Stifel Nicolaus & Company | Stifel Financial | financial services | investor protection violation | 2004 | $125,000 |
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 |
American Express Financial Advisors, Inc. | Ameriprise Financial | financial services | investor protection violation | 2004 | $300,000 |
Bear, Stearns & Co. Inc. | JPMorgan Chase | financial services | investor protection violation | 2004 | $4,950,000 |
Deutsche Bank Securities, Inc. | Deutsche Bank | financial services | investor protection violation | 2004 | $5,290,000 |
Morgan Stanley & Co. Inc. | Morgan Stanley | financial services | investor protection violation | 2004 | $5,390,000 |
David Lerner Assoc. | | | investor protection violation | 2004 | $100,000 |
Robertson Stephens, Inc. | | | investor protection violation | 2004 | $275,000 |
Ameritrade, Inc. | Charles Schwab Corp. | financial services | investor protection violation | 2004 | $10,000,000 |
AXA Advisors, LLC | Equitable Holdings | financial services | investor protection violation | 2004 | $250,000 |
State Street Research Investment Services, Inc. | BlackRock | financial services | investor protection violation | 2004 | $1,500,000 |
Bear, Stearns & Co. Inc. | JPMorgan Chase | financial services | investor protection violation | 2004 | $280,469 |
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 |
Southwest Securities, Inc. | Hilltop Holdings | financial services | investor protection violation | 2004 | $36,971 |
David Lerner Associates, Inc. | | | investor protection violation | 2004 | $32,711 |
Brecek & Young Advisors, Inc. | | | investor protection violation | 2004 | $31,224 |
Credit Suisse First Boston LLC | UBS | financial services | investor protection violation | 2004 | $770,000 |
Prudential Equity Group, Inc. and Prudential Investment Management Services LLC | Prudential Financial | financial services | investor protection violation | 2004 | $11,500,000 |
Worldco LLC | | | investor protection violation | 2004 | $1,500,000 |
Metropolitan Investment Securities, Inc. | | | investor protection violation | 2003 | $4,300,000 |
Morgan Stanley DW Inc. | Morgan Stanley | financial services | 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. $50,000,000 |
Wells Investment Securities, Inc. | | | investor protection violation | 2003 | $150,000 |
Morgan Stanley DW Inc. | Morgan Stanley | financial services | investor protection violation | 2003 | $2,000,000 |
Altegris Investments, Inc. | | | investor protection violation | 2003 | $175,000 |
J.P. Morgan Securities, Inc. | JPMorgan Chase | financial services | investor protection violation | 2003 | $6,000,000 |
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 |
American Express Financial Advisors Inc. | Ameriprise Financial | financial services | investor protection violation | 2002 | $350,000 |
Deutsche Bank Securities Inc. | Deutsche Bank | 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 |
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 |
Morgan Stanley & Co. Incorporated | Morgan Stanley | 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 |
Salomon Smith Barney Inc. | Morgan Stanley | 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 |
U.S. Bancorp Piper Jaffray Inc. | Piper Sandler | 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 |
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 |
Salomon Smith Barney | Morgan Stanley | financial services | investor protection violation | 2002 | $5,000,000 |
U.S. Bancorp Piper Jaffray | Piper Sandler | financial services | investor protection violation | 2002 | $250,000 |
Hornblower & Weeks, Inc. | | | investor protection violation | 2002 | $100,000 |
M.H. Meyerson, & Co., Inc. | | | investor protection violation | 2002 | $75,000 |
Interactive Brokers, L.L.C. | Interactive Brokers Group | financial services | investor protection violation | 2002 | $230,000 |
Credit Suisse First Boston Corporation | UBS | 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. $50,000,000 |
Tower Square Securities | | | investor protection violation | 2002 | $4,500,000 |
Worldco, LLC | | | investor protection violation | 2002 | $175,000 |
Knight Securities L.P. | Virtu Financial | financial services | investor protection violation | 2002 | $1,500,000 |
CUNA Brokerage Services, Inc. | CUNA Mutual | financial services | investor protection violation | 2001 | $100,000 |
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 |
Prudential Securities Incorporated | Wells Fargo | financial services | 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 |
J.P. Morgan Securities, Inc. | JPMorgan Chase | financial services | 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 |
Schwab Capital Markets | UBS | financial services | investor protection violation | 2001 | $12,000 |
Spear, Leeds & Kellogg | Goldman Sachs | financial services | investor protection violation | 2001 | $10,000 |
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 |
Ramius Securities L.L.C. | | | investor protection violation | 2001 | $61,000 |
Torrey Pines Securities, Inc. | | | investor protection violation | 2001 | $14,000 |
E-Trade Securities | Morgan Stanley | financial services | investor protection violation | 2001 | $90,000 |
NDB Capital Markets, LP | | | investor protection violation | 2001 | $75,000 |
Lehman Brothers, Inc. | | | investor protection violation | 2001 | $65,000 |
Fleet Securities, Inc. | | | investor protection violation | 2001 | $40,000 |
Herzog, Heine, Geduld, Inc. | | | investor protection violation | 2001 | $40,000 |
Banc of America Securities LLC | Bank of America | financial services | investor protection violation | 2001 | $40,000 |
Credit Suisse First Boston Corporation | UBS | financial services | investor protection violation | 2001 | $25,000 |
ING Barings LLC | | | investor protection violation | 2001 | $20,000 |
Merrill Lynch, Pierce, Fenner & Smith, Inc. | Bank of America | financial services | investor protection violation | 2001 | $15,000 |
Penson Financial Services, Inc. | | | investor protection violation | 2001 | $15,000 |
Chase Securities, Inc. | JPMorgan Chase | financial services | investor protection violation | 2001 | $10,000 |
Ramius Securities LLC | | | investor protection violation | 2001 | $10,000 |
All-Tech Direct, Inc. | | | investor protection violation | 2001 | $250,000 |
Momentum Securities, LLC | | | investor protection violation | 2001 | $75,000 |
CyBerBroker, Inc. | | | investor protection violation | 2001 | $20,000 |
Cornerstone Securities Corporation | | | investor protection violation | 2001 | $35,000 |
Summit Trading, Inc. | | | investor protection violation | 2001 | $20,000 |
Josephthal & Co., Inc. | Oppenheimer Holdings | financial services | investor protection violation | 2001 | $2,300,000 |
Stifel, Nicolaus & Company, Inc. | Stifel Financial | financial services | investor protection violation | 2001 | $225,000 |
Banc One Capital Markets, Inc. | | | investor protection violation | 2001 | $1,800,000 |
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 |
Allmerica Investments, Inc. | | | investor protection violation | 2001 | $15,000 |
Lutheran Brotherhood Securities Corp. | | | investor protection violation | 2001 | $25,000 |
Datek Online Brokerage Services, LLC | | | investor protection violation | 2001 | $30,000 |
Providential Securities, Inc. | | | investor protection violation | 2000 | $115,000 |
Morgan Stanley & Co. Inc. | Morgan Stanley | financial services | investor protection violation | 2000 | $200,000 |
Asensio & Company, Inc. | | | investor protection violation | 2000 | $75,000 |
Merrill Lynch, Pierce, Fenner & Smith, Inc. | Bank of America | financial services | investor protection violation | 2000 | $97,000 |
E-TRADE Securities, Inc. | Morgan Stanley | financial services | investor protection violation | 2000 | $20,000 |
R.D. White & Co., Inc. | | | investor protection violation | 2000 | $500,000 |