Morgan Stanley & Co. Inc. | Morgan Stanley | financial services | investor protection violation | 2000 | $200,000 |
E-TRADE Securities, Inc. | Morgan Stanley | financial services | investor protection violation | 2000 | $20,000 |
E-TRADE Securities, Inc. | Morgan Stanley | financial services | investor protection violation | 2000 | $20,000 |
Morgan Stanley & Co., Inc. | Morgan Stanley | financial services | investor protection violation | 2000 | $495,000 |
Morgan Stanley Smith Barney LLC | Morgan Stanley | financial services | investor protection violation | 2024 | $1,600,000 |
MetLife Securities, Inc. | MetLife | financial services | investor protection violation | 2016 | $25,000,000 |
MetLife Securities, Inc. | MetLife | financial services | investor protection violation | 2015 | $649,748 |
MetLife Securities, Inc. | MetLife | financial services | investor protection violation | 2009 | $1,200,000 |
New England Securities | MetLife | financial services | investor protection violation | 2009 | $500,000 |
MetLife Securities, Inc | MetLife | financial services | investor protection violation | 2006 | $500,000 |
MetLife, Inc. | MetLife | financial services | investor protection violation | 2006 | $5,000,000 |
Metropolitan Life Insurance Co. | MetLife | financial services | investor protection violation | 2004 | $375,000 |
New England Securities | MetLife | financial services | investor protection violation | 2004 | $200,000 |
MML Investors Services, Inc. | Massachusetts Mutual Life Insurance | financial services | investor protection violation | 2007 | $473,000 |
MML Investor Services, Inc. | Massachusetts Mutual Life Insurance | financial services | investor protection violation | 2004 | $250,000 |
Macquarie Capital (USA) Inc. | Macquarie | financial services | investor protection violation | 2015 | $2,950,000 |
Waddell & Reed, Inc. | Macquarie | financial services | investor protection violation | 2005 | (*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $16,000,000 |
M&T Securities, Inc. | M&T Bank | financial services | investor protection violation | 2009 | $200,000 |
LPL Financial LLC | LPL Financial | financial services | investor protection violation | 2019 | $280,000 |
LPL Financial, LLC | LPL Financial | financial services | investor protection violation | 2018 | $2,750,000 |
LPL Financial LLC | LPL Financial | financial services | investor protection violation | 2016 | $750,000 |
LPL Financial LLC | LPL Financial | financial services | investor protection violation | 2015 | $6,300,000 |
LPL Financial LLC | LPL Financial | financial services | investor protection violation | 2015 | $11,700,000 |
LPL Financial LLC | LPL Financial | financial services | investor protection violation | 2014 | $950,000 |
LPL Financial LLC | LPL Financial | financial services | investor protection violation | 2013 | $9,000,000 |
Investment Centers of America, Inc. | LPL Financial | financial services | investor protection violation | 2005 | $363,500 |
Lincoln Financial Securities, Inc. and Lincoln Financial Advisors Corporation | Lincoln National | financial services | investor protection violation | 2011 | $600,000 |
Lincoln Financial Advisors Corporation | Lincoln National | financial services | investor protection violation | 2005 | $950,000 |
Jefferson Pilot Variable Corporation | Lincoln National | financial services | investor protection violation | 2005 | $688,697 |
Jefferson Pilot Securities Corporation | Lincoln National | financial services | investor protection violation | 2004 | $125,000 |
KeyBanc Capital Markets, Inc. | KeyCorp | financial services | investor protection violation | 2009 | $425,000 |
Kemper Distributors, Inc. | Kemper | financial services | investor protection violation | 2000 | $100,000 |
J.P. Morgan Securities LLC | JPMorgan Chase | financial services | investor protection violation | 2019 | $280,000 |
J.P. Morgan Securities LLC | JPMorgan Chase | financial services | investor protection violation | 2019 | $1,100,000 |
