Fleet Securities, Inc. | | | investor protection violation | 2001 | $50,000 |
Securities America, Inc. | Reverence Capital Partners | private equity (including portfolio companies) | investor protection violation | 2009 | $55,000 |
Salomon Whitney LLC | | | investor protection violation | 2011 | $60,000 |
Leonard & Company | | | investor protection violation | 2009 | $60,000 |
Brinker Capital Securities, Inc. | | | investor protection violation | 2005 | $60,000 |
Chase Investment Services Corp. | JPMorgan Chase | financial services | investor protection violation | 2005 | $60,000 |
Citigroup Global Markets Inc. | Citigroup | financial services | investor protection violation | 2005 | $60,000 |
Charles Schwab & Co, Inc. | Charles Schwab Corp. | financial services | investor protection violation | 2004 | $60,869 |
Ramius Securities L.L.C. | | | investor protection violation | 2001 | $61,000 |
Lehman Brothers, Inc. | | | investor protection violation | 2001 | $65,000 |
SWS Financial Services | | | investor protection violation | 2004 | $66,468 |
SWS Financial Services | | | investor protection violation | 2009 | $70,000 |
Schwab Capital Markets, L.P. | UBS | financial services | investor protection violation | 2004 | $70,000 |
Spear, Leeds & Kellogg, L.P. | Goldman Sachs | financial services | investor protection violation | 2004 | $75,000 |
M.H. Meyerson, & Co., Inc. | | | investor protection violation | 2002 | $75,000 |
NDB Capital Markets, LP | | | investor protection violation | 2001 | $75,000 |
Momentum Securities, LLC | | | investor protection violation | 2001 | $75,000 |
Asensio & Company, Inc. | | | investor protection violation | 2000 | $75,000 |
Botta Trading, LLC | | | investor protection violation | 2000 | $75,000 |
National Securities Corporation | | | investor protection violation | 2005 | $85,000 |
Banc of America Investment Services, Inc. | Bank of America | financial services | investor protection violation | 2005 | $90,000 |
Raymond James & Associates, Inc. | Raymond James Financial | financial services | investor protection violation | 2005 | $90,000 |
E-Trade Securities | Morgan Stanley | financial services | investor protection violation | 2001 | $90,000 |
Merrill Lynch, Pierce, Fenner & Smith, Inc. | Bank of America | financial services | investor protection violation | 2000 | $97,000 |
Cresap, Inc. | | | investor protection violation | 2004 | $99,458 |
J.P. Turner & Company, LLC | | | investor protection violation | 2015 | $100,000 |
Ameritas Investment Corp. | Ameritas Mutual Holding Company | financial services | investor protection violation | 2009 | $100,000 |
UBS Financial Services, Inc. | UBS | financial services | investor protection violation | 2009 | $100,000 |
Pruco Securities | Prudential Financial | financial services | investor protection violation | 2008 | $100,000 |
Piper Jaffray & Co. | Piper Sandler | financial services | investor protection violation | 2008 | $100,000 |
Northwestern Mutual Investment Services, LLC | Northwestern Mutual | financial services | investor protection violation | 2007 | $100,000 |
AllianceBernstein Investments, Inc. | Equitable Holdings | financial services | investor protection violation | 2007 | $100,000 |
Morgan Stanley DW Inc. | Morgan Stanley | financial services | investor protection violation | 2006 | $100,000 |
Berean Capital Incorporated | | | investor protection violation | 2006 | $100,000 |
First Avantus Securities, Inc. | | | investor protection violation | 2005 | $100,000 |
SunTrust Capital Markets, Inc. | Truist Financial | financial services | investor protection violation | 2005 | $100,000 |
SunAmerica Securities, Inc. | American International Group | financial services | investor protection violation | 2004 | $100,000 |
National Planning Corp. | | | investor protection violation | 2004 | $100,000 |
SII Investments, Inc. | | | investor protection violation | 2004 | $100,000 |
David Lerner Assoc. | | | investor protection violation | 2004 | $100,000 |
Hornblower & Weeks, Inc. | | | investor protection violation | 2002 | $100,000 |
CUNA Brokerage Services, Inc. | CUNA Mutual | financial services | investor protection violation | 2001 | $100,000 |
Kemper Distributors, Inc. | Kemper | financial services | investor protection violation | 2000 | $100,000 |
Prudential Securities, Inc. | Wells Fargo | financial services | investor protection violation | 2000 | $100,000 |
Swift Trade Securities USA, Inc. | | | investor protection violation | 2002 | $101,000 |
Merrill Lynch, Pierce, Fenner & Smith Inc. | Bank of America | financial services | investor protection violation | 2004 | $109,527 |
First Clearing Corporation | | | investor protection violation | 2005 | $110,000 |
Stephens, Inc. | | | investor protection violation | 2005 | $110,000 |
Stone & Youngberg, LLC | | | investor protection violation | 2005 | $110,000 |
