Interactive Brokers LLC | Interactive Brokers Group | financial services | anti-money-laundering deficiencies | 2020 | $15,000,000 |
BNP Paribas Securities Corp. and BNP Paribas Prime Brokerage, Inc. | BNP Paribas | financial services | anti-money-laundering deficiencies | 2019 | $15,000,000 |
Morgan Stanley Smith Barney LLC | Morgan Stanley | financial services | anti-money-laundering deficiencies | 2018 | $10,000,000 |
UBS Financial Services Inc. and UBS Securities LLC | UBS | financial services | anti-money-laundering deficiencies | 2018 | $5,000,000 |
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 |
Aegis Capital Corp. | | | anti-money-laundering deficiencies | 2018 | $550,000 |
Credit Suisse Securities (USA) LLC | UBS | financial services | anti-money-laundering deficiencies | 2016 | $16,500,000 |
Raymond James & Associates, Inc. and Raymond James Financial Services, Inc. | Raymond James Financial | financial services | anti-money-laundering deficiencies | 2016 | $17,000,000 |
Wells Fargo Advisors and Wells Fargo Advisors Financial Network | Wells Fargo | financial services | anti-money-laundering deficiencies | 2014 | $1,500,000 |
Brown Brothers Harriman & Co. | Brown Brothers Harriman | financial services | anti-money-laundering deficiencies | 2014 | $8,000,000 |
Banorte-Ixe Securities International, Ltd. | | | anti-money-laundering deficiencies | 2014 | $475,000 |
COR Clearing LLC | | | anti-money-laundering deficiencies | 2013 | $1,000,000 |
Oppenheimer and Co., Inc. | Oppenheimer Holdings | financial services | anti-money-laundering deficiencies | 2013 | $1,425,000 |
Atlas One Financial Group, LLC | | | anti-money-laundering deficiencies | 2013 | $350,000 |
Firstrade Securities, Inc. | | | anti-money-laundering deficiencies | 2013 | $300,000 |
World Trade Financial Corporation | | | anti-money-laundering deficiencies | 2013 | $250,000 |
Penson Financial Services | | | anti-money-laundering deficiencies | 2010 | $450,000 |
Pinnacle Capital Markets | | | anti-money-laundering deficiencies | 2010 | $300,000 |
Scottrade | Charles Schwab Corp. | financial services | anti-money-laundering deficiencies | 2009 | $600,000 |
J.P. Turner & Co. | | | anti-money-laundering deficiencies | 2009 | $525,000 |
Park Financial Group, Inc. | | | anti-money-laundering deficiencies | 2009 | $400,000 |
Legent Clearing, LLC | | | anti-money-laundering deficiencies | 2009 | $350,000 |
E-Trade Securities LLC and E-Trade Clearing LLC | Morgan Stanley | financial services | anti-money-laundering deficiencies | 2009 | $1,000,000 |
Banc of America Investment Services Inc. | Bank of America | financial services | anti-money-laundering deficiencies | 2007 | $3,000,000 |
Merrill Lynch, Pierce, Fenner & Smith Inc. | Bank of America | financial services | anti-money-laundering deficiencies | 2023 | $6,000,000 |
Worden Capital Management LLC | | | investor protection violation | 2020 | $1,550,000 |
Transamerica Financial Advisors, Inc. | Aegon | financial services | investor protection violation | 2020 | $8,800,000 |
Wells Fargo Clearing Services, LLC and Wells Fargo Advisors Financial Network, LLC | Wells Fargo | financial services | investor protection violation | 2020 | $2,075,000 |
SG Americas Securities, LLC | Societe Generale | financial services | investor protection violation | 2020 | $1,550,000 |
Merrill Lynch, Pierce, Fenner & Smith Inc. | Bank of America | financial services | investor protection violation | 2020 | $7,200,000 |
Stifel, Nicolaus & Company, Incorporated | Stifel Financial | financial services | investor protection violation | 2020 | $3,650,000 |
Oppenheimer & Co. Inc. | Oppenheimer Holdings | financial services | investor protection violation | 2019 | $4,600,000 |
Citigroup Global Markets Inc. | Citigroup | financial services | investor protection violation | 2019 | $280,000 |
