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 |
Cresap, Inc. | | | investor protection violation | 2004 | $99,458 |
Merrill Lynch, Pierce, Fenner & Smith, Inc. | Bank of America | financial services | investor protection violation | 2000 | $97,000 |
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 |
National Securities Corporation | | | investor protection violation | 2005 | $85,000 |
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 |
SWS Financial Services | | | investor protection violation | 2009 | $70,000 |
Schwab Capital Markets, L.P. | UBS | financial services | investor protection violation | 2004 | $70,000 |
SWS Financial Services | | | investor protection violation | 2004 | $66,468 |
Lehman Brothers, Inc. | | | investor protection violation | 2001 | $65,000 |
Ramius Securities L.L.C. | | | investor protection violation | 2001 | $61,000 |
Charles Schwab & Co, Inc. | Charles Schwab Corp. | financial services | investor protection violation | 2004 | $60,869 |
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 |
Securities America, Inc. | Reverence Capital Partners | private equity (including portfolio companies) | investor protection violation | 2009 | $55,000 |
PNC Capital Markets LLC | PNC Financial Services | financial services | investor protection violation | 2016 | $50,000 |
SIGMA Financial Corporation | | | investor protection violation | 2009 | $50,000 |
Intersecurities, Inc. | | | investor protection violation | 2009 | $50,000 |
Friedman, Billings, Ramsey & Co., Inc. | Arlington Asset Investment Corp. | financial services | investor protection violation | 2008 | $50,000 |
Jefferies & Company, Inc. | Jefferies Financial Group | diversified | investor protection violation | 2008 | $50,000 |
JMP Securities, LLC | | | investor protection violation | 2008 | $50,000 |
Pacific Crest Securities, Inc. | | | investor protection violation | 2008 | $50,000 |
McLaughlin, Piven and Vogel Securities Inc. | | | investor protection violation | 2006 | $50,000 |
Credit Suisse First Boston, L.L.C. | UBS | financial services | investor protection violation | 2004 | $50,000 |
Fleet Securities, Inc. | | | investor protection violation | 2001 | $50,000 |
Askar Corporation | | | investor protection violation | 2011 | $45,000 |
Fox & Company Investments Inc. | | | investor protection violation | 2009 | $45,000 |
Alpine Securities Corporation | | | investor protection violation | 2010 | $40,000 |
CIBC World Markets Corp. | Canadian Imperial Bank of Commerce | financial services | investor protection violation | 2005 | $40,000 |
Emmet & Co., Inc. | | | investor protection violation | 2005 | $40,000 |
Loop Capital Markets, LLC | | | investor protection violation | 2005 | $40,000 |
Popular Securities, Inc. | | | investor protection violation | 2005 | $40,000 |
Sterling Financial Investment Group | | | investor protection violation | 2002 | $40,000 |
Fleet Securities, Inc. | | | investor protection violation | 2001 | $40,000 |
Herzog, Heine, Geduld, Inc. | | | investor protection violation | 2001 | $40,000 |
Banc of America Securities LLC | Bank of America | financial services | investor protection violation | 2001 | $40,000 |
Kirkpatrick, Pettis, Smith, Polian Inc. | | | investor protection violation | 2004 | $39,935 |
Wachovia Securities, LLC. | Wells Fargo | financial services | investor protection violation | 2004 | $39,486 |
Morgan Stanley DW Inc. | Morgan Stanley | financial services | investor protection violation | 2004 | $38,312 |
Addison Securities, Inc. | | | investor protection violation | 2000 | $37,500 |
Southwest Securities, Inc. | Hilltop Holdings | financial services | investor protection violation | 2004 | $36,971 |
Carlin Equities Corporation | | | investor protection violation | 2004 | $35,000 |
FutureTrade Securities, L.L.C | | | investor protection violation | 2004 | $35,000 |
Mutual Service Corporation, Inc. | | | investor protection violation | 2001 | $35,000 |
Cornerstone Securities Corporation | | | investor protection violation | 2001 | $35,000 |
David Lerner Associates, Inc. | | | investor protection violation | 2004 | $32,711 |
Chase Investment Services Corp. | JPMorgan Chase | financial services | investor protection violation | 2009 | $32,500 |
First Union Brokerage Services, Inc. | Wells Fargo | financial services | investor protection violation | 2001 | $32,500 |
Brecek & Young Advisors, Inc. | | | investor protection violation | 2004 | $31,224 |
BOSC, Inc. | | | investor protection violation | 2005 | $30,000 |
Pershing LLC | | | investor protection violation | 2005 | $30,000 |
Prager, Sealy & Co., LLC | | | investor protection violation | 2005 | $30,000 |
National Financial Services, L.L.C. | | | investor protection violation | 2001 | $30,000 |
Datek Online Brokerage Services, LLC | | | investor protection violation | 2001 | $30,000 |
vFinance Investments, Inc. | | | investor protection violation | 2009 | $27,500 |
Choice Investments, Inc. | | | investor protection violation | 2000 | $27,000 |
Edward Jones | Jones Financial | financial services | investor protection violation | 2004 | $25,181 |
Newbridge Securities Corporation | | | investor protection violation | 2011 | $25,000 |
Equity Station, Inc. | | | investor protection violation | 2010 | $25,000 |
Investors Capital Corp. | | | investor protection violation | 2009 | $25,000 |
ProEquities, Inc. | Dai-ichi Life | financial services | investor protection violation | 2009 | $25,000 |
National Securities Corporation | | | investor protection violation | 2009 | $25,000 |
Dalton Kent Securities Group, Inc. | | | investor protection violation | 2001 | $25,000 |
Credit Suisse First Boston Corporation | UBS | financial services | investor protection violation | 2001 | $25,000 |
Lutheran Brotherhood Securities Corp. | | | investor protection violation | 2001 | $25,000 |
1-800DAYTRADE.COM, Inc. | | | investor protection violation | 2000 | $25,000 |
Olympus Securities, LLC | | | investor protection violation | 2010 | $20,000 |
Pulse Trading, Inc. | | | investor protection violation | 2004 | $20,000 |
Windsor Capital Advisors, Inc. | | | investor protection violation | 2001 | $20,000 |
Prudential Securities Incorporated | Wells Fargo | financial services | investor protection violation | 2001 | $20,000 |
Pershing Trading Company, L.P. | | | investor protection violation | 2001 | $20,000 |
ING Barings LLC | | | investor protection violation | 2001 | $20,000 |
CyBerBroker, Inc. | | | investor protection violation | 2001 | $20,000 |
Summit Trading, Inc. | | | investor protection violation | 2001 | $20,000 |