1-800DAYTRADE.COM, Inc. | | | investor protection violation | 2000 | $25,000 |
A&F Financial Securities, Inc. | | | investor protection violation | 2011 | $125,000 |
A.G. Edwards & Sons, Inc. | Wells Fargo | financial services | investor protection violation | 2000 | $5,890,000 |
ABN AMRO Incorporated | ABN AMRO | financial services | investor protection violation | 2005 | $220,000 |
Access Securities, Inc. | | | investor protection violation | 2001 | $14,000 |
Addison Securities, Inc. | | | investor protection violation | 2000 | $37,500 |
Advantage Capital Corp. | | | investor protection violation | 2005 | $450,000 |
Advantage Capital Corporation | | | investor protection violation | 2009 | $5,000 |
Advest, Inc. | | | investor protection violation | 2005 | $286,415 |
Aegis Capital Corp. | | | anti-money-laundering deficiencies | 2018 | $550,000 |
Aegis Capital Corp. | | | investor protection violation | 2015 | $950,000 |
Aegis Capital Corp. | | | investor protection violation | 2001 | $19,000 |
Aegis Capital Corp. | | | investor protection violation | 2021 | $2,800,000 |
All-Tech Direct, Inc. | | | investor protection violation | 2001 | $250,000 |
AllianceBernstein Investment Research and Management, Inc. | Equitable Holdings | financial services | investor protection violation | 2005 | $3,984,087 |
AllianceBernstein Investments, Inc. | Equitable Holdings | financial services | investor protection violation | 2007 | $100,000 |
Allmerica Investments, Inc. | | | investor protection violation | 2001 | $15,000 |
Allstate Financial Services LLC | Allstate | financial services | investor protection violation | 2004 | $150,000 |
Alpine Securities Corporation | | | investor protection violation | 2010 | $40,000 |
Altegris Investments, Inc. | | | investor protection violation | 2003 | $175,000 |
American Express Financial Advisors | Ameriprise Financial | financial services | investor protection violation | 2005 | $13,000,000 |
American Express Financial Advisors Inc. | Ameriprise Financial | financial services | investor protection violation | 2004 | $700,000 |
American Express Financial Advisors Inc. | Ameriprise Financial | financial services | investor protection violation | 2002 | $350,000 |
American Express Financial Advisors, Inc. | Ameriprise Financial | financial services | investor protection violation | 2004 | $300,000 |
American Fund Distributors | | | investor protection violation | 2008 | $5,000,000 |
American Funds Distributors Inc. | | | investor protection violation | 2006 | $5,000,000 |
American General Securities, Inc. | Reverence Capital Partners | private equity (including portfolio companies) | investor protection violation | 2006 | $1,100,000 |
Ameriprise Financial Services, Inc. | Ameriprise Financial | financial services | investor protection violation | 2016 | $850,000 |
Ameriprise Financial Services, Inc. | Ameriprise Financial | financial services | investor protection violation | 2013 | $750,000 |
Ameriprise Financial Services, Inc. | Ameriprise Financial | financial services | investor protection violation | 2005 | $12,300,000 |
Ameriprise Financial Services, Inc. | Ameriprise Financial | financial services | investor protection violation | 2005 | $1,250,000 |
Ameritas Investment Corp. | Ameritas Mutual Holding Company | financial services | investor protection violation | 2015 | $278,544 |
Ameritas Investment Corp. | Ameritas Mutual Holding Company | financial services | investor protection violation | 2009 | $100,000 |
Ameritrade, Inc. | Charles Schwab Corp. | financial services | investor protection violation | 2004 | $10,000,000 |
Asensio & Company, Inc. | | | investor protection violation | 2000 | $75,000 |
Askar Corporation | | | investor protection violation | 2011 | $45,000 |
Atlas One Financial Group, LLC | | | anti-money-laundering deficiencies | 2013 | $350,000 |
Avenir Financial Group | | | investor protection violation | 2016 | $229,000 |
AXA Advisors, LLC | Equitable Holdings | financial services | investor protection violation | 2019 | $772,000 |
AXA Advisors, LLC | Equitable Holdings | financial services | investor protection violation | 2015 | $600,000 |
AXA Advisors, LLC | Equitable Holdings | financial services | investor protection violation | 2007 | $2,600,000 |
AXA Advisors, LLC | Equitable Holdings | financial services | investor protection violation | 2005 | $900,000 |
AXA Advisors, LLC | Equitable Holdings | financial services | investor protection violation | 2004 | $250,000 |
AXA Advisors, LLC | Equitable Holdings | financial services | investor protection violation | 2004 | $250,000 |
Banc of America Investment Services Inc. | Bank of America | financial services | anti-money-laundering deficiencies | 2007 | $3,000,000 |
Banc of America Investment Services Inc. | Bank of America | financial services | investor protection violation | 2004 | $200,000 |
Banc of America Investment Services, Inc. | Bank of America | financial services | investor protection violation | 2005 | $90,000 |
Banc of America Securities LLC | Bank of America | financial services | investor protection violation | 2001 | $40,000 |
Banc One Capital Markets, Inc. | | | investor protection violation | 2001 | $1,800,000 |
Banc One Securities Corporation | JPMorgan Chase | financial services | investor protection violation | 2008 | $225,000 |