J.P. Morgan Securities | JPMorgan Chase | financial services | investor protection violation | 2017 | $2,800,000 |
J.P. Morgan Securities, LLC | JPMorgan Chase | financial services | investor protection violation | 2017 | $1,250,000 |
J.P. Morgan Securities LLC | JPMorgan Chase | financial services | investor protection violation | 2017 | $800,000 |
JP Morgan Securities LLC | JPMorgan Chase | financial services | investor protection violation | 2014 | $5,000,000 |
JP Morgan | JPMorgan Chase | financial services | investor protection violation | 2012 | $623,376 |
Chase Investment Services Corporation | JPMorgan Chase | financial services | investor protection violation | 2011 | $3,600,000 |
Chase Investment Services Corp. | JPMorgan Chase | financial services | investor protection violation | 2009 | $250,000 |
Chase Investment Services Corp. | JPMorgan Chase | financial services | investor protection violation | 2009 | $32,500 |
Banc One Securities Corporation | JPMorgan Chase | financial services | investor protection violation | 2008 | $225,000 |
Bear, Stearns & Co., Inc. | JPMorgan Chase | financial services | investor protection violation | 2008 | $150,000 |
J.P. Morgan Securities, Inc. | JPMorgan Chase | financial services | investor protection violation | 2007 | $500,000 |
Chase Investment Services Corporation | JPMorgan Chase | financial services | investor protection violation | 2006 | $500,000 |
Chase Investment Services | JPMorgan Chase | financial services | investor protection violation | 2005 | $290,262 |
J.P. Morgan Securities, Inc. | JPMorgan Chase | financial services | investor protection violation | 2005 | $160,000 |
Chase Investment Services Corp. | JPMorgan Chase | financial services | investor protection violation | 2005 | $60,000 |
J.P. Morgan Securities, Inc. | JPMorgan Chase | financial services | investor protection violation | 2005 | $150,000 |
Chase Investment Services | JPMorgan Chase | financial services | investor protection violation | 2005 | $2,000,000 |
Banc One Securities Corporation | JPMorgan Chase | financial services | investor protection violation | 2005 | $400,000 |
Chase Investment Services Corp. | JPMorgan Chase | financial services | investor protection violation | 2004 | $250,000 |
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 |
J.P. Morgan Securities, Inc. | JPMorgan Chase | financial services | investor protection violation | 2003 | $6,000,000 |
J.P. Morgan Securities, Inc. | JPMorgan Chase | financial services | investor protection violation | 2001 | $10,000 |
Chase Securities, Inc. | JPMorgan Chase | financial services | investor protection violation | 2001 | $10,000 |
J. P. Morgan Securities Inc. | JPMorgan Chase | financial services | investor protection violation | 2000 | $200,000 |
Edward D. Jones & Co., L.P. | Jones Financial | financial services | investor protection violation | 2015 | $13,500,000 |
Edward D. Jones & Co., L.P. | Jones Financial | financial services | investor protection violation | 2009 | $900,000 |
Edward D. Jones & Co., L.P. | Jones Financial | financial services | investor protection violation | 2006 | $250,000 |
Edward D. Jones & Co., L.P. | Jones Financial | financial services | investor protection violation | 2005 | $300,000 |
Edward Jones & Co., LP | Jones Financial | financial services | investor protection violation | 2004 | $300,000 |
Edward Jones | Jones Financial | financial services | investor protection violation | 2004 | $25,181 |
Jefferies & Company, Inc. | Jefferies Financial Group | diversified | investor protection violation | 2011 | $1,925,000 |
Jefferies & Company, Inc. | Jefferies Financial Group | diversified | investor protection violation | 2008 | $50,000 |
Jefferies & Company, Inc. | Jefferies Financial Group | diversified | investor protection violation | 2006 | $5,500,000 |
Interactive Brokers LLC | Interactive Brokers Group | financial services | anti-money-laundering deficiencies | 2020 | $15,000,000 |
