Oppenheimer & Co. Inc. | Oppenheimer Holdings | financial services | investor protection violation | 2019 | $4,600,000 |
Citigroup Global Markets Inc. | Citigroup | financial services | investor protection violation | 2019 | $280,000 |
J.P. Morgan Securities LLC | JPMorgan Chase | financial services | investor protection violation | 2019 | $280,000 |
LPL Financial LLC | LPL Financial | financial services | investor protection violation | 2019 | $280,000 |
Morgan Stanley Smith Barney LLC | Morgan Stanley | financial services | investor protection violation | 2019 | $280,000 |
Merrill Lynch, Pierce, Fenner & Smith Incorporated | Bank of America | financial services | investor protection violation | 2019 | $280,000 |
Credit Suisse Securities (USA) LLC | UBS | financial services | investor protection violation | 2019 | $6,500,000 |
Robinhood Financial, LLC | Robinhood Markets | financial services | investor protection violation | 2019 | $1,250,000 |
Lek Securities Corporation | | | investor protection violation | 2019 | $900,000 |
Merrill Lynch, Pierce, Fenner & Smith Incorporated | Bank of America | financial services | investor protection violation | 2019 | $4,000,000 |
Raymond James & Associates, Inc. and Raymond James Financial Services, Inc. | Raymond James Financial | financial services | investor protection violation | 2019 | $8,000,000 |
BNP Paribas Securities Corp. and BNP Paribas Prime Brokerage, Inc. | BNP Paribas | financial services | anti-money-laundering deficiencies | 2019 | $15,000,000 |
UBS Financial Services Inc. | UBS | financial services | investor protection violation | 2019 | $2,000,000 |
J.P. Morgan Securities LLC | JPMorgan Chase | financial services | investor protection violation | 2019 | $1,100,000 |
Citigroup Global Markets Inc. | Citigroup | financial services | investor protection violation | 2019 | $1,250,000 |
Summit Brokerage Services, Inc. | | | investor protection violation | 2019 | $880,000 |
AXA Advisors, LLC | Equitable Holdings | financial services | investor protection violation | 2019 | $772,000 |
Buckman, Buckman & Reid, Inc. | | | investor protection violation | 2019 | $205,000 |
Cantor Fitzgerald & Co. | Cantor Fitzgerald | financial services | investor protection violation | 2019 | $2,000,000 |
Worden Capital Management LLC | | | investor protection violation | 2020 | $1,550,000 |
Transamerica Financial Advisors, Inc. | Aegon | financial services | investor protection violation | 2020 | $8,800,000 |
Wells Fargo Clearing Services, LLC and Wells Fargo Advisors Financial Network, LLC | Wells Fargo | financial services | investor protection violation | 2020 | $2,075,000 |
Interactive Brokers LLC | Interactive Brokers Group | financial services | anti-money-laundering deficiencies | 2020 | $15,000,000 |
SG Americas Securities, LLC | Societe Generale | financial services | investor protection violation | 2020 | $1,550,000 |
Merrill Lynch, Pierce, Fenner & Smith Inc. | Bank of America | financial services | investor protection violation | 2020 | $7,200,000 |
Stifel, Nicolaus & Company, Incorporated | Stifel Financial | financial services | investor protection violation | 2020 | $3,650,000 |
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 |
Aegis Capital Corp. | | | investor protection violation | 2021 | $2,800,000 |
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 |
Wefunder Portal LLC | | | investor protection violation | 2022 | $1,400,000 |
StartEngine Capital LLC | | | investor protection violation | 2022 | $350,000 |
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 |
Webull Financial LLC | | | investor protection violation | 2023 | $3,000,000 |
Merrill Lynch, Pierce, Fenner & Smith Inc. | Bank of America | financial services | anti-money-laundering deficiencies | 2023 | $6,000,000 |
M1 Finance LLC | | | investor protection violation | 2023 | $1,236,918 |
Open to the Public Investing, Inc. | | | investor protection violation | 2023 | $528,124 |
SoFi Securities LLC | | | investor protection violation | 2023 | $698,282 |
SogoTrade, Inc. | | | investor protection violation | 2023 | $204,767 |
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 |