BGC Financial, LP | BGC Partners | investor protection violation | 2019 | CFTC | $15,000,000 |
GFI Securities, LLC | BGC Partners | investor protection violation | 2019 | CFTC | $10,000,000 |
Morgan Stanley Capital Group Inc. | Morgan Stanley | investor protection violation | 2019 | CFTC | $1,500,000 |
PNC Bank, National Association | PNC Financial Services | investor protection violation | 2019 | CFTC | $300,000 |
Bank of New York Mellon | Bank of New York Mellon | investor protection violation | 2019 | CFTC | $750,000 |
NatWest Markets Plc | NatWest Group PLC | investor protection violation | 2019 | CFTC | $850,000 |
Northern Trust Company | Northern Trust | investor protection violation | 2019 | CFTC | $1,000,000 |
Societe Generale International Limited | Societe Generale | investor protection violation | 2019 | CFTC | $2,500,000 |
HSBC Bank USA, N.A. | HSBC | investor protection violation | 2019 | CFTC | $650,000 |
RBC Capital Markets, LLC | Royal Bank of Canada | investor protection violation | 2019 | CFTC | $5,000,000 |
Merrill Lynch, Pierce, Fenner & Smith Incorporated | Bank of America | investor protection violation | 2019 | CFTC | $300,000 |
Morgan Stanley Smith Barney LLC | Morgan Stanley | investor protection violation | 2019 | SEC | $1,545,758 |
Hilltop Securities Inc. and Hilltop Securities Independent Network Inc. | Hilltop Holdings | investor protection violation | 2019 | SEC | $810,785 |
Wedbush Securities Inc. | Wedbush Securities | investor protection violation | 2019 | SEC | $1,852,540 |
Virtu Americas LLC | Virtu Financial | investor protection violation | 2019 | SEC | $1,500,000 |
BMO Harris Financial Advisors Inc. and BMO Asset Management Corp. | Bank of Montreal | investor protection violation | 2019 | SEC | $37,980,000 |
GFI Securities LLC | BGC Partners | investor protection violation | 2019 | SEC | $4,300,000 |
Raymond James & Associates, Inc. et al. | Raymond James Financial | investor protection violation | 2019 | SEC | $15,000,000 |
Morgan Stanley Smith Barney, LLC | Morgan Stanley | investor protection violation | 2019 | SEC | $225,000 |
Stifel, Nicolaus & Co., Inc. | Stifel Financial | investor protection violation | 2019 | SEC | $2,700,000 |
BMO Capital Markets Corp. | Bank of Montreal | investor protection violation | 2019 | SEC | $1,950,000 |
Prudential Financial Inc. | Prudential Financial | investor protection violation | 2019 | SEC | $32,600,000 |
Morgan Stanley DW Inc. | Morgan Stanley | investor protection violation | 2006 | NY-AG | $1,040,964 |
Goldman Sachs & Co. LLC | Goldman Sachs | investor protection violation | 2019 | CFTC | $1,000,000 |
Wells Fargo Clearing Services and Wells Fargo Advisors Financial Network | Wells Fargo | investor protection violation | 2020 | SEC | $35,000,000 |
Wells Fargo & Co. | Wells Fargo | investor protection violation | 2020 | SEC | (*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $500,000,000 |
ABN AMRO Clearing Chicago LLC | ABN AMRO | investor protection violation | 2020 | SEC | $586,000 |
MetLife, Inc. | MetLife | investor protection violation | 2019 | SEC | $10,000,000 |
J.P. Morgan Securities LLC | JPMorgan Chase | investor protection violation | 2020 | SEC | $1,822,438 |
U.S. Bancorp Investments, Inc. | U.S. Bancorp | investor protection violation | 2020 | SEC | $15,992,441 |
Morgan Stanley Smith Barney LLC | Morgan Stanley | investor protection violation | 2020 | SEC | $5,000,000 |
RBC Capital Markets LLC | Royal Bank of Canada | investor protection violation | 2020 | SEC | $3,889,007 |
Merrill Lynch, Pierce and Fenner & Smith, Incorporated | Bank of America | investor protection violation | 2020 | SEC | $325,376 |
