SunTrust Robinson Humphrey, Inc. | Truist Financial | financial services | investor protection violation | 2008 | $1,650,000 |
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 |
Merrill Lynch, Pierce, Fenner & Smith, Inc. | Bank of America | financial services | investor protection violation | 2004 | $1,600,000 |
Morgan Stanley Smith Barney LLC | Morgan Stanley | financial services | investor protection violation | 2024 | $1,600,000 |
Instinet, LLC | | | investor protection violation | 2018 | $1,575,000 |
Worden Capital Management LLC | | | investor protection violation | 2020 | $1,550,000 |
SG Americas Securities, LLC | Societe Generale | financial services | investor protection violation | 2020 | $1,550,000 |
IFC Holdings, Inc. d/b/a INVEST Financial Corporation | | | investor protection violation | 2005 | $1,520,000 |
Wedbush Securities Inc. | Wedbush Securities | financial services | investor protection violation | 2018 | $1,500,000 |
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 |
Brookville Capital Partners LLC | | | investor protection violation | 2015 | $1,500,000 |
Wells Fargo Advisors and Wells Fargo Advisors Financial Network | Wells Fargo | financial services | anti-money-laundering deficiencies | 2014 | $1,500,000 |
Citigroup Global Markets Inc. | Citigroup | financial services | investor protection violation | 2010 | $1,500,000 |
HSBC Securities (USA) | HSBC | financial services | investor protection violation | 2010 | $1,500,000 |
Mutual Service Corporation | | | investor protection violation | 2009 | $1,500,000 |
ING Funds Distributor | Voya Financial | financial services | investor protection violation | 2005 | $1,500,000 |
McDonald Investments Inc. | | | investor protection violation | 2005 | $1,500,000 |
State Street Research Investment Services, Inc. | BlackRock | financial services | investor protection violation | 2004 | $1,500,000 |
Worldco LLC | | | investor protection violation | 2004 | $1,500,000 |
Knight Securities L.P. | Virtu Financial | financial services | investor protection violation | 2002 | $1,500,000 |
Instinet, LLC and INET ATS, Inc. | | | investor protection violation | 2005 | $1,475,000 |
SunTrust Investment Services, Inc. | Truist Financial | financial services | investor protection violation | 2010 | $1,440,000 |
RBC Capital Markets | Royal Bank of Canada | financial services | investor protection violation | 2015 | $1,434,000 |
Oppenheimer and Co., Inc. | Oppenheimer Holdings | financial services | anti-money-laundering deficiencies | 2013 | $1,425,000 |
Merrill Lynch, Pierce, Fenner & Smith Incorporated | Bank of America | financial services | investor protection violation | 2017 | $1,400,000 |
Deutsche Bank Securities Inc. | Deutsche Bank | financial services | investor protection violation | 2015 | $1,400,000 |
Wachovia Securities, LLC | Wells Fargo | financial services | investor protection violation | 2009 | $1,400,000 |
State Street Global Markets LLC | State Street Corp. | financial services | investor protection violation | 2005 | $1,400,000 |
Commonwealth Financial Network | | | investor protection violation | 2005 | $1,400,000 |
Wefunder Portal LLC | | | investor protection violation | 2022 | $1,400,000 |
StateTrust Investments, Inc. | | | investor protection violation | 2013 | $1,398,000 |
Merrill Lynch, Pierce, Fenner & Smith Inc. | Bank of America | financial services | investor protection violation | 2013 | $1,373,000 |
Morgan Stanley & Co. Inc. and Morgan Stanley Smith Barney LLC | Morgan Stanley | financial services | investor protection violation | 2011 | $1,371,000 |
National Planning Corporation Inc. | | | investor protection violation | 2005 | $1,308,000 |
Barclays Capital Inc. | Barclays | financial services | investor protection violation | 2016 | $1,300,000 |
Mutual Service Corporation | | | investor protection violation | 2005 | $1,300,000 |
Citigroup | Citigroup | financial services | investor protection violation | 2012 | $1,279,106 |
Monex Securities Inc. | | | investor protection violation | 2014 | $1,275,000 |
Robinhood Financial, LLC | Robinhood Markets | financial services | investor protection violation | 2019 | $1,250,000 |
Citigroup Global Markets Inc. | Citigroup | financial services | investor protection violation | 2019 | $1,250,000 |
J.P. Morgan Securities, LLC | JPMorgan Chase | financial services | investor protection violation | 2017 | $1,250,000 |
Ameriprise Financial Services, Inc. | Ameriprise Financial | financial services | investor protection violation | 2005 | $1,250,000 |
Citi International Financial Services LLC | | | investor protection violation | 2012 | $1,248,000 |
CS First Boston Corp. | UBS | financial services | investor protection violation | 2000 | $1,240,000 |
M1 Finance LLC | | | investor protection violation | 2023 | $1,236,918 |
Janney Montgomery Scott, LLC | Penn Mutual | financial services | investor protection violation | 2015 | $1,200,000 |
ING Groep N.V. | Voya Financial | financial services | investor protection violation | 2013 | $1,200,000 |
MetLife Securities, Inc. | MetLife | financial services | investor protection violation | 2009 | $1,200,000 |
Boston Capital Securities, Inc. | | | investor protection violation | 2006 | $1,200,000 |
