Wachovia Securities | Wells Fargo | financial services | investor protection violation | 2009 | $4,500,000 |
Oppenheimer & Co. | Oppenheimer Holdings | financial services | investor protection violation | 2008 | $4,500,000 |
Tower Square Securities | | | investor protection violation | 2002 | $4,500,000 |
SG Americas Securities, LLC | Societe Generale | financial services | investor protection violation | 2005 | $4,478,000 |
First Chicago Capital Markets, Inc. | | | investor protection violation | 2000 | $4,420,000 |
Metropolitan Investment Securities, Inc. | | | investor protection violation | 2003 | $4,300,000 |
Purshe Kaplan Sterling Investments | | | investor protection violation | 2017 | $4,150,000 |
H.D. Vest Investment Services | | | investor protection violation | 2005 | $4,015,000 |
Merrill Lynch, Pierce, Fenner & Smith Incorporated | Bank of America | financial services | investor protection violation | 2019 | $4,000,000 |
Wells Fargo Securities, LLC and Wells Fargo Prime Services, LLC | Wells Fargo | financial services | investor protection violation | 2016 | $4,000,000 |
Deutsche Bank Securities Inc. | Deutsche Bank | financial services | investor protection violation | 2014 | $4,000,000 |
Merrill Lynch, Pierce, Fenner & Smith Inc. | Bank of America | financial services | investor protection violation | 2014 | $4,000,000 |
Morgan Stanley & Co., LLC | Morgan Stanley | financial services | investor protection violation | 2014 | $4,000,000 |
Wells Fargo Securities, LLC | Wells Fargo | financial services | investor protection violation | 2014 | $4,000,000 |
Friedman, Billings, Ramsey & Co., Inc. | Arlington Asset Investment Corp. | financial services | investor protection violation | 2006 | $4,000,000 |
AllianceBernstein Investment Research and Management, Inc. | Equitable Holdings | financial services | investor protection violation | 2005 | $3,984,087 |
Yankee Financial Group, Inc. | | | investor protection violation | 2005 | $3,800,000 |
Oppenheimer & Co. Inc. | Oppenheimer Holdings | financial services | investor protection violation | 2015 | $3,750,000 |
Barclays Capital Inc. | Barclays | financial services | investor protection violation | 2013 | $3,750,000 |
Fidelity Distributors Corp. et al. | Fidelity Investments | financial services | investor protection violation | 2007 | $3,750,000 |
Stifel, Nicolaus & Company, Incorporated | Stifel Financial | financial services | investor protection violation | 2020 | $3,650,000 |
Linsco/Private Ledger Corp. | | | investor protection violation | 2005 | $3,602,398 |
Chase Investment Services Corporation | JPMorgan Chase | financial services | investor protection violation | 2011 | $3,600,000 |
RBC Capital Markets LLC and RBC Capital Markets Arbitrage S.A. | Royal Bank of Canada | financial services | investor protection violation | 2016 | $3,500,000 |
Citigroup Global Markets, Inc. | Citigroup | financial services | investor protection violation | 2012 | $3,500,000 |
Oppenheimer & Co. Inc. | Oppenheimer Holdings | financial services | investor protection violation | 2016 | $3,425,000 |
Raymond James & Associates Inc. | Raymond James Financial | financial services | investor protection violation | 2000 | $3,410,000 |
Wells Fargo Clearing Services, LLC and Wells Fargo Advisors Financial Network, LLC | Wells Fargo | financial services | investor protection violation | 2017 | $3,400,000 |
Hold Brothers On-Line Investment Services, LLC | | | investor protection violation | 2012 | $3,400,000 |
Deutsche Bank Securities Inc. | Deutsche Bank | financial services | investor protection violation | 2016 | $3,250,000 |
Wells Fargo Advisors, LLC | Wells Fargo | financial services | investor protection violation | 2013 | $3,250,000 |
Pershing LLC | | | investor protection violation | 2014 | $3,000,000 |
Barclays Capital Inc. | Barclays | financial services | investor protection violation | 2011 | $3,000,000 |
