Linsco/Private Ledger Corporation | | | investor protection violation | 2005 | $2,400,000 |
First Avantus Securities, Inc. | | | investor protection violation | 2005 | $100,000 |
National Securities Corporation | | | investor protection violation | 2005 | $85,000 |
First Clearing Corporation | | | investor protection violation | 2005 | $110,000 |
DebtTraders, Inc. | | | investor protection violation | 2005 | $120,000 |
Green Street Advisors | | | investor protection violation | 2005 | $150,000 |
Instinet, LLC and INET ATS, Inc. | | | investor protection violation | 2005 | $1,475,000 |
IFC Holdings, Inc. d/b/a INVEST Financial Corporation | | | investor protection violation | 2005 | $1,520,000 |
Commonwealth Financial Network | | | investor protection violation | 2005 | $1,400,000 |
National Planning Corporation Inc. | | | investor protection violation | 2005 | $1,308,000 |
Mutual Service Corporation | | | investor protection violation | 2005 | $1,300,000 |
SII Investments, Inc. | | | investor protection violation | 2005 | $658,500 |
Lord Abbett Distributor, LLC | | | investor protection violation | 2005 | $255,000 |
First Allied Securities, Inc. | | | investor protection violation | 2005 | $734,500 |
David Lerner Associates, Inc. | | | investor protection violation | 2005 | $115,000 |
Hantz Financial Services, Inc. | | | investor protection violation | 2005 | $675,000 |
Hornor, Townsend & Kent, Inc. | | | investor protection violation | 2005 | $325,000 |
Stephens, Inc. | | | investor protection violation | 2005 | $110,000 |
Stone & Youngberg, LLC | | | investor protection violation | 2005 | $110,000 |
Brinker Capital Securities, Inc. | | | investor protection violation | 2005 | $60,000 |
Emmet & Co., Inc. | | | investor protection violation | 2005 | $40,000 |
Loop Capital Markets, LLC | | | investor protection violation | 2005 | $40,000 |
Popular Securities, Inc. | | | investor protection violation | 2005 | $40,000 |
BOSC, Inc. | | | investor protection violation | 2005 | $30,000 |
Pershing LLC | | | investor protection violation | 2005 | $30,000 |
Prager, Sealy & Co., LLC | | | investor protection violation | 2005 | $30,000 |
Tejas Securities Group, Inc. | | | investor protection violation | 2005 | $10,000 |
H.D. Vest Investment Services | | | investor protection violation | 2005 | $4,015,000 |
Linsco/Private Ledger Corp. | | | investor protection violation | 2005 | $3,602,398 |
FSC Securities Corp. | | | investor protection violation | 2005 | $2,400,000 |
McDonald Investments Inc. | | | investor protection violation | 2005 | $1,500,000 |
Sentra Securities Corporation and Spelman & Co., Inc. | | | investor protection violation | 2005 | $780,000 |
Advantage Capital Corp. | | | investor protection violation | 2005 | $450,000 |
Advest, Inc. | | | investor protection violation | 2005 | $286,415 |
Quick & Reilly, Inc. | | | investor protection violation | 2005 | $570,000 |
LH Ross | | | investor protection violation | 2005 | $11,968,000 |
Yankee Financial Group, Inc. | | | investor protection violation | 2005 | $3,800,000 |
First Command Financial Planning Inc. | | | investor protection violation | 2004 | $12,000,000 |
Sigma Financial Corporation | | | investor protection violation | 2004 | $135,000 |
LINSCO/Private Ledger Corp. | | | investor protection violation | 2004 | $450,000 |
PFS Investments, Inc. | | | investor protection violation | 2004 | $450,000 |
WM Financial Services, Inc. | | | investor protection violation | 2004 | $350,000 |
J.P. Turner & Company, LLC | | | investor protection violation | 2004 | $185,000 |
Financial Network Investment Corp. | | | investor protection violation | 2004 | $185,000 |
Farmers Financial Solutions LLC | | | investor protection violation | 2004 | $125,000 |
InterSecurities, Inc. | | | investor protection violation | 2004 | $125,000 |
J.J.B. Hilliard, W.L. Lyons Inc. | | | investor protection violation | 2004 | $125,000 |
Quick & Reilly, Inc. | | | investor protection violation | 2004 | $125,000 |
Sentinel Financial Services Company | | | investor protection violation | 2004 | $700,000 |
BNY Brokerage, Inc. | | | investor protection violation | 2004 | $12,000 |
Carlin Equities Corporation | | | investor protection violation | 2004 | $35,000 |
