Worden Capital Management LLC | | | investor protection violation | 2020 | $1,550,000 |
Lek Securities Corporation | | | investor protection violation | 2019 | $900,000 |
Summit Brokerage Services, Inc. | | | investor protection violation | 2019 | $880,000 |
Buckman, Buckman & Reid, Inc. | | | investor protection violation | 2019 | $205,000 |
TradeStation Securities, Inc. | | | investor protection violation | 2008 | $750,000 |
Instinet, LLC | | | investor protection violation | 2018 | $1,575,000 |
Aegis Capital Corp. | | | anti-money-laundering deficiencies | 2018 | $550,000 |
C.L. King & Associates, Inc. | | | investor protection violation | 2017 | $750,000 |
Purshe Kaplan Sterling Investments | | | investor protection violation | 2017 | $4,150,000 |
Georgeson Securities Corporation | | | investor protection violation | 2016 | $650,000 |
Cetera Advisor Networks LLC | | | investor protection violation | 2016 | $750,000 |
Cetera Financial Specialists LLC | | | investor protection violation | 2016 | $350,000 |
First Allied Securities, Inc. | | | investor protection violation | 2016 | $950,000 |
Summit Brokerage Services, Inc. | | | investor protection violation | 2016 | $500,000 |
VSR Financial Services, Inc. | | | investor protection violation | 2016 | $400,000 |
Kestra Investment Services, LLC | | | investor protection violation | 2016 | $475,000 |
FTB Advisors, Inc. | | | investor protection violation | 2016 | $250,000 |
Avenir Financial Group | | | investor protection violation | 2016 | $229,000 |
Stephens Inc. | | | investor protection violation | 2016 | $900,000 |
Stephens Inc. | | | investor protection violation | 2015 | $150,000 |
First Allied Securities, Inc. | | | investor protection violation | 2015 | $1,014,647 |
Cetera Advisors LLC | | | investor protection violation | 2015 | $702,622 |
Park Avenue Securities LLC | | | investor protection violation | 2015 | $743,255 |
Commonwealth Financial Network | | | investor protection violation | 2015 | $582,521 |
Cetera Advisor Networks LLC | | | investor protection violation | 2015 | $301,108 |
Infinex Investments, Inc. | | | investor protection violation | 2015 | $259,627 |
The Huntington Investment Company | | | investor protection violation | 2015 | $135,973 |
StockCross Financial Services, Inc. | | | investor protection violation | 2015 | $800,000 |
Aegis Capital Corp. | | | investor protection violation | 2015 | $950,000 |
H. Beck, Inc. | | | investor protection violation | 2015 | $425,000 |
LaSalle St. Securities, LLC | | | investor protection violation | 2015 | $175,000 |
J.P. Turner & Company, LLC | | | investor protection violation | 2015 | $100,000 |
First New York Securities L.L.C. | | | investor protection violation | 2015 | $916,000 |
Brookville Capital Partners LLC | | | investor protection violation | 2015 | $1,500,000 |
John Thomas Financial | | | investor protection violation | 2015 | $1,147,288 |
Monex Securities Inc. | | | investor protection violation | 2014 | $1,275,000 |
Pershing LLC | | | investor protection violation | 2014 | $3,000,000 |
Needham & Company LLC | | | investor protection violation | 2014 | $2,500,000 |
Triad Advisors | | | investor protection violation | 2014 | $1,025,000 |
Banorte-Ixe Securities International, Ltd. | | | anti-money-laundering deficiencies | 2014 | $475,000 |
COR Clearing LLC | | | anti-money-laundering deficiencies | 2013 | $1,000,000 |
J.P. Turner & Company, L.L.C. | | | investor protection violation | 2013 | $707,559 |
Newedge USA, LLC | | | investor protection violation | 2013 | $9,500,000 |
StateTrust Investments, Inc. | | | investor protection violation | 2013 | $1,398,000 |
Atlas One Financial Group, LLC | | | anti-money-laundering deficiencies | 2013 | $350,000 |
Firstrade Securities, Inc. | | | anti-money-laundering deficiencies | 2013 | $300,000 |
World Trade Financial Corporation | | | anti-money-laundering deficiencies | 2013 | $250,000 |
David Lerner Associates, Inc. | | | investor protection violation | 2012 | $14,300,000 |
Guggenheim Securities, LLC | | | investor protection violation | 2012 | $800,000 |
Hold Brothers On-Line Investment Services, LLC | | | investor protection violation | 2012 | $3,400,000 |
