Janney Montgomery Scott LLC | Penn Mutual | financial services | investor protection violation | 2009 | $200,000 |
Fifth Third Securities, Inc. | Fifth Third Bancorp | financial services | investor protection violation | 2009 | $1,750,000 |
Edward D. Jones & Co., L.P. | Jones Financial | financial services | investor protection violation | 2009 | $900,000 |
Morgan Stanley & Co. | Morgan Stanley | financial services | investor protection violation | 2009 | $7,200,000 |
Wachovia Securities, LLC and First Clearing, LLC | Wells Fargo | financial services | investor protection violation | 2009 | $1,100,000 |
New England Securities | MetLife | financial services | investor protection violation | 2009 | $500,000 |
SunAmerica Securities, Inc. | American International Group | financial services | investor protection violation | 2009 | $300,000 |
Chase Investment Services Corp. | JPMorgan Chase | financial services | investor protection violation | 2009 | $32,500 |
ProEquities, Inc. | Dai-ichi Life | financial services | investor protection violation | 2009 | $25,000 |
Citigroup Global Markets | Citigroup | financial services | investor protection violation | 2009 | $2,000,000 |
Wachovia Securities | Wells Fargo | financial services | investor protection violation | 2009 | $4,500,000 |
E-Trade Securities LLC and E-Trade Clearing LLC | Morgan Stanley | financial services | anti-money-laundering deficiencies | 2009 | $1,000,000 |
Citigroup Global Markets, Inc. | Citigroup | financial services | investor protection violation | 2008 | $300,000 |
BNY Mellon Capital Markets, LLC | Bank of New York Mellon | financial services | investor protection violation | 2008 | $250,000 |
SunTrust Investment Services, Inc. | Truist Financial | financial services | investor protection violation | 2008 | $700,000 |
SunTrust Robinson Humphrey, Inc. | Truist Financial | financial services | investor protection violation | 2008 | $1,650,000 |
Comerica Securities, Inc. | Comerica | financial services | investor protection violation | 2008 | $750,000 |
SunTrust Investment Services, Inc. | Truist Financial | financial services | investor protection violation | 2008 | $300,000 |
Prudential Securities | Wells Fargo | financial services | investor protection violation | 2008 | $1,050,000 |
UBS Financial Services, Inc. | UBS | financial services | investor protection violation | 2008 | $1,000,000 |
Pruco Securities | Prudential Financial | financial services | investor protection violation | 2008 | $100,000 |
Merrill Lynch | Bank of America | financial services | investor protection violation | 2008 | $250,000 |
Oppenheimer & Co. | Oppenheimer Holdings | financial services | investor protection violation | 2008 | $4,500,000 |
Banc One Securities Corporation | JPMorgan Chase | financial services | investor protection violation | 2008 | $225,000 |
CIBC World Markets Corp. | Canadian Imperial Bank of Commerce | financial services | investor protection violation | 2008 | $200,000 |
Merrill Lynch, Pierce, Fenner & Smith, Inc. | Bank of America | financial services | investor protection violation | 2008 | $200,000 |
Thomas Weisel Partners, LLC | Stifel Financial | financial services | investor protection violation | 2008 | $200,000 |
UBS Securities, LLC | UBS | financial services | investor protection violation | 2008 | $200,000 |
Bear, Stearns & Co., Inc. | JPMorgan Chase | financial services | investor protection violation | 2008 | $150,000 |
BMO Capital Markets Corp. | Bank of Montreal | financial services | investor protection violation | 2008 | $150,000 |
Cowen and Company, LLC | Toronto-Dominion Bank | financial services | investor protection violation | 2008 | $150,000 |
Deutsche Bank Securities, Inc., | Deutsche Bank | financial services | investor protection violation | 2008 | $150,000 |
RBC Capital Markets Corp. | Royal Bank of Canada | financial services | investor protection violation | 2008 | $150,000 |
Friedman, Billings, Ramsey & Co., Inc. | Arlington Asset Investment Corp. | financial services | investor protection violation | 2008 | $50,000 |