Banc One Securities Corporation | JPMorgan Chase | financial services | investor protection violation | 2005 | $400,000 |
BancBoston Robertson Stephens | | | investor protection violation | 2001 | $10,000 |
Banorte Securities International, Ltd. | | | investor protection violation | 2008 | $1,100,000 |
Banorte-Ixe Securities International, Ltd. | | | anti-money-laundering deficiencies | 2014 | $475,000 |
Barclays Capital Inc. | Barclays | financial services | investor protection violation | 2016 | $1,300,000 |
Barclays Capital Inc. | Barclays | financial services | investor protection violation | 2014 | $5,000,000 |
Barclays Capital Inc. | Barclays | financial services | investor protection violation | 2014 | $1,000,000 |
Barclays Capital Inc. | Barclays | financial services | investor protection violation | 2013 | $3,750,000 |
Barclays Capital Inc. | Barclays | financial services | investor protection violation | 2011 | $3,000,000 |
Barclays Capital, Inc. | Barclays | financial services | investor protection violation | 2015 | $13,750,000 |
Bear, Stearns & Co. Inc. | JPMorgan Chase | financial services | investor protection violation | 2004 | $4,950,000 |
Bear, Stearns & Co. Inc. | JPMorgan Chase | financial services | investor protection violation | 2004 | $280,469 |
Bear, Stearns & Co., Inc. | JPMorgan Chase | financial services | investor protection violation | 2008 | $150,000 |
Berean Capital Incorporated | | | investor protection violation | 2006 | $100,000 |
Berthel Fisher & Company Financial Services, Inc. | Berthel Fisher | financial services | investor protection violation | 2014 | $775,000 |
BMO Capital Markets Corp. | Bank of Montreal | financial services | investor protection violation | 2008 | $150,000 |
BNP Paribas Securities Corp. and BNP Paribas Prime Brokerage, Inc. | BNP Paribas | financial services | anti-money-laundering deficiencies | 2019 | $15,000,000 |
BNY Brokerage, Inc. | | | investor protection violation | 2004 | $12,000 |
BNY Mellon Capital Markets, LLC | Bank of New York Mellon | financial services | investor protection violation | 2008 | $250,000 |
BofA Securities, Inc. | Bank of America | financial services | investor protection violation | 2022 | $5,000,000 |
BofA Securities, Inc. | Bank of America | financial services | investor protection violation | 2023 | $24,000,000 |
BOSC, Inc. | | | investor protection violation | 2005 | $30,000 |
Boston Capital Securities, Inc. | | | investor protection violation | 2006 | $1,200,000 |
Botta Trading, LLC | | | investor protection violation | 2000 | $75,000 |
Brecek & Young Advisors, Inc. | | | investor protection violation | 2004 | $31,224 |
Brinker Capital Securities, Inc. | | | investor protection violation | 2005 | $60,000 |
Broadpoint Capital, Inc. | | | investor protection violation | 2008 | $200,000 |
Brookstone Securities | | | investor protection violation | 2012 | $2,600,000 |
Brookville Capital Partners LLC | | | investor protection violation | 2015 | $1,500,000 |
Brown Brothers Harriman & Co. | Brown Brothers Harriman | financial services | anti-money-laundering deficiencies | 2014 | $8,000,000 |
BRUT LLC | Nasdaq Inc. | financial services | investor protection violation | 2006 | $2,200,000 |
Buckman, Buckman & Reid, Inc. | | | investor protection violation | 2019 | $205,000 |
C.L. King & Associates, Inc. | | | investor protection violation | 2017 | $750,000 |
Cain Brothers & Company, LLC and SHP Capital Markets, Inc. | | | investor protection violation | 2000 | $1,180,000 |
Cantor Fitzgerald & Co. | Cantor Fitzgerald | financial services | investor protection violation | 2019 | $2,000,000 |
Cantor Fitzgerald & Co. | Cantor Fitzgerald | financial services | investor protection violation | 2015 | $7,300,000 |
Capital Financial Services | | | investor protection violation | 2011 | $200,000 |
Carlin Equities Corporation | | | investor protection violation | 2004 | $35,000 |
CCO Investment Services Corp. | Citizens Financial Group | financial services | investor protection violation | 2006 | $850,000 |
Centaurus Financial, Inc. | | | investor protection violation | 2009 | $175,000 |
Cetera Advisor Networks LLC | | | investor protection violation | 2016 | $750,000 |
Cetera Advisor Networks LLC | | | investor protection violation | 2015 | $301,108 |
Cetera Advisors LLC | | | investor protection violation | 2015 | $702,622 |
Cetera Financial Specialists LLC | | | investor protection violation | 2016 | $350,000 |
Charles Schwab & Co, Inc. | Charles Schwab Corp. | financial services | investor protection violation | 2004 | $60,869 |
Charles Schwab & Co. | Charles Schwab Corp. | financial services | investor protection violation | 2015 | $2,000,000 |
Charles Schwab & Co., Inc. | Charles Schwab Corp. | financial services | investor protection violation | 2014 | $500,000 |
Charles Schwab & Company | Charles Schwab Corp. | financial services | investor protection violation | 2013 | $500,000 |
Charles Schwab & Company, Inc. | Charles Schwab Corp. | financial services | investor protection violation | 2011 | $18,000,000 |
Chase Investment Services | JPMorgan Chase | financial services | investor protection violation | 2005 | $290,262 |
Chase Investment Services | JPMorgan Chase | financial services | investor protection violation | 2005 | $2,000,000 |