J.P. Morgan Securities LLC | JPMorgan Chase | financial services | investor protection violation | 2019 | $280,000 |
LPL Financial LLC | LPL Financial | financial services | investor protection violation | 2019 | $280,000 |
Morgan Stanley Smith Barney LLC | Morgan Stanley | financial services | investor protection violation | 2019 | $280,000 |
Merrill Lynch, Pierce, Fenner & Smith Incorporated | Bank of America | financial services | investor protection violation | 2019 | $280,000 |
Credit Suisse Securities (USA) LLC | UBS | financial services | investor protection violation | 2019 | $6,500,000 |
Robinhood Financial, LLC | Robinhood Markets | financial services | investor protection violation | 2019 | $1,250,000 |
Lek Securities Corporation | | | investor protection violation | 2019 | $900,000 |
Merrill Lynch, Pierce, Fenner & Smith Incorporated | Bank of America | financial services | investor protection violation | 2019 | $4,000,000 |
Raymond James & Associates, Inc. and Raymond James Financial Services, Inc. | Raymond James Financial | financial services | investor protection violation | 2019 | $8,000,000 |
UBS Financial Services Inc. | UBS | financial services | investor protection violation | 2019 | $2,000,000 |
J.P. Morgan Securities LLC | JPMorgan Chase | financial services | investor protection violation | 2019 | $1,100,000 |
Citigroup Global Markets Inc. | Citigroup | financial services | investor protection violation | 2019 | $1,250,000 |
Summit Brokerage Services, Inc. | | | investor protection violation | 2019 | $880,000 |
AXA Advisors, LLC | Equitable Holdings | financial services | investor protection violation | 2019 | $772,000 |
Buckman, Buckman & Reid, Inc. | | | investor protection violation | 2019 | $205,000 |
Cantor Fitzgerald & Co. | Cantor Fitzgerald | financial services | investor protection violation | 2019 | $2,000,000 |
LPL Financial, LLC | LPL Financial | financial services | investor protection violation | 2018 | $2,750,000 |
Interactive Brokers LLC | Interactive Brokers Group | financial services | investor protection violation | 2018 | $5,500,000 |
TradeStation Securities, Inc. | | | investor protection violation | 2008 | $750,000 |
E-Trade Securities, LLC | Morgan Stanley | financial services | investor protection violation | 2008 | $500,000 |
CIBC World Markets Corp. | Canadian Imperial Bank of Commerce | financial services | investor protection violation | 2008 | $350,000 |
Fifth Third Securities, Inc. | Fifth Third Bancorp | financial services | investor protection violation | 2018 | $6,000,000 |
Instinet, LLC | | | investor protection violation | 2018 | $1,575,000 |
Wedbush Securities Inc. | Wedbush Securities | financial services | investor protection violation | 2018 | $1,500,000 |
Citigroup Global Markets Inc. | Citigroup | financial services | investor protection violation | 2017 | $11,500,000 |
J.P. Morgan Securities | JPMorgan Chase | financial services | investor protection violation | 2017 | $2,800,000 |
Raymond James Financial Services, Inc. | Raymond James Financial | financial services | investor protection violation | 2017 | $2,000,000 |
Merrill Lynch, Pierce, Fenner & Smith Incorporated | Bank of America | financial services | investor protection violation | 2017 | $1,400,000 |
J.P. Morgan Securities, LLC | JPMorgan Chase | financial services | investor protection violation | 2017 | $1,250,000 |
Wells Fargo Clearing Services, LLC and Wells Fargo Advisors Financial Network, LLC | Wells Fargo | financial services | investor protection violation | 2017 | $3,400,000 |
Morgan Stanley Smith Barney LLC | Morgan Stanley | financial services | investor protection violation | 2017 | $13,030,000 |
C.L. King & Associates, Inc. | | | investor protection violation | 2017 | $750,000 |
Deutsche Bank Securities Inc. | Deutsche Bank | financial services | investor protection violation | 2017 | $2,500,000 |
