000 |
Merrill Lynch, Pierce, Fenner & Smith | Bank of America | investor protection violation | 2012 | FINRA | $1,000,000 |
Citigroup Global Markets, Inc. | Citigroup | investor protection violation | 2012 | FINRA | $725,000 |
Credit Suisse Securities (USA) LLC | UBS | investor protection violation | 2011 | FINRA | $1,750,000 |
Barclays Capital Inc. | Barclays | investor protection violation | 2011 | FINRA | $3,000,000 |
Wells Fargo Investments, LLC | Wells Fargo | investor protection violation | 2011 | FINRA | $2,000,000 |
NEXT Financial Group, Inc. | Atria Wealth Solutions | investor protection violation | 2011 | FINRA | $2,050,000 |
Chase Investment Services Corporation | JPMorgan Chase | investor protection violation | 2011 | FINRA | $3,600,000 |
Morgan Stanley & Co. Inc. and Morgan Stanley Smith Barney LLC | Morgan Stanley | investor protection violation | 2011 | FINRA | $1,371,000 |
UBS Securities LLC | UBS | investor protection violation | 2011 | FINRA | $12,000,000 |
Merrill Lynch, Pierce, Fenner & Smith Inc. | Bank of America | investor protection violation | 2011 | FINRA | $1,000,000 |
Raymond James & Associates, Inc. and Raymond James Financial Services, Inc. | Raymond James Financial | investor protection violation | 2011 | FINRA | $2,115,000 |
Citigroup Global Markets, Inc. | Citigroup | investor protection violation | 2011 | FINRA | $500,000 |
SunTrust Robinson Humphrey, Inc. | Truist Financial | investor protection violation | 2011 | FINRA | $5,000,000 |
Northern Trust Securities | Northern Trust | investor protection violation | 2011 | FINRA | $600,000 |
Credit Suisse Securities (USA) LLC | UBS | investor protection violation | 2011 | FINRA | $4,500,000 |
Merrill Lynch | Bank of America | investor protection violation | 2011 | FINRA | $3,000,000 |
Nuveen Investments, LLC | TIAA | investor protection violation | 2011 | FINRA | $3,000,000 |
Wells Fargo Advisors, LLC | Wells Fargo | investor protection violation | 2011 | FINRA | $1,000,000 |
Santander Securities of Puerto Rico | Banco Santander | investor protection violation | 2011 | FINRA | $2,000,000 |
UBS Financial Services, Inc. | UBS | investor protection violation | 2011 | FINRA | $10,750,000 |
Southwest Securities, Inc. | Hilltop Holdings | investor protection violation | 2011 | FINRA | $650,000 |
Southwest Securities, Inc. | Hilltop Holdings | investor protection violation | 2011 | FINRA | $500,000 |
Lincoln Financial Securities, Inc. and Lincoln Financial Advisors Corporation | Lincoln National | investor protection violation | 2011 | FINRA | $600,000 |
Charles Schwab & Company, Inc. | Charles Schwab Corp. | investor protection violation | 2011 | FINRA | $18,000,000 |
Goldman, Sachs & Co. | Goldman Sachs | investor protection violation | 2010 | FINRA | $650,000 |
Ferris, Baker Watts LLC | Royal Bank of Canada | investor protection violation | 2010 | FINRA | $690,000 |
Zions Direct, Inc. | Zions Bancorporation | investor protection violation | 2010 | FINRA | $225,000 |
HSBC Securities (USA) Inc. | HSBC | investor protection violation | 2010 | FINRA | $375,000 |
Merrill Lynch | Bank of America | investor protection violation | 2010 | FINRA | $2,500,000 |
Morgan Stanley & Co., Inc. | Morgan Stanley | investor protection violation | 2010 | FINRA | $800,000 |
SunTrust Investment Services, Inc. | Truist Financial | investor protection violation | 2010 | FINRA | $1,440,000 |