Ladenburg Thalmann & Co. | Reverence Capital Partners | private equity (including portfolio companies) | investor protection violation | 2005 | $1,200,000 |
Morgan Stanley Smith Barney LLC and Morgan Stanley & Co. LLC | Morgan Stanley | financial services | investor protection violation | 2013 | $1,188,000 |
Cain Brothers & Company, LLC and SHP Capital Markets, Inc. | | | investor protection violation | 2000 | $1,180,000 |
RBC Dain Rauscher, Inc. | Royal Bank of Canada | financial services | investor protection violation | 2005 | $1,158,000 |
TD Ameritrade Clearing, Inc. | Charles Schwab Corp. | financial services | investor protection violation | 2013 | $1,150,000 |
John Thomas Financial | | | investor protection violation | 2015 | $1,147,288 |
Citigroup Global Markets Inc. | Citigroup | financial services | investor protection violation | 2006 | $1,115,000 |
J.P. Morgan Securities LLC | JPMorgan Chase | financial services | investor protection violation | 2019 | $1,100,000 |
Wachovia Securities, LLC and First Clearing, LLC | Wells Fargo | financial services | investor protection violation | 2009 | $1,100,000 |
Banorte Securities International, Ltd. | | | investor protection violation | 2008 | $1,100,000 |
American General Securities, Inc. | Reverence Capital Partners | private equity (including portfolio companies) | investor protection violation | 2006 | $1,100,000 |
Citigroup Global Markets Inc. | Citigroup | financial services | investor protection violation | 2014 | $1,097,000 |
Merrill Lynch | Bank of America | financial services | investor protection violation | 2012 | $1,074,200 |
Prudential Securities | Wells Fargo | financial services | investor protection violation | 2008 | $1,050,000 |
Fidelity Brokerage Services LLC | Fidelity Investments | financial services | investor protection violation | 2015 | $1,030,000 |
Triad Advisors | | | investor protection violation | 2014 | $1,025,000 |
Stifel Financial Corporation | Stifel Financial | financial services | investor protection violation | 2014 | $1,025,000 |
First Allied Securities, Inc. | | | investor protection violation | 2015 | $1,014,647 |
Legacy Trading Co., LLC | | | investor protection violation | 2009 | $1,007,035 |
Citigroup Global Markets Inc. | Citigroup | financial services | investor protection violation | 2017 | $1,000,000 |
Barclays Capital Inc. | Barclays | financial services | investor protection violation | 2014 | $1,000,000 |
Goldman, Sachs & Co. | Goldman Sachs | financial services | investor protection violation | 2014 | $1,000,000 |
Merrill Lynch, Pierce, Fenner & Smith, Inc. | Bank of America | financial services | investor protection violation | 2014 | $1,000,000 |
COR Clearing LLC | | | anti-money-laundering deficiencies | 2013 | $1,000,000 |
Merrill Lynch, Pierce, Fenner & Smith | Bank of America | financial services | investor protection violation | 2012 | $1,000,000 |
Merrill Lynch, Pierce, Fenner & Smith Inc. | Bank of America | financial services | investor protection violation | 2011 | $1,000,000 |
Wells Fargo Advisors, LLC | Wells Fargo | financial services | investor protection violation | 2011 | $1,000,000 |
Trillium Brokerage Services, LLC | | | investor protection violation | 2010 | $1,000,000 |
NEXT Financial Group, Inc. | Atria Wealth Solutions | financial services | investor protection violation | 2009 | $1,000,000 |
Raymond James & Associates, Inc. | Raymond James Financial | financial services | investor protection violation | 2009 | $1,000,000 |
RD Capital Group | | | investor protection violation | 2009 | $1,000,000 |
E-Trade Securities LLC and E-Trade Clearing LLC | Morgan Stanley | financial services | anti-money-laundering deficiencies | 2009 | $1,000,000 |
UBS Financial Services, Inc. | UBS | financial services | investor protection violation | 2008 | $1,000,000 |
Oppenheimer & Co. Inc. | Oppenheimer Holdings | financial services | investor protection violation | 2007 | $1,000,000 |
Spear, Leeds & Kellogg, L.P | Goldman Sachs | financial services | investor protection violation | 2005 | $1,000,000 |
Fiero Brothers, Inc. | | | investor protection violation | 2002 | $1,000,000 |
Fifth Third Securities, Inc. | Fifth Third Bancorp | financial services | investor protection violation | 2015 | $963,534 |
First Allied Securities, Inc. | | | investor protection violation | 2016 | $950,000 |
Prudential Annuities Distributors, Inc. | Prudential Financial | financial services | investor protection violation | 2016 | $950,000 |
Aegis Capital Corp. | | | investor protection violation | 2015 | $950,000 |
LPL Financial LLC | LPL Financial | financial services | investor protection violation | 2014 | $950,000 |
Lincoln Financial Advisors Corporation | Lincoln National | financial services | investor protection violation | 2005 | $950,000 |
Robert W. Baird & Co. | | | investor protection violation | 2009 | $934,510 |
Piper Jaffray Inc. | Piper Sandler | financial services | investor protection violation | 2000 | $933,000 |
Oppenheimer & Co., Inc. | Oppenheimer Holdings | financial services | investor protection violation | 2013 | $921,000 |
First New York Securities L.L.C. | | | investor protection violation | 2015 | $916,000 |
Lek Securities Corporation | | | investor protection violation | 2019 | $900,000 |