Piper Jaffray & Co. | Piper Sandler | financial services | investor protection violation | 2008 | $100,000 |
J.P. Morgan Securities, Inc. | JPMorgan Chase | financial services | investor protection violation | 2007 | $500,000 |
Wachovia Capital Markets, LLC | Wells Fargo | financial services | investor protection violation | 2007 | $300,000 |
Oppenheimer & Co. Inc. | Oppenheimer Holdings | financial services | investor protection violation | 2007 | $1,000,000 |
UBS Financial Services, Inc. | UBS | financial services | investor protection violation | 2007 | $370,000 |
Morgan Stanley & Co. | Morgan Stanley | financial services | investor protection violation | 2007 | $12,500,000 |
AXA Advisors, LLC | Equitable Holdings | financial services | investor protection violation | 2007 | $2,600,000 |
Morgan Stanley DW Inc. | Morgan Stanley | financial services | investor protection violation | 2007 | $6,100,000 |
MML Investors Services, Inc. | Massachusetts Mutual Life Insurance | financial services | investor protection violation | 2007 | $473,000 |
NYLIFE Securities LLC | New York Life Insurance | financial services | investor protection violation | 2007 | $354,000 |
Northwestern Mutual Investment Services, LLC | Northwestern Mutual | financial services | investor protection violation | 2007 | $100,000 |
Wells Fargo Securities, LLC | Wells Fargo | financial services | investor protection violation | 2007 | $250,000 |
Wachovia Securities LLC | Wells Fargo | financial services | investor protection violation | 2007 | $2,000,000 |
Citigroup Global Markets, Inc. | Citigroup | financial services | investor protection violation | 2007 | $15,200,000 |
HSBC Brokerage | HSBC | financial services | investor protection violation | 2007 | $250,000 |
Fidelity Investments Institutional Services Company, Inc. and Fidelity Distributors Corporation | Fidelity Investments | financial services | investor protection violation | 2007 | $400,000 |
Raymond James Financial Services Inc. | Raymond James Financial | financial services | investor protection violation | 2007 | $2,750,000 |
Banc of America Investment Services Inc. | Bank of America | financial services | anti-money-laundering deficiencies | 2007 | $3,000,000 |
Putnam Retail Management Limited Partnership | Franklin Resources | financial services | investor protection violation | 2007 | $175,000 |
AllianceBernstein Investments, Inc. | Equitable Holdings | financial services | investor protection violation | 2007 | $100,000 |
Fidelity Distributors Corp. et al. | Fidelity Investments | financial services | investor protection violation | 2007 | $3,750,000 |
Friedman, Billings, Ramsey & Co., Inc. | Arlington Asset Investment Corp. | financial services | investor protection violation | 2006 | $4,000,000 |
USAllianz Securities | Allianz | financial services | investor protection violation | 2006 | $5,000,000 |
Edward D. Jones & Co., L.P. | Jones Financial | financial services | investor protection violation | 2006 | $250,000 |
RBC Dain Rauscher Inc. | Royal Bank of Canada | financial services | investor protection violation | 2006 | $250,000 |
Morgan Stanley DW Inc. | Morgan Stanley | financial services | investor protection violation | 2006 | $100,000 |
Chase Investment Services Corporation | JPMorgan Chase | financial services | investor protection violation | 2006 | $500,000 |
MetLife Securities, Inc | MetLife | financial services | investor protection violation | 2006 | $500,000 |
CCO Investment Services Corp. | Citizens Financial Group | financial services | investor protection violation | 2006 | $850,000 |
Oppenheimer & Co. Inc. | Oppenheimer Holdings | financial services | investor protection violation | 2006 | $800,000 |
MetLife, Inc. | MetLife | financial services | investor protection violation | 2006 | $5,000,000 |
Morgan Stanley | Morgan Stanley | financial services | investor protection violation | 2006 | $2,900,000 |
Citigroup Global Markets Inc. | Citigroup | financial services | investor protection violation | 2006 | $1,115,000 |
