Scudder Distributors, Inc. | | | investor protection violation | 2007 | $425,000 |
Securities America | Reverence Capital Partners | private equity (including portfolio companies) | investor protection violation | 2014 | $625,000 |
Securities America, Inc. | Reverence Capital Partners | private equity (including portfolio companies) | investor protection violation | 2015 | $752,686 |
Securities America, Inc. | Reverence Capital Partners | private equity (including portfolio companies) | investor protection violation | 2011 | $250,000 |
Securities America, Inc. | Reverence Capital Partners | private equity (including portfolio companies) | investor protection violation | 2009 | $55,000 |
Securities America, Inc. | Reverence Capital Partners | private equity (including portfolio companies) | investor protection violation | 2007 | $322,000 |
Securities America, Inc. | Reverence Capital Partners | private equity (including portfolio companies) | investor protection violation | 2006 | $16,300,000 |
Securities America, Inc. | Reverence Capital Partners | private equity (including portfolio companies) | investor protection violation | 2005 | $2,400,000 |
Sentinel Financial Services Company | | | investor protection violation | 2004 | $700,000 |
Sentra Securities Corporation and Spelman & Co., Inc. | | | investor protection violation | 2005 | $780,000 |
SG Americas Securities, Inc. | Societe Generale | financial services | investor protection violation | 2013 | $675,000 |
SG Americas Securities, LLC | Societe Generale | financial services | investor protection violation | 2020 | $1,550,000 |
SG Americas Securities, LLC | Societe Generale | financial services | investor protection violation | 2005 | $4,478,000 |
SG Cowen, LLC | Toronto-Dominion Bank | financial services | investor protection violation | 2004 | $800,000 |
SIGMA Financial Corporation | | | investor protection violation | 2009 | $50,000 |
Sigma Financial Corporation | | | investor protection violation | 2004 | $135,000 |
SII Investments, Inc. | | | investor protection violation | 2005 | $658,500 |
SII Investments, Inc. | | | investor protection violation | 2004 | $100,000 |
SMH Capital Inc. | | | investor protection violation | 2008 | $450,000 |
SoFi Securities LLC | | | investor protection violation | 2023 | $698,282 |
SogoTrade, Inc. | | | investor protection violation | 2023 | $204,767 |
Southwest Securities Inc. | Hilltop Holdings | financial services | investor protection violation | 2000 | $500,000 |
Southwest Securities, Inc. | Hilltop Holdings | financial services | investor protection violation | 2011 | $650,000 |
Southwest Securities, Inc. | Hilltop Holdings | financial services | investor protection violation | 2011 | $500,000 |
Southwest Securities, Inc. | Hilltop Holdings | financial services | investor protection violation | 2004 | $36,971 |
Spear, Leeds & Kellogg | Goldman Sachs | financial services | investor protection violation | 2001 | $10,000 |
Spear, Leeds & Kellogg, L.P | Goldman Sachs | financial services | investor protection violation | 2005 | $1,000,000 |
Spear, Leeds & Kellogg, L.P. | Goldman Sachs | financial services | investor protection violation | 2004 | $75,000 |
Spelman & Co. | | | investor protection violation | 2009 | $10,000 |
StartEngine Capital LLC | | | investor protection violation | 2022 | $350,000 |
State Street Global Markets LLC | State Street Corp. | financial services | investor protection violation | 2005 | $1,400,000 |
State Street Research Investment Services, Inc. | BlackRock | financial services | investor protection violation | 2004 | $1,500,000 |
StateTrust Investments, Inc. | | | investor protection violation | 2013 | $1,398,000 |
Stephen L. Falk & Associates, Inc. | | | investor protection violation | 2009 | $7,500 |
Stephens Inc. | | | investor protection violation | 2016 | $900,000 |
Stephens Inc. | | | investor protection violation | 2015 | $150,000 |
Stephens, Inc. | | | investor protection violation | 2005 | $110,000 |
Sterling Financial Investment Group | | | investor protection violation | 2002 | $40,000 |
Stifel Financial Corporation | Stifel Financial | financial services | investor protection violation | 2014 | $1,025,000 |
Stifel Nicolaus & Company | Stifel Financial | financial services | investor protection violation | 2004 | $125,000 |
Stifel Nicolaus & Company, Inc. | Stifel Financial | financial services | investor protection violation | 2015 | $2,900,000 |
Stifel, Nicolaus & Company, Inc. | Stifel Financial | financial services | investor protection violation | 2001 | $225,000 |
Stifel, Nicolaus & Company, Incorporated | Stifel Financial | financial services | investor protection violation | 2020 | $3,650,000 |
StockCross Financial Services, Inc. | | | investor protection violation | 2015 | $800,000 |
Stone & Youngberg, LLC | | | investor protection violation | 2005 | $110,000 |
Summit Brokerage Services, Inc. | | | investor protection violation | 2019 | $880,000 |
Summit Brokerage Services, Inc. | | | investor protection violation | 2016 | $500,000 |
Summit Trading, Inc. | | | investor protection violation | 2001 | $20,000 |
SunAmerica Securities, Inc. | American International Group | financial services | investor protection violation | 2009 | $300,000 |
SunAmerica Securities, Inc. | American International Group | financial services | investor protection violation | 2005 | $2,500,000 |