Cantor Fitzgerald & Co. | Cantor Fitzgerald | investor protection violation | 2020 | SEC | $3,200,000 |
HSBC Securities (USA) Inc. | HSBC | investor protection violation | 2020 | SEC | $725,000 |
Edward D. Jones and Co.,LP | Jones Financial | investor protection violation | 2003 | AK-DBS | $11,000 |
Wachovia Securities, LLC | Wells Fargo | investor protection violation | 2010 | AK-DBS | $129,131 |
Citigroup Global Markets, Inc. | Citigroup | investor protection violation | 2010 | AK-DBS | $150,507 |
UBS Securities LLC | UBS | investor protection violation | 2010 | AK-DBS | $733,465 |
UBS Financial Services, Inc. | UBS | investor protection violation | 2013 | AK-DBS | $64,661 |
RBC Capital Markets, LLC | Royal Bank of Canada | investor protection violation | 2013 | AK-DBS | $44,370 |
J.P. Morgan Securities, LLC | JPMorgan Chase | investor protection violation | 2014 | AK-DBS | $51,120 |
Citigroup Global Markets, Inc. | Citigroup | investor protection violation | 2015 | AK-DBS | $35,000 |
LPL Financial LLC | LPL Financial | investor protection violation | 2019 | AK-DBS | $499,000 |
Securian Financial Services, Inc. | Securian Financial | investor protection violation | 2020 | AK-DBS | $10,000 |
Solium Financial Services LLC | Morgan Stanley | investor protection violation | 2020 | AK-DBS | $10,527 |
Prudential Equity Group, Inc. | Prudential Financial | investor protection violation | 2005 | AL-SEC | $45,000 |
Morgan Keegan & Co. | Raymond James Financial | investor protection violation | 2005 | AL-SEC | $100,000 |
Morgan Keegan & Co. | Raymond James Financial | investor protection violation | 2010 | AL-SEC | $15,000 |
Next Financial Group, Inc. | Atria Wealth Solutions | investor protection violation | 2012 | AL-SEC | $60,000 |
Morgan Keegan & Co. | Raymond James Financial | investor protection violation | 2017 | AL-SEC | $20,000 |
LPL Financial LLC | LPL Financial | investor protection violation | 2018 | AL-SEC | $80,000 |
Solium Financial Services LLC | Morgan Stanley | investor protection violation | 2020 | AL-SEC | $18,874 |
Allied Home Mortgage Capital Corp. | Americus Mortgage | investor protection violation | 2009 | AR-SEC | $10,000 |
Merrill Lynch & Pierce, Fenner & Smith Inc. | Bank of America | investor protection violation | 2010 | AR-SEC | $15,000 |
Morgan Keegan & Co. | Raymond James Financial | investor protection violation | 2012 | AR-SEC | $59,659 |
Interactive Brokers, LLC | Interactive Brokers Group | investor protection violation | 2013 | AR-SEC | $6,000 |
Edward D. Jones & Co., L.P. | Jones Financial | investor protection violation | 2018 | AR-SEC | $50,000 |
LPL Financial LLC | LPL Financial | investor protection violation | 2019 | AR-SEC | $40,000 |
Solium Financial Services LLC | Morgan Stanley | investor protection violation | 2019 | AR-SEC | $5,000 |
American Express Financial Advisors | Ameriprise Financial | investor protection violation | 2000 | AZ-CC | $125,000 |
Ameriprise Financial Services, Inc. | Ameriprise Financial | investor protection violation | 2005 | AZ-CC | $1,000,000 |
Ameriprise Financial Services, Inc. | Ameriprise Financial | investor protection violation | 2006 | AZ-CC | $1,250,000 |
World Group Securities, Inc. | Aegon | investor protection violation | 2010 | AZ-CC | $853,501 |
RBC Capital Markets, LLC | Royal Bank of Canada | investor protection violation | 2013 | CA-DFPI | $33,520 |
LendingClub Corp. | LendingClub Corp. | investor protection violation | 2015 | CA-DFPI | $46,000 |
Ameriprise Financial Services, Inc. | Ameriprise Financial | investor protection violation | 2018 | CA-DFPI | $115,000 |