Citigroup Global Markets Inc. | Citigroup | financial services | investor protection violation | 2017 | $1,000,000 |
J.P. Morgan Securities LLC | JPMorgan Chase | financial services | investor protection violation | 2017 | $800,000 |
Interactive Brokers LLC | Interactive Brokers Group | financial services | investor protection violation | 2017 | $450,000 |
Purshe Kaplan Sterling Investments | | | investor protection violation | 2017 | $4,150,000 |
Wells Fargo Securities, LLC and Wells Fargo Prime Services, LLC | Wells Fargo | financial services | investor protection violation | 2016 | $4,000,000 |
RBC Capital Markets LLC and RBC Capital Markets Arbitrage S.A. | Royal Bank of Canada | financial services | investor protection violation | 2016 | $3,500,000 |
RBS Securities, Inc. | NatWest Group PLC | financial services | investor protection violation | 2016 | $2,000,000 |
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 |
SunTrust Robinson Humphrey, Inc. | Truist Financial | financial services | investor protection violation | 2016 | $1,500,000 |
LPL Financial LLC | LPL Financial | financial services | investor protection violation | 2016 | $750,000 |
Georgeson Securities Corporation | | | investor protection violation | 2016 | $650,000 |
PNC Capital Markets LLC | PNC Financial Services | financial services | investor protection violation | 2016 | $50,000 |
Deutsche Bank Securities Inc. | Deutsche Bank | financial services | investor protection violation | 2016 | $3,250,000 |
Merrill Lynch, Pierce, Fenner & Smith Inc. | Bank of America | financial services | investor protection violation | 2016 | $7,030,000 |
VALIC Financial Advisors, Inc. | American International Group | financial services | investor protection violation | 2016 | $1,750,000 |
Oppenheimer & Co. Inc. | Oppenheimer Holdings | financial services | investor protection violation | 2016 | $3,425,000 |
VOYA Financial Advisors Inc. | Voya Financial | financial services | investor protection violation | 2016 | $4,550,000 |
Cetera Advisor Networks LLC | | | investor protection violation | 2016 | $750,000 |
Cetera Financial Specialists LLC | | | investor protection violation | 2016 | $350,000 |
First Allied Securities, Inc. | | | investor protection violation | 2016 | $950,000 |
Summit Brokerage Services, Inc. | | | investor protection violation | 2016 | $500,000 |
VSR Financial Services, Inc. | | | investor protection violation | 2016 | $400,000 |
Kestra Investment Services, LLC | | | investor protection violation | 2016 | $475,000 |
FTB Advisors, Inc. | | | investor protection violation | 2016 | $250,000 |
Merrill Lynch, Pierce, Fenner and Smith Inc. | Bank of America | financial services | investor protection violation | 2016 | $2,800,000 |
Avenir Financial Group | | | investor protection violation | 2016 | $229,000 |
Ameriprise Financial Services, Inc. | Ameriprise Financial | financial services | investor protection violation | 2016 | $850,000 |
Deutsche Bank Securities Inc. | Deutsche Bank | financial services | investor protection violation | 2016 | $12,500,000 |
Barclays Capital Inc. | Barclays | financial services | investor protection violation | 2016 | $1,300,000 |
Prudential Annuities Distributors, Inc. | Prudential Financial | financial services | investor protection violation | 2016 | $950,000 |
Deutsche Bank Securities Inc. | Deutsche Bank | financial services | investor protection violation | 2016 | $6,000,000 |
Merrill Lynch, Pierce, Fenner & Smith, Inc. | Bank of America | financial services | investor protection violation | 2016 | $5,000,000 |
Oppenheimer & Co. Inc. | Oppenheimer Holdings | financial services | investor protection violation | 2016 | $2,966,000 |
E-Trade Securities LLC | Morgan Stanley | financial services | investor protection violation | 2016 | $900,000 |
Stephens Inc. | | | investor protection violation | 2016 | $900,000 |