Merrill Lynch | Bank of America | financial services | investor protection violation | 2011 | $3,000,000 |
Nuveen Investments, LLC | TIAA | financial services | investor protection violation | 2011 | $3,000,000 |
Phoenix Derivatives Group, LLC | | | investor protection violation | 2010 | $3,000,000 |
Banc of America Investment Services Inc. | Bank of America | financial services | anti-money-laundering deficiencies | 2007 | $3,000,000 |
Wells Fargo Investments | Wells Fargo | financial services | investor protection violation | 2005 | $3,000,000 |
Webull Financial LLC | | | investor protection violation | 2023 | $3,000,000 |
Wells Fargo Investments, LLC | Wells Fargo | financial services | investor protection violation | 2005 | $2,970,000 |
Oppenheimer & Co. Inc. | Oppenheimer Holdings | financial services | investor protection violation | 2016 | $2,966,000 |
Macquarie Capital (USA) Inc. | Macquarie | financial services | investor protection violation | 2015 | $2,950,000 |
Stifel Nicolaus & Company, Inc. | Stifel Financial | financial services | investor protection violation | 2015 | $2,900,000 |
Morgan Stanley | Morgan Stanley | financial services | investor protection violation | 2006 | $2,900,000 |
J.P. Morgan Securities | JPMorgan Chase | financial services | investor protection violation | 2017 | $2,800,000 |
Merrill Lynch, Pierce, Fenner and Smith Inc. | Bank of America | financial services | investor protection violation | 2016 | $2,800,000 |
Merrill Lynch, Pierce, Fenner & Smith, Inc. | Bank of America | financial services | investor protection violation | 2012 | $2,800,000 |
ICAP Corporates LLC | CME Group | financial services | investor protection violation | 2009 | $2,800,000 |
Aegis Capital Corp. | | | investor protection violation | 2021 | $2,800,000 |
LPL Financial, LLC | LPL Financial | financial services | investor protection violation | 2018 | $2,750,000 |
Raymond James Financial Services Inc. | Raymond James Financial | financial services | investor protection violation | 2007 | $2,750,000 |
Citigroup Global Markets, Inc | Citigroup | financial services | investor protection violation | 2012 | $2,741,489 |
Morgan Stanley & Co. | Morgan Stanley | financial services | investor protection violation | 2005 | $2,650,000 |
Scottrade, Inc. | Charles Schwab Corp. | financial services | investor protection violation | 2015 | $2,600,000 |
Brookstone Securities | | | investor protection violation | 2012 | $2,600,000 |
AXA Advisors, LLC | Equitable Holdings | financial services | investor protection violation | 2007 | $2,600,000 |
Deutsche Bank Securities Inc. | Deutsche Bank | financial services | investor protection violation | 2017 | $2,500,000 |
Needham & Company LLC | | | investor protection violation | 2014 | $2,500,000 |
Merrill Lynch | Bank of America | financial services | investor protection violation | 2010 | $2,500,000 |
SunAmerica Securities, Inc. | American International Group | financial services | investor protection violation | 2005 | $2,500,000 |
UBS Securities LLC | UBS | financial services | investor protection violation | 2022 | $2,500,000 |
Citigroup Global Markets Inc. | Citigroup | financial services | investor protection violation | 2014 | $2,488,000 |
Merrill Lynch, Pierce, Fenner & Smith Incorporated | Bank of America | financial services | investor protection violation | 2014 | $2,440,000 |
Linsco/Private Ledger Corporation | | | investor protection violation | 2005 | $2,400,000 |
FSC Securities Corp. | | | investor protection violation | 2005 | $2,400,000 |
Securities America, Inc. | Reverence Capital Partners | private equity (including portfolio companies) | investor protection violation | 2005 | $2,400,000 |
Piper Jaffray & Co. | Piper Sandler | financial services | investor protection violation | 2004 | $2,400,000 |
UBS Financial Services | UBS | financial services | investor protection violation | 2012 | $2,354,584 |
Josephthal & Co., Inc. | Oppenheimer Holdings | financial services | investor protection violation | 2001 | $2,300,000 |