Solium Financial Services LLC | Morgan Stanley | investor protection violation | 2020 | CA-DFPI | $52,047 |
Janney Montgomery Scott LLC | Penn Mutual | investor protection violation | 2005 | CO-SEC | $259,227 |
OppenheimerFunds Distributor, Inc. | Invesco | investor protection violation | 2007 | CO-SEC | $494,500 |
AllianceBernstein L.P. | Equitable Holdings | investor protection violation | 2013 | CO-SEC | $20,232 |
Thomas Weisel Partners LLC | Stifel Financial | investor protection violation | 2006 | CT-SEC | $52,480 |
Merrill Lynch, Pierce, Fenner & Smith Inc. | Bank of America | investor protection violation | 2006 | CT-SEC | $3,500,000 |
Wachovia Capital Markets, LLC | Wells Fargo | investor protection violation | 2007 | CT-SEC | $258,728 |
UBS Financial Services Inc. | UBS | investor protection violation | 2007 | CT-SEC | $5,500,000 |
Prosper Marketplace, Inc. | Prosper Marketplace | investor protection violation | 2009 | CT-SEC | $12,602 |
Raymond James Financial Services, Inc. | Raymond James Financial | investor protection violation | 2010 | CT-SEC | $15,000 |
Prosper Marketplace, Inc. | Prosper Marketplace | investor protection violation | 2010 | CT-SEC | $5,000 |
Wachovia Securities, LLC nka Wells Fargo Advisors, LLC | Wells Fargo | investor protection violation | 2010 | CT-SEC | $75,000 |
Charles Schwab & Co., Inc. | Charles Schwab Corp. | investor protection violation | 2011 | CT-SEC | $2,800,000 |
Prosper Marketplace, Inc. | Prosper Marketplace | investor protection violation | 2012 | CT-SEC | $40,000 |
Morgan Stanley Smith Barney LLC | Morgan Stanley | investor protection violation | 2014 | CT-SEC | $5,000,000 |
J.P. Morgan Securities LLC | JPMorgan Chase | investor protection violation | 2014 | CT-SEC | $53,800 |
Citigroup Global Markets Inc. | Citigroup | investor protection violation | 2015 | CT-SEC | $35,000 |
ProEquities, Inc. | Dai-ichi Life | investor protection violation | 2018 | CT-SEC | $7,590 |
Voya Financial Advisors, Inc. fka ING Financial Partners, Inc. | Voya Financial | investor protection violation | 2019 | CT-SEC | $1,015,000 |
Solium Financial Services LLC | Morgan Stanley | investor protection violation | 2020 | CT-SEC | $51,136 |
MetLife Securities, Inc. | MetLife | investor protection violation | 2012 | DC-DISB | $25,000 |
Merrill Lynch, Pierce, Fenner & Smith Inc. | Bank of America | investor protection violation | 2013 | DC-DISB | $15,000 |
J.P. Morgan Securities LLC | JPMorgan Chase | investor protection violation | 2018 | DC-DISB | $5,000 |
Janney Montgomery Scott, Inc. | Penn Mutual | investor protection violation | 2001 | DE-SEC | $210,909 |
Wilmington Trust Co. | M&T Bank | investor protection violation | 2005 | DE-SEC | $50,000 |
Ameritrade, Inc. | Charles Schwab Corp. | investor protection violation | 2009 | DE-SEC | $40,000 |
PNC Investments LLC | PNC Financial Services | investor protection violation | 2010 | DE-SEC | $250,000 |
AllianceBernstein L.P. | Equitable Holdings | investor protection violation | 2012 | DE-SEC | $20,000 |
Oppenheimer & Co., Inc. | Oppenheimer Holdings | investor protection violation | 2015 | DE-SEC | $685,000 |
Janney Montgomery Scott LLC | Penn Mutual | investor protection violation | 2015 | DE-SEC | $105,000 |
LPL Financial LLC | LPL Financial | investor protection violation | 2015 | DE-SEC | $200,000 |
Allstate Financial Services, LLC | Allstate | investor protection violation | 2002 | FL-OFR | $21,300 |
Waddell & Reed, Inc. | Macquarie | investor protection violation | 2003 | FL-OFR | $8,800 |
ProEquities, Inc. | Dai-ichi Life | investor protection violation | 2004 | FL-OFR | $5,000 |