Delta Asset Management Company, L.L.C. | | | investor protection violation | 2004 | $15,000 |
Doyle, Miles & Co., L.L.C. | | | investor protection violation | 2004 | $12,500 |
FutureTrade Securities, L.L.C | | | investor protection violation | 2004 | $35,000 |
Index Securities, LLC | | | investor protection violation | 2004 | $11,000 |
Mid-Atlantic Capital Corporation | | | investor protection violation | 2004 | $10,000 |
Options Trading Associates, LLC | | | investor protection violation | 2004 | $10,000 |
Pulse Trading, Inc. | | | investor protection violation | 2004 | $20,000 |
Quantlab Securities, L.P. | | | investor protection violation | 2004 | $12,500 |
Transcend Capital, LP | | | investor protection violation | 2004 | $10,000 |
National Securities Corp. | | | investor protection violation | 2004 | $600,000 |
Miller Tabak Roberts Securities, LLC | | | investor protection violation | 2004 | $5,000,000 |
First Trust Portfolios L.P | | | investor protection violation | 2004 | $118,680 |
D.A. Davidson & Co. | | | investor protection violation | 2004 | $150,000 |
National Planning Corp. | | | investor protection violation | 2004 | $100,000 |
SII Investments, Inc. | | | investor protection violation | 2004 | $100,000 |
Davenport & Co. LLC | | | investor protection violation | 2004 | $738,000 |
Nationwide Investment Services Corporation | | | investor protection violation | 2004 | $175,000 |
David Lerner Assoc. | | | investor protection violation | 2004 | $100,000 |
Robertson Stephens, Inc. | | | investor protection violation | 2004 | $275,000 |
Lehman Brothers Inc. | | | investor protection violation | 2004 | $123,882 |
Cresap, Inc. | | | investor protection violation | 2004 | $99,458 |
SWS Financial Services | | | investor protection violation | 2004 | $66,468 |
Kirkpatrick, Pettis, Smith, Polian Inc. | | | investor protection violation | 2004 | $39,935 |
David Lerner Associates, Inc. | | | investor protection violation | 2004 | $32,711 |
Brecek & Young Advisors, Inc. | | | investor protection violation | 2004 | $31,224 |
Worldco LLC | | | investor protection violation | 2004 | $1,500,000 |
Metropolitan Investment Securities, Inc. | | | investor protection violation | 2003 | $4,300,000 |
Wells Investment Securities, Inc. | | | investor protection violation | 2003 | $150,000 |
Altegris Investments, Inc. | | | investor protection violation | 2003 | $175,000 |
Robertson Stephens, Inc. | | | investor protection violation | 2003 | (*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $14,000,000 |
Fiero Brothers, Inc. | | | investor protection violation | 2002 | $1,000,000 |
Sterling Financial Investment Group | | | investor protection violation | 2002 | $40,000 |
Swift Trade Securities USA, Inc. | | | investor protection violation | 2002 | $101,000 |
Hornblower & Weeks, Inc. | | | investor protection violation | 2002 | $100,000 |
M.H. Meyerson, & Co., Inc. | | | investor protection violation | 2002 | $75,000 |
Tower Square Securities | | | investor protection violation | 2002 | $4,500,000 |
Worldco, LLC | | | investor protection violation | 2002 | $175,000 |
Mutual Service Corporation, Inc. | | | investor protection violation | 2001 | $35,000 |
National Financial Services, L.L.C. | | | investor protection violation | 2001 | $30,000 |
Windsor Capital Advisors, Inc. | | | investor protection violation | 2001 | $20,000 |
Pershing Trading Company, L.P. | | | investor protection violation | 2001 | $20,000 |
Gerard Klauer Mattison & Co., Inc. | | | investor protection violation | 2001 | $10,000 |
BancBoston Robertson Stephens | | | investor protection violation | 2001 | $10,000 |
Ko Securities, Inc. | | | investor protection violation | 2001 | $162,450 |
Fleet Securities, Inc. | | | investor protection violation | 2001 | $50,000 |
NDB Capital Markets LP | | | investor protection violation | 2001 | $250,000 |
Herzog, Heine, Geduld, Inc. | | | investor protection violation | 2001 | $18,000 |
Access Securities, Inc. | | | investor protection violation | 2001 | $14,000 |
Aegis Capital Corp. | | | investor protection violation | 2001 | $19,000 |
Dalton Kent Securities Group, Inc. | | | investor protection violation | 2001 | $25,000 |