Deutsche Bank Securities Inc. | Deutsche Bank | investor protection violation | 2010 | FINRA | $7,500,000 |
Citigroup Global Markets Inc. | Citigroup | investor protection violation | 2010 | FINRA | $1,500,000 |
Piper Jaffray & Co. | Piper Sandler | investor protection violation | 2010 | FINRA | $700,000 |
Deutsche Bank Securities | Deutsche Bank | investor protection violation | 2010 | FINRA | $575,000 |
RBC Capital Markets Corporation | Royal Bank of Canada | investor protection violation | 2010 | FINRA | $135,000 |
HSBC Securities (USA) | HSBC | investor protection violation | 2010 | FINRA | $1,500,000 |
US Bancorp Investments, Inc. | U.S. Bancorp | investor protection violation | 2010 | FINRA | $275,000 |
Citigroup Global Markets, Inc. | Citigroup | investor protection violation | 2010 | FINRA | $650,000 |
Scottrade, Inc. | Charles Schwab Corp. | investor protection violation | 2010 | FINRA | $200,000 |
H&R Block Financial Advisors, Inc. | H&R Block | investor protection violation | 2010 | FINRA | $200,000 |
MetLife Securities, Inc. | MetLife | investor protection violation | 2009 | FINRA | $1,200,000 |
Scottrade | Charles Schwab Corp. | anti-money-laundering deficiencies | 2009 | FINRA | $600,000 |
Citigroup Global Markets Inc. | Citigroup | investor protection violation | 2009 | FINRA | $600,000 |
Citigroup Global Markets | Citigroup | investor protection violation | 2009 | FINRA | $425,000 |
UBS Securities | UBS | investor protection violation | 2009 | FINRA | $268,000 |
Deutsche Bank | Deutsche Bank | investor protection violation | 2009 | FINRA | $152,000 |
Northwestern Mutual Investment Services, LLC | Northwestern Mutual | investor protection violation | 2009 | FINRA | $200,000 |
Fifth Third Securities, Inc. | Fifth Third Bancorp | investor protection violation | 2009 | FINRA | $150,000 |
Credit Suisse Securities (USA), LLC | UBS | investor protection violation | 2009 | FINRA | $275,000 |
Ameritas Investment Corp. | Ameritas Mutual Holding Company | investor protection violation | 2009 | FINRA | $100,000 |
Merrill Lynch, Pierce, Fenner & Smith, Inc. | Bank of America | investor protection violation | 2009 | FINRA | $150,000 |
UBS Financial Services, Inc. | UBS | investor protection violation | 2009 | FINRA | $100,000 |
KeyBanc Capital Markets, Inc. | KeyCorp | investor protection violation | 2009 | FINRA | $425,000 |
Wells Fargo Investments, LLC | Wells Fargo | investor protection violation | 2009 | FINRA | $275,000 |
PNC Investments | PNC Financial Services | investor protection violation | 2009 | FINRA | $250,000 |
Chase Investment Services Corp. | JPMorgan Chase | investor protection violation | 2009 | FINRA | $250,000 |
NEXT Financial Group, Inc. | Atria Wealth Solutions | investor protection violation | 2009 | FINRA | $1,000,000 |
ICAP Corporates LLC | CME Group | investor protection violation | 2009 | FINRA | $2,800,000 |
Wachovia Securities, LLC | Wells Fargo | investor protection violation | 2009 | FINRA | $1,400,000 |
Raymond James & Associates, Inc. | Raymond James Financial | investor protection violation | 2009 | FINRA | $1,000,000 |
RBC Capital Markets Corporation | Royal Bank of Canada | investor protection violation | 2009 | FINRA | $400,000 |
M&T Securities, Inc. | M&T Bank | investor protection violation | 2009 | FINRA | $200,000 |
Janney Montgomery Scott LLC | Penn Mutual | investor protection violation | 2009 | FINRA | $200,000 |