ING America Insurance Holdings Inc. | Voya Financial | financial services | investor protection violation | 2006 | $7,000,000 |
BRUT LLC | Nasdaq Inc. | financial services | investor protection violation | 2006 | $2,200,000 |
Citigroup Global Markets, Inc. | Citigroup | financial services | investor protection violation | 2006 | $350,000 |
Credit Suisse Securities (USA), LLC | UBS | financial services | investor protection violation | 2006 | $225,000 |
Morgan Stanley & Co. Incorporated | Morgan Stanley | financial services | investor protection violation | 2006 | $200,000 |
Merrill Lynch, Pierce, Fenner & Smith Inc. | Bank of America | financial services | investor protection violation | 2006 | $5,000,000 |
Sanford C. Bernstein & Co. | Equitable Holdings | financial services | investor protection violation | 2006 | $350,000 |
Oppenheimer & Co. Inc. | Oppenheimer Holdings | financial services | investor protection violation | 2006 | $250,000 |
Merrill Lynch, Pierce, Fenner & Smith | Bank of America | financial services | investor protection violation | 2005 | $14,000,000 |
Wells Fargo Investments | Wells Fargo | financial services | investor protection violation | 2005 | $3,000,000 |
Chase Investment Services | JPMorgan Chase | financial services | investor protection violation | 2005 | $290,262 |
Ameriprise Financial Services, Inc. | Ameriprise Financial | financial services | investor protection violation | 2005 | $12,300,000 |
State Street Global Markets LLC | State Street Corp. | financial services | investor protection violation | 2005 | $1,400,000 |
SG Americas Securities, LLC | Societe Generale | financial services | investor protection violation | 2005 | $4,478,000 |
RBC Capital Markets Corporation | Royal Bank of Canada | financial services | investor protection violation | 2005 | $2,108,000 |
RBC Dain Rauscher, Inc. | Royal Bank of Canada | financial services | investor protection violation | 2005 | $1,158,000 |
Ameriprise Financial Services, Inc. | Ameriprise Financial | financial services | investor protection violation | 2005 | $1,250,000 |
Janney Montgomery Scott LLC | Penn Mutual | financial services | investor protection violation | 2005 | $2,200,000 |
Lincoln Financial Advisors Corporation | Lincoln National | financial services | investor protection violation | 2005 | $950,000 |
Investment Centers of America, Inc. | LPL Financial | financial services | investor protection violation | 2005 | $363,500 |
ING Funds Distributor | Voya Financial | financial services | investor protection violation | 2005 | $1,500,000 |
Edward D. Jones & Co., L.P. | Jones Financial | financial services | investor protection violation | 2005 | $300,000 |
Morgan Stanley DW, Inc. | Morgan Stanley | financial services | investor protection violation | 2005 | $6,100,000 |
Piper Jaffray & Co. | Piper Sandler | financial services | investor protection violation | 2005 | $280,000 |
ABN AMRO Incorporated | ABN AMRO | financial services | investor protection violation | 2005 | $220,000 |
J.P. Morgan Securities, Inc. | JPMorgan Chase | financial services | investor protection violation | 2005 | $160,000 |
Goldman, Sachs & Co. | Goldman Sachs | financial services | investor protection violation | 2005 | $140,000 |
Banc of America Investment Services, Inc. | Bank of America | financial services | investor protection violation | 2005 | $90,000 |
Raymond James & Associates, Inc. | Raymond James Financial | financial services | investor protection violation | 2005 | $90,000 |
Chase Investment Services Corp. | JPMorgan Chase | financial services | investor protection violation | 2005 | $60,000 |
Citigroup Global Markets Inc. | Citigroup | financial services | investor protection violation | 2005 | $60,000 |
CIBC World Markets Corp. | Canadian Imperial Bank of Commerce | financial services | investor protection violation | 2005 | $40,000 |
UBS International Inc. | UBS | financial services | investor protection violation | 2005 | $10,000 |
Morgan Stanley & Co. | Morgan Stanley | financial services | investor protection violation | 2005 | $2,650,000 |