SunAmerica Securities, Inc. | American International Group | financial services | investor protection violation | 2004 | $100,000 |
SunTrust Capital Markets, Inc. | Truist Financial | financial services | investor protection violation | 2005 | $100,000 |
SunTrust Investment Services, Inc. | Truist Financial | financial services | investor protection violation | 2010 | $1,440,000 |
SunTrust Investment Services, Inc. | Truist Financial | financial services | investor protection violation | 2008 | $700,000 |
SunTrust Investment Services, Inc. | Truist Financial | financial services | investor protection violation | 2008 | $300,000 |
SunTrust Robinson Humphrey, Inc. | Truist Financial | financial services | investor protection violation | 2016 | $1,500,000 |
SunTrust Robinson Humphrey, Inc. | Truist Financial | financial services | investor protection violation | 2011 | $5,000,000 |
SunTrust Robinson Humphrey, Inc. | Truist Financial | financial services | investor protection violation | 2008 | $1,650,000 |
Swift Trade Securities USA, Inc. | | | investor protection violation | 2002 | $101,000 |
SWS Financial Services | | | investor protection violation | 2009 | $70,000 |
SWS Financial Services | | | investor protection violation | 2004 | $66,468 |
TD Ameritrade Clearing, Inc. | Charles Schwab Corp. | financial services | investor protection violation | 2013 | $1,150,000 |
TD Waterhouse Investor Services, Inc. | Toronto-Dominion Bank | financial services | investor protection violation | 2004 | $150,000 |
Tejas Securities Group, Inc. | | | investor protection violation | 2005 | $10,000 |
Terra Nova Financial, LLC | | | investor protection violation | 2009 | $400,000 |
The Huntington Investment Company | | | investor protection violation | 2015 | $135,973 |
Thomas Weisel Partners | Stifel Financial | financial services | investor protection violation | 2005 | $1,750,000 |
Thomas Weisel Partners, LLC | Stifel Financial | financial services | investor protection violation | 2008 | $200,000 |
Torrey Pines Securities, Inc. | | | investor protection violation | 2001 | $14,000 |
Tower Square Securities | | | investor protection violation | 2002 | $4,500,000 |
TradeStation Securities, Inc. | | | investor protection violation | 2008 | $750,000 |
Transamerica Financial Advisors, Inc. | Aegon | financial services | investor protection violation | 2020 | $8,800,000 |
Transcend Capital, LP | | | investor protection violation | 2004 | $10,000 |
Triad Advisors | | | investor protection violation | 2014 | $1,025,000 |
Trillium Brokerage Services, LLC | | | investor protection violation | 2010 | $1,000,000 |
Trillium Trading LLC | | | investor protection violation | 2006 | $225,000 |
U.S. Bancorp Piper Jaffray | Piper Sandler | financial services | investor protection violation | 2002 | $250,000 |
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 |
UBS Financial Services | UBS | financial services | investor protection violation | 2012 | $2,354,584 |
UBS Financial Services Inc. | UBS | financial services | investor protection violation | 2019 | $2,000,000 |
UBS Financial Services Inc. | UBS | financial services | investor protection violation | 2004 | $200,666 |
UBS Financial Services Inc. and UBS Securities LLC | UBS | financial services | anti-money-laundering deficiencies | 2018 | $5,000,000 |
UBS Financial Services Incorporated of Puerto Rico | UBS | financial services | investor protection violation | 2015 | $18,500,000 |
UBS Financial Services, Inc. | UBS | financial services | investor protection violation | 2011 | $10,750,000 |
UBS Financial Services, Inc. | UBS | financial services | investor protection violation | 2009 | $100,000 |
UBS Financial Services, Inc. | UBS | financial services | investor protection violation | 2008 | $1,000,000 |
UBS Financial Services, Inc. | UBS | financial services | investor protection violation | 2007 | $370,000 |
UBS International Inc. | UBS | financial services | investor protection violation | 2005 | $10,000 |
UBS Securities | UBS | financial services | investor protection violation | 2009 | $268,000 |
UBS Securities LLC | UBS | financial services | investor protection violation | 2011 | $12,000,000 |
UBS Securities LLC | UBS | financial services | investor protection violation | 2022 | $2,500,000 |
UBS Securities, L.L.C. | UBS | financial services | investor protection violation | 2004 | $10,000 |
UBS Securities, LLC | UBS | financial services | investor protection violation | 2008 | $200,000 |
US Bancorp Investments, Inc. | U.S. Bancorp | financial services | investor protection violation | 2010 | $275,000 |
USAllianz Securities | Allianz | financial services | investor protection violation | 2006 | $5,000,000 |
VALIC Financial Advisors, Inc. | American International Group | financial services | investor protection violation | 2016 | $1,750,000 |
vFinance Investments, Inc. | | | investor protection violation | 2009 | $27,500 |
VOYA Financial Advisors Inc. | Voya Financial | financial services | investor protection violation | 2016 | $4,550,000 |
VSR Financial Services, Inc. | | | investor protection violation | 2016 | $400,000 |
Wachovia Capital Markets, LLC | Wells Fargo | financial services | investor protection violation | 2007 | $300,000 |
Wachovia Securities | Wells Fargo | financial services | investor protection violation | 2009 | $4,500,000 |