Diversified Investors Securities Corp. | | | investor protection violation | 2006 | $2,250,000 |
BRUT LLC | Nasdaq Inc. | financial services | investor protection violation | 2006 | $2,200,000 |
Janney Montgomery Scott LLC | Penn Mutual | financial services | investor protection violation | 2005 | $2,200,000 |
Morgan Stanley DW Inc. | Morgan Stanley | financial services | investor protection violation | 2004 | $2,200,000 |
Morgan Stanley & Co., LLC | Morgan Stanley | financial services | investor protection violation | 2012 | $2,146,431 |
Raymond James & Associates, Inc. and Raymond James Financial Services, Inc. | Raymond James Financial | financial services | investor protection violation | 2011 | $2,115,000 |
RBC Capital Markets Corporation | Royal Bank of Canada | financial services | investor protection violation | 2005 | $2,108,000 |
Wells Fargo Clearing Services, LLC and Wells Fargo Advisors Financial Network, LLC | Wells Fargo | financial services | investor protection violation | 2020 | $2,075,000 |
NEXT Financial Group, Inc. | Atria Wealth Solutions | financial services | investor protection violation | 2011 | $2,050,000 |
UBS Financial Services Inc. | UBS | financial services | investor protection violation | 2019 | $2,000,000 |
Cantor Fitzgerald & Co. | Cantor Fitzgerald | financial services | investor protection violation | 2019 | $2,000,000 |
Raymond James Financial Services, Inc. | Raymond James Financial | financial services | investor protection violation | 2017 | $2,000,000 |
RBS Securities, Inc. | NatWest Group PLC | financial services | investor protection violation | 2016 | $2,000,000 |
Charles Schwab & Co. | Charles Schwab Corp. | financial services | investor protection violation | 2015 | $2,000,000 |
Morgan Stanley & Co. LLC | Morgan Stanley | financial services | investor protection violation | 2015 | $2,000,000 |
Merrill Lynch, Pierce, Fenner & Smith Incorporated | Bank of America | financial services | investor protection violation | 2013 | $2,000,000 |
Wells Fargo Investments, LLC | Wells Fargo | financial services | investor protection violation | 2011 | $2,000,000 |
Santander Securities of Puerto Rico | Banco Santander | financial services | investor protection violation | 2011 | $2,000,000 |
Citigroup Global Markets | Citigroup | financial services | investor protection violation | 2009 | $2,000,000 |
Wachovia Securities LLC | Wells Fargo | financial services | investor protection violation | 2007 | $2,000,000 |
Chase Investment Services | JPMorgan Chase | financial services | investor protection violation | 2005 | $2,000,000 |
Morgan Stanley DW Inc. | Morgan Stanley | financial services | investor protection violation | 2003 | $2,000,000 |
Wells Fargo Advisors, LLC | Wells Fargo | financial services | investor protection violation | 2012 | $1,931,488 |
Jefferies & Company, Inc. | Jefferies Financial Group | diversified | investor protection violation | 2011 | $1,925,000 |
Goldman Sachs Execution & Clearing, L.P. | Goldman Sachs | financial services | investor protection violation | 2015 | $1,800,000 |
Banc One Capital Markets, Inc. | | | investor protection violation | 2001 | $1,800,000 |
VALIC Financial Advisors, Inc. | American International Group | financial services | investor protection violation | 2016 | $1,750,000 |
Credit Suisse Securities (USA) LLC | UBS | financial services | investor protection violation | 2011 | $1,750,000 |
Fifth Third Securities, Inc. | Fifth Third Bancorp | financial services | investor protection violation | 2009 | $1,750,000 |
Thomas Weisel Partners | Stifel Financial | financial services | investor protection violation | 2005 | $1,750,000 |
RBC Dain Rauscher, Inc. | Royal Bank of Canada | financial services | investor protection violation | 2005 | $1,700,000 |
SunTrust Robinson Humphrey, Inc. | Truist Financial | financial services | investor protection violation | 2008 | $1,650,000 |