David Lerner Associates, Inc. | | | investor protection violation | 2005 | $115,000 |
Providential Securities, Inc. | | | investor protection violation | 2000 | $115,000 |
First Trust Portfolios L.P | | | investor protection violation | 2004 | $118,680 |
DebtTraders, Inc. | | | investor protection violation | 2005 | $120,000 |
Lehman Brothers Inc. | | | investor protection violation | 2004 | $123,882 |
A&F Financial Securities, Inc. | | | investor protection violation | 2011 | $125,000 |
Goldman, Sachs & Co. | Goldman Sachs | financial services | investor protection violation | 2005 | $125,000 |
Farmers Financial Solutions LLC | | | investor protection violation | 2004 | $125,000 |
InterSecurities, Inc. | | | investor protection violation | 2004 | $125,000 |
Jefferson Pilot Securities Corporation | Lincoln National | financial services | 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 |
Stifel Nicolaus & Company | Stifel Financial | financial services | investor protection violation | 2004 | $125,000 |
WMA Securities, Inc. | | | investor protection violation | 2000 | $125,000 |
RBC Capital Markets Corporation | Royal Bank of Canada | financial services | investor protection violation | 2010 | $135,000 |
Sigma Financial Corporation | | | investor protection violation | 2004 | $135,000 |
The Huntington Investment Company | | | investor protection violation | 2015 | $135,973 |
H. Beck, Inc. | | | investor protection violation | 2009 | $140,000 |
Goldman, Sachs & Co. | Goldman Sachs | financial services | investor protection violation | 2005 | $140,000 |
Stephens Inc. | | | investor protection violation | 2015 | $150,000 |
First Midwest Securities, Inc. | | | investor protection violation | 2011 | $150,000 |
Fifth Third Securities, Inc. | Fifth Third Bancorp | financial services | investor protection violation | 2009 | $150,000 |
Merrill Lynch, Pierce, Fenner & Smith, Inc. | Bank of America | financial services | investor protection violation | 2009 | $150,000 |
M&I Financial Advisors, Inc. | | | investor protection violation | 2009 | $150,000 |
Multi-Financial Securities Corporation | | | investor protection violation | 2009 | $150,000 |
Harris Investor Services, Inc. | | | investor protection violation | 2008 | $150,000 |
Bear, Stearns & Co., Inc. | JPMorgan Chase | financial services | investor protection violation | 2008 | $150,000 |
BMO Capital Markets Corp. | Bank of Montreal | financial services | investor protection violation | 2008 | $150,000 |
Cowen and Company, LLC | Toronto-Dominion Bank | financial services | investor protection violation | 2008 | $150,000 |
Deutsche Bank Securities, Inc., | Deutsche Bank | financial services | investor protection violation | 2008 | $150,000 |
Leerink Swann & Company, Inc. | | | investor protection violation | 2008 | $150,000 |
RBC Capital Markets Corp. | Royal Bank of Canada | financial services | investor protection violation | 2008 | $150,000 |
Green Street Advisors | | | investor protection violation | 2005 | $150,000 |
J.P. Morgan Securities, Inc. | JPMorgan Chase | financial services | investor protection violation | 2005 | $150,000 |
Allstate Financial Services LLC | Allstate | financial services | investor protection violation | 2004 | $150,000 |
RBC Dain Rauscher, Inc. | Royal Bank of Canada | financial services | investor protection violation | 2004 | $150,000 |
Wells Fargo Investments, LLC | Wells Fargo | financial services | investor protection violation | 2004 | $150,000 |
World Group Securities, Inc. | Aegon | financial services | investor protection violation | 2004 | $150,000 |
D.A. Davidson & Co. | | | investor protection violation | 2004 | $150,000 |
TD Waterhouse Investor Services, Inc. | Toronto-Dominion Bank | financial services | investor protection violation | 2004 | $150,000 |
Wells Investment Securities, Inc. | | | investor protection violation | 2003 | $150,000 |
Deutsche Bank | Deutsche Bank | financial services | investor protection violation | 2009 | $152,000 |
J.P. Morgan Securities, Inc. | JPMorgan Chase | financial services | investor protection violation | 2005 | $160,000 |
Ko Securities, Inc. | | | investor protection violation | 2001 | $162,450 |
Fagenson & Co., Inc. | | | investor protection violation | 2010 | $165,000 |
LaSalle St. Securities, LLC | | | investor protection violation | 2015 | $175,000 |
National Securities Corporation | | | investor protection violation | 2011 | $175,000 |
Centaurus Financial, Inc. | | | investor protection violation | 2009 | $175,000 |
Putnam Retail Management Limited Partnership | Franklin Resources | financial services | investor protection violation | 2007 | $175,000 |
Schonfeld & Company LLC | | | investor protection violation | 2006 | $175,000 |
Nationwide Investment Services Corporation | | | investor protection violation | 2004 | $175,000 |
Altegris Investments, Inc. | | | investor protection violation | 2003 | $175,000 |