Interactive Brokers LLC | Interactive Brokers Group | financial services | investor protection violation | 2018 | $5,500,000 |
Interactive Brokers LLC | Interactive Brokers Group | financial services | investor protection violation | 2017 | $450,000 |
Interactive Brokers, L.L.C. | Interactive Brokers Group | financial services | investor protection violation | 2002 | $230,000 |
Industrial and Commercial Bank of China Financial Services LLC | Industrial and Commercial Bank of China | financial services | anti-money-laundering deficiencies | 2018 | $5,300,000 |
HSBC Securities (USA) Inc. | HSBC | financial services | investor protection violation | 2010 | $375,000 |
HSBC Securities (USA) | HSBC | financial services | investor protection violation | 2010 | $1,500,000 |
HSBC Brokerage | HSBC | financial services | investor protection violation | 2007 | $250,000 |
Southwest Securities, Inc. | Hilltop Holdings | financial services | investor protection violation | 2011 | $650,000 |
Southwest Securities, Inc. | Hilltop Holdings | financial services | investor protection violation | 2011 | $500,000 |
Southwest Securities, Inc. | Hilltop Holdings | financial services | investor protection violation | 2004 | $36,971 |
Southwest Securities Inc. | Hilltop Holdings | financial services | investor protection violation | 2000 | $500,000 |
H&R Block Financial Advisors, Inc. | H&R Block | financial services | investor protection violation | 2010 | $200,000 |
H&R Block Financial Advisors, Inc. | H&R Block | financial services | investor protection violation | 2004 | $825,000 |
Goldman Sachs Execution & Clearing, L.P. | Goldman Sachs | financial services | investor protection violation | 2015 | $1,800,000 |
Goldman, Sachs & Co. | Goldman Sachs | financial services | investor protection violation | 2014 | $5,000,000 |
Goldman Sachs Execution & Clearing, L.P. | Goldman Sachs | financial services | investor protection violation | 2014 | $800,000 |
Goldman, Sachs & Co. | Goldman Sachs | financial services | investor protection violation | 2014 | $1,000,000 |
Goldman Sachs | Goldman Sachs | financial services | investor protection violation | 2012 | $683,997 |
Goldman, Sachs & Co. | Goldman Sachs | financial services | investor protection violation | 2012 | (*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $11,000,000 |
Goldman, Sachs & Co. | Goldman Sachs | financial services | investor protection violation | 2010 | $650,000 |
Goldman, Sachs & Co. | Goldman Sachs | financial services | investor protection violation | 2005 | $140,000 |
Goldman, Sachs & Co. | Goldman Sachs | financial services | investor protection violation | 2005 | $125,000 |
Spear, Leeds & Kellogg, L.P | Goldman Sachs | financial services | investor protection violation | 2005 | $1,000,000 |
Spear, Leeds & Kellogg, L.P. | Goldman Sachs | financial services | investor protection violation | 2004 | $75,000 |
Goldman, Sachs & Co. | Goldman Sachs | financial services | investor protection violation | 2004 | $5,000,000 |
Goldman, Sachs & Co. | Goldman Sachs | financial services | investor protection violation | 2002 | (*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $1,650,000 |
Spear, Leeds & Kellogg | Goldman Sachs | financial services | investor protection violation | 2001 | $10,000 |
Putnam Retail Management Limited Partnership | Franklin Resources | financial services | investor protection violation | 2007 | $175,000 |
Fifth Third Securities, Inc. | Fifth Third Bancorp | financial services | investor protection violation | 2018 | $6,000,000 |
Fifth Third Securities, Inc. | Fifth Third Bancorp | financial services | investor protection violation | 2015 | $963,534 |
Fifth Third Securities, Inc. | Fifth Third Bancorp | financial services | investor protection violation | 2009 | $150,000 |
Fifth Third Securities, Inc. | Fifth Third Bancorp | financial services | investor protection violation | 2009 | $1,750,000 |