R.D. White & Co., Inc. | | | investor protection violation | 2000 | $500,000 |
WMA Securities, Inc. | | | investor protection violation | 2000 | $125,000 |
Cain Brothers & Company, LLC and SHP Capital Markets, Inc. | | | investor protection violation | 2000 | $1,180,000 |
First Chicago Capital Markets, Inc. | | | investor protection violation | 2000 | $4,420,000 |
John Nuveen & Co., Inc. | TIAA | financial services | investor protection violation | 2000 | $6,630,000 |
Peacock, Hislop, Staley & Given, Inc. | | | investor protection violation | 2000 | $539,117 |
Scott & Stringfellow, Inc. | | | investor protection violation | 2000 | $393,263 |
First Union Securities, Inc. | Wells Fargo | financial services | investor protection violation | 2000 | $350,000 |
Botta Trading, LLC | | | investor protection violation | 2000 | $75,000 |
J. P. Morgan Securities Inc. | JPMorgan Chase | financial services | investor protection violation | 2000 | $200,000 |
Kemper Distributors, Inc. | Kemper | financial services | investor protection violation | 2000 | $100,000 |
E-TRADE Securities, Inc. | Morgan Stanley | financial services | investor protection violation | 2000 | $20,000 |
Wheat First Securities Inc. | | | investor protection violation | 2000 | $7,730,000 |
A.G. Edwards & Sons, Inc. | Wells Fargo | financial services | investor protection violation | 2000 | $5,890,000 |
Raymond James & Associates Inc. | Raymond James Financial | financial services | investor protection violation | 2000 | $3,410,000 |
CS First Boston Corp. | UBS | financial services | investor protection violation | 2000 | $1,240,000 |
Piper Jaffray Inc. | Piper Sandler | financial services | investor protection violation | 2000 | $933,000 |
J.C. Bradford & Co. | | | investor protection violation | 2000 | $536,000 |
Southwest Securities Inc. | Hilltop Holdings | financial services | investor protection violation | 2000 | $500,000 |
Prudential Securities, Inc. | Wells Fargo | financial services | investor protection violation | 2000 | $100,000 |
1-800DAYTRADE.COM, Inc. | | | investor protection violation | 2000 | $25,000 |
Donnelly & Co., Inc. | | | investor protection violation | 2000 | $17,500 |
LaSalle St. Securities, L.L.C. | | | investor protection violation | 2000 | $13,000 |
Addison Securities, Inc. | | | investor protection violation | 2000 | $37,500 |
Choice Investments, Inc. | | | investor protection violation | 2000 | $27,000 |
Morgan Stanley & Co., Inc. | Morgan Stanley | financial services | investor protection violation | 2000 | $495,000 |
Robinhood Financial LLC | Robinhood Markets | financial services | investor protection violation | 2021 | $69,600,000 |
Merrill Lynch, Pierce, Fenner & Smith, Inc. | Bank of America | financial services | investor protection violation | 2021 | $11,650,000 |
Aegis Capital Corp. | | | investor protection violation | 2021 | $2,800,000 |
Credit Suisse Securities | UBS | financial services | investor protection violation | 2022 | $9,000,000 |
Merrill Lynch, Pierce, Fenner & Smith, Inc. | Bank of America | financial services | investor protection violation | 2022 | $15,200,000 |
Wefunder Portal LLC | | | investor protection violation | 2022 | $1,400,000 |
StartEngine Capital LLC | | | investor protection violation | 2022 | $350,000 |
UBS Securities LLC | UBS | financial services | investor protection violation | 2022 | $2,500,000 |
BofA Securities, Inc. | Bank of America | financial services | investor protection violation | 2022 | $5,000,000 |
Webull Financial LLC | | | investor protection violation | 2023 | $3,000,000 |
M1 Finance LLC | | | investor protection violation | 2023 | $1,236,918 |
Open to the Public Investing, Inc. | | | investor protection violation | 2023 | $528,124 |
SoFi Securities LLC | | | investor protection violation | 2023 | $698,282 |
SogoTrade, Inc. | | | investor protection violation | 2023 | $204,767 |
BofA Securities, Inc. | Bank of America | financial services | investor protection violation | 2023 | $24,000,000 |
Morgan Stanley Smith Barney LLC | Morgan Stanley | financial services | investor protection violation | 2024 | $1,600,000 |
Merrill Lynch, Pierce, Fenner & Smith Inc. | Bank of America | financial services | securities issuance or trading violation | 2018 | $5,990,530 |