Rodman & Renshaw LLC | | | investor protection violation | 2012 | $315,000 |
Brookstone Securities | | | investor protection violation | 2012 | $2,600,000 |
Citi International Financial Services LLC | | | investor protection violation | 2012 | $1,248,000 |
Investors Capital Corporation | | | investor protection violation | 2011 | $400,000 |
Garden State Securities, Inc. | | | investor protection violation | 2011 | $300,000 |
Capital Financial Services | | | investor protection violation | 2011 | $200,000 |
National Securities Corporation | | | investor protection violation | 2011 | $175,000 |
Equity Services, Inc. | | | investor protection violation | 2011 | $214,000 |
Newbridge Securities Corporation | | | investor protection violation | 2011 | $25,000 |
Wells Investment Securities, Inc. | | | investor protection violation | 2011 | $300,000 |
Pointe Capital, Inc. | | | investor protection violation | 2011 | $300,000 |
John Thomas Financial | | | investor protection violation | 2011 | $275,000 |
First Midwest Securities, Inc. | | | investor protection violation | 2011 | $150,000 |
A&F Financial Securities, Inc. | | | investor protection violation | 2011 | $125,000 |
Salomon Whitney LLC | | | investor protection violation | 2011 | $60,000 |
Workman Securities Corp. | | | investor protection violation | 2011 | $700,000 |
Askar Corporation | | | investor protection violation | 2011 | $45,000 |
Trillium Brokerage Services, LLC | | | investor protection violation | 2010 | $1,000,000 |
Phoenix Derivatives Group, LLC | | | investor protection violation | 2010 | $3,000,000 |
National Financial Services | | | investor protection violation | 2010 | $350,000 |
Westpark Capital, Inc. | | | investor protection violation | 2010 | $400,000 |
Fagenson & Co., Inc. | | | investor protection violation | 2010 | $165,000 |
Alpine Securities Corporation | | | investor protection violation | 2010 | $40,000 |
Equity Station, Inc. | | | investor protection violation | 2010 | $25,000 |
Olympus Securities, LLC | | | investor protection violation | 2010 | $20,000 |
D.A. Davidson & Co. | | | investor protection violation | 2010 | $375,000 |
Penson Financial Services | | | anti-money-laundering deficiencies | 2010 | $450,000 |
Pinnacle Capital Markets | | | anti-money-laundering deficiencies | 2010 | $300,000 |
Pacific Cornerstone Capital | | | investor protection violation | 2009 | $700,000 |
Terra Nova Financial, LLC | | | investor protection violation | 2009 | $400,000 |
City Securities Corporation | | | investor protection violation | 2009 | $250,000 |
Legacy Trading Co., LLC | | | investor protection violation | 2009 | $1,007,035 |
IFMG Securities | | | investor protection violation | 2009 | $450,000 |
J.P. Turner & Co. | | | anti-money-laundering deficiencies | 2009 | $525,000 |
Park Financial Group, Inc. | | | anti-money-laundering deficiencies | 2009 | $400,000 |
Legent Clearing, LLC | | | anti-money-laundering deficiencies | 2009 | $350,000 |
Mutual Service Corporation | | | investor protection violation | 2009 | $1,500,000 |
RD Capital Group | | | investor protection violation | 2009 | $1,000,000 |
NatCity Investments, Inc. | | | investor protection violation | 2009 | $300,000 |
M&I Financial Advisors, Inc. | | | investor protection violation | 2009 | $150,000 |
Centaurus Financial, Inc. | | | investor protection violation | 2009 | $175,000 |
J.J.B. Hilliard, W.L. Lyons Inc. | | | investor protection violation | 2009 | $500,000 |
Multi-Financial Securities Corporation | | | investor protection violation | 2009 | $150,000 |
H. Beck, Inc. | | | investor protection violation | 2009 | $140,000 |
SWS Financial Services | | | investor protection violation | 2009 | $70,000 |
Leonard & Company | | | investor protection violation | 2009 | $60,000 |
SIGMA Financial Corporation | | | investor protection violation | 2009 | $50,000 |
Intersecurities, Inc. | | | investor protection violation | 2009 | $50,000 |
Fox & Company Investments Inc. | | | investor protection violation | 2009 | $45,000 |
vFinance Investments, Inc. | | | investor protection violation | 2009 | $27,500 |
Investors Capital Corp. | | | investor protection violation | 2009 | $25,000 |