CS First Boston Corp. | UBS | financial services | investor protection violation | 2000 | $1,240,000 |
Credit Suisse Securities | UBS | financial services | investor protection violation | 2022 | $9,000,000 |
UBS Securities LLC | UBS | financial services | investor protection violation | 2022 | $2,500,000 |
Knight Securities, L.P. | Virtu Financial | financial services | investor protection violation | 2004 | $12,500,000 |
Knight Securities L.P. | Virtu Financial | financial services | investor protection violation | 2002 | $1,500,000 |
VOYA Financial Advisors Inc. | Voya Financial | financial services | investor protection violation | 2016 | $4,550,000 |
ING Groep N.V. | Voya Financial | financial services | investor protection violation | 2013 | $1,200,000 |
ING America Insurance Holdings Inc. | Voya Financial | financial services | investor protection violation | 2006 | $7,000,000 |
ING Funds Distributor | Voya Financial | financial services | investor protection violation | 2005 | $1,500,000 |
ING Financial Partners, Inc. | Voya Financial | financial services | investor protection violation | 2004 | $200,000 |
Wedbush Securities Inc. | Wedbush Securities | financial services | investor protection violation | 2018 | $1,500,000 |
Wedbush Securities Inc. | Wedbush Securities | financial services | investor protection violation | 2016 | $675,000 |
Wells Fargo Clearing Services, LLC and Wells Fargo Advisors Financial Network, LLC | Wells Fargo | financial services | investor protection violation | 2020 | $2,075,000 |
Wells Fargo Clearing Services, LLC and Wells Fargo Advisors Financial Network, LLC | Wells Fargo | financial services | investor protection violation | 2017 | $3,400,000 |
Wells Fargo Securities, LLC and Wells Fargo Prime Services, LLC | Wells Fargo | financial services | investor protection violation | 2016 | $4,000,000 |
Wells Fargo Advisors, LLC, Wells Fargo Advisors Financial Network, LLC and First Clearing, LLC | Wells Fargo | financial services | investor protection violation | 2016 | $1,500,000 |
Wells Fargo Advisors, LLC and Wells Fargo Advisors Financial Network, LLC | Wells Fargo | financial services | investor protection violation | 2015 | $15,000,000 |
Wells Fargo Advisors and Wells Fargo Advisors Financial Network | Wells Fargo | financial services | anti-money-laundering deficiencies | 2014 | $1,500,000 |
Wells Fargo Securities, LLC | Wells Fargo | financial services | investor protection violation | 2014 | $4,000,000 |
Wells Fargo Advisors, LLC | Wells Fargo | financial services | investor protection violation | 2013 | $3,250,000 |
Wells Fargo Advisors, LLC | Wells Fargo | financial services | investor protection violation | 2012 | $1,931,488 |
Wells Fargo Investments, LLC | Wells Fargo | financial services | investor protection violation | 2011 | $2,000,000 |
Wells Fargo Advisors, LLC | Wells Fargo | financial services | investor protection violation | 2011 | $1,000,000 |
Wells Fargo Investments, LLC | Wells Fargo | financial services | investor protection violation | 2009 | $275,000 |
Wachovia Securities, LLC | Wells Fargo | financial services | investor protection violation | 2009 | $1,400,000 |
Wachovia Securities, LLC and First Clearing, LLC | Wells Fargo | financial services | investor protection violation | 2009 | $1,100,000 |
Wachovia Securities | Wells Fargo | financial services | investor protection violation | 2009 | $4,500,000 |
Prudential Securities | Wells Fargo | financial services | investor protection violation | 2008 | $1,050,000 |
Wachovia Capital Markets, LLC | Wells Fargo | financial services | investor protection violation | 2007 | $300,000 |
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 |
Wells Fargo Investments | Wells Fargo | financial services | investor protection violation | 2005 | $3,000,000 |
Wells Fargo Investments, LLC | Wells Fargo | financial services | investor protection violation | 2005 | $2,970,000 |
Wachovia Securities LLC | Wells Fargo | financial services | investor protection violation | 2004 | $650,000 |
Wells Fargo Investments, LLC | Wells Fargo | financial services | investor protection violation | 2004 | $150,000 |
Wachovia Securities, LLC. | Wells Fargo | financial services | investor protection violation | 2004 | $39,486 |
Prudential Securities Incorporated | Wells Fargo | financial services | investor protection violation | 2001 | $20,000 |
Prudential Securities, Inc. | Wells Fargo | financial services | investor protection violation | 2001 | $10,000 |
First Union Brokerage Services, Inc. | Wells Fargo | financial services | investor protection violation | 2001 | $32,500 |
First Union Securities, Inc. | Wells Fargo | financial services | investor protection violation | 2000 | $350,000 |
A.G. Edwards & Sons, Inc. | Wells Fargo | financial services | investor protection violation | 2000 | $5,890,000 |
Prudential Securities, Inc. | Wells Fargo | financial services | investor protection violation | 2000 | $100,000 |
Zions Direct, Inc. | Zions Bancorporation | financial services | investor protection violation | 2010 | $225,000 |