Banc of America Securities LLC | Bank of America | financial services | investor protection violation | 2001 | $40,000 |
Credit Suisse First Boston Corporation | UBS | financial services | investor protection violation | 2001 | $25,000 |
Merrill Lynch, Pierce, Fenner & Smith, Inc. | Bank of America | financial services | investor protection violation | 2001 | $15,000 |
Chase Securities, Inc. | JPMorgan Chase | financial services | investor protection violation | 2001 | $10,000 |
Josephthal & Co., Inc. | Oppenheimer Holdings | financial services | investor protection violation | 2001 | $2,300,000 |
Stifel, Nicolaus & Company, Inc. | Stifel Financial | financial services | investor protection violation | 2001 | $225,000 |
Prudential Securities, Inc. | Wells Fargo | financial services | investor protection violation | 2001 | $10,000 |
First Union Brokerage Services, Inc. | Wells Fargo | financial services | investor protection violation | 2001 | $32,500 |
Morgan Stanley & Co. Inc. | Morgan Stanley | financial services | investor protection violation | 2000 | $200,000 |
Merrill Lynch, Pierce, Fenner & Smith, Inc. | Bank of America | financial services | investor protection violation | 2000 | $97,000 |
E-TRADE Securities, Inc. | Morgan Stanley | financial services | investor protection violation | 2000 | $20,000 |
John Nuveen & Co., Inc. | TIAA | financial services | investor protection violation | 2000 | $6,630,000 |
First Union Securities, Inc. | Wells Fargo | financial services | investor protection violation | 2000 | $350,000 |
J. P. Morgan Securities Inc. | JPMorgan Chase | financial services | investor protection violation | 2000 | $200,000 |
Kemper Distributors, Inc. | Kemper | financial services | investor protection violation | 2000 | $100,000 |
E-TRADE Securities, Inc. | Morgan Stanley | financial services | investor protection violation | 2000 | $20,000 |
A.G. Edwards & Sons, Inc. | Wells Fargo | financial services | investor protection violation | 2000 | $5,890,000 |
Raymond James & Associates Inc. | Raymond James Financial | financial services | investor protection violation | 2000 | $3,410,000 |
CS First Boston Corp. | UBS | financial services | investor protection violation | 2000 | $1,240,000 |
Piper Jaffray Inc. | Piper Sandler | financial services | investor protection violation | 2000 | $933,000 |
Southwest Securities Inc. | Hilltop Holdings | financial services | investor protection violation | 2000 | $500,000 |
Prudential Securities, Inc. | Wells Fargo | financial services | investor protection violation | 2000 | $100,000 |
Morgan Stanley & Co., Inc. | Morgan Stanley | financial services | investor protection violation | 2000 | $495,000 |
Robinhood Financial LLC | Robinhood Markets | financial services | investor protection violation | 2021 | $69,600,000 |
Merrill Lynch, Pierce, Fenner & Smith, Inc. | Bank of America | financial services | investor protection violation | 2021 | $11,650,000 |
Credit Suisse Securities | UBS | financial services | investor protection violation | 2022 | $9,000,000 |
Merrill Lynch, Pierce, Fenner & Smith, Inc. | Bank of America | financial services | investor protection violation | 2022 | $15,200,000 |
UBS Securities LLC | UBS | financial services | investor protection violation | 2022 | $2,500,000 |
BofA Securities, Inc. | Bank of America | financial services | investor protection violation | 2022 | $5,000,000 |
Merrill Lynch, Pierce, Fenner & Smith Inc. | Bank of America | financial services | anti-money-laundering deficiencies | 2023 | $6,000,000 |
BofA Securities, Inc. | Bank of America | financial services | investor protection violation | 2023 | $24,000,000 |
Morgan Stanley Smith Barney LLC | Morgan Stanley | financial services | investor protection violation | 2024 | $1,600,000 |
Securities America, Inc. | Reverence Capital Partners | private equity (including portfolio companies) | investor protection violation | 2015 | $752,686 |
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 | 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 |
Royal Alliance Associates, Inc. | Reverence Capital Partners | private equity (including portfolio companies) | investor protection violation | 2006 | $250,000 |
Securities America, Inc. | Reverence Capital Partners | private equity (including portfolio companies) | investor protection violation | 2006 | $16,300,000 |
American General Securities, Inc. | Reverence Capital Partners | private equity (including portfolio companies) | investor protection violation | 2006 | $1,100,000 |
Royal Alliance Associates, Inc. | Reverence Capital Partners | private equity (including portfolio companies) | investor protection violation | 2005 | $6,600,000 |
Securities America, Inc. | Reverence Capital Partners | private equity (including portfolio companies) | investor protection violation | 2005 | $2,400,000 |
Ladenburg Thalmann & Co. | Reverence Capital Partners | private equity (including portfolio companies) | investor protection violation | 2005 | $1,200,000 |