Advantage Capital Corporation | | | investor protection violation | 2009 | $5,000 |
Financial West Group | | | investor protection violation | 2009 | $5,000 |
GunnAllen Financial, Inc. | | | investor protection violation | 2009 | $6,000 |
First Midwest Securities, Inc. | | | investor protection violation | 2009 | $7,000 |
Stephen L. Falk & Associates, Inc. | | | investor protection violation | 2009 | $7,500 |
Spelman & Co. | | | investor protection violation | 2009 | $10,000 |
Tejas Securities Group, Inc. | | | investor protection violation | 2005 | $10,000 |
UBS International Inc. | UBS | financial services | investor protection violation | 2005 | $10,000 |
Mid-Atlantic Capital Corporation | | | investor protection violation | 2004 | $10,000 |
Options Trading Associates, LLC | | | investor protection violation | 2004 | $10,000 |
Transcend Capital, LP | | | investor protection violation | 2004 | $10,000 |
UBS Securities, L.L.C. | UBS | financial services | investor protection violation | 2004 | $10,000 |
Gerard Klauer Mattison & Co., Inc. | | | investor protection violation | 2001 | $10,000 |
BancBoston Robertson Stephens | | | investor protection violation | 2001 | $10,000 |
J.P. Morgan Securities, Inc. | JPMorgan Chase | financial services | investor protection violation | 2001 | $10,000 |
Spear, Leeds & Kellogg | Goldman Sachs | financial services | investor protection violation | 2001 | $10,000 |
Chase Securities, Inc. | JPMorgan Chase | financial services | investor protection violation | 2001 | $10,000 |
Ramius Securities LLC | | | investor protection violation | 2001 | $10,000 |
Prudential Securities, Inc. | Wells Fargo | financial services | investor protection violation | 2001 | $10,000 |
Index Securities, LLC | | | investor protection violation | 2004 | $11,000 |
BNY Brokerage, Inc. | | | investor protection violation | 2004 | $12,000 |
Schwab Capital Markets | UBS | financial services | investor protection violation | 2001 | $12,000 |
Doyle, Miles & Co., L.L.C. | | | investor protection violation | 2004 | $12,500 |
Quantlab Securities, L.P. | | | investor protection violation | 2004 | $12,500 |
LaSalle St. Securities, L.L.C. | | | investor protection violation | 2000 | $13,000 |
Access Securities, Inc. | | | investor protection violation | 2001 | $14,000 |
Torrey Pines Securities, Inc. | | | investor protection violation | 2001 | $14,000 |
FSC Securities Corporation | | | investor protection violation | 2009 | $15,000 |
Lincoln Investment Planning, Inc. | | | investor protection violation | 2009 | $15,000 |
Delta Asset Management Company, L.L.C. | | | investor protection violation | 2004 | $15,000 |
Deutsche Bank Securities, Inc. | Deutsche Bank | financial services | investor protection violation | 2004 | $15,000 |
Merrill Lynch, Pierce, Fenner & Smith, Inc. | Bank of America | financial services | investor protection violation | 2001 | $15,000 |
Penson Financial Services, Inc. | | | investor protection violation | 2001 | $15,000 |
Allmerica Investments, Inc. | | | investor protection violation | 2001 | $15,000 |
Scottrade, Inc. | Charles Schwab Corp. | financial services | investor protection violation | 2004 | $16,000 |
Prudential Equity Group, LLC | Prudential Financial | financial services | investor protection violation | 2004 | $17,306 |
Donnelly & Co., Inc. | | | investor protection violation | 2000 | $17,500 |
Herzog, Heine, Geduld, Inc. | | | investor protection violation | 2001 | $18,000 |
Aegis Capital Corp. | | | investor protection violation | 2001 | $19,000 |
Gary Goldberg & Co., Inc | | | investor protection violation | 2009 | $19,500 |
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 |
E-TRADE Securities, Inc. | Morgan Stanley | financial services | investor protection violation | 2000 | $20,000 |
E-TRADE Securities, Inc. | Morgan Stanley | financial services | investor protection violation | 2000 | $20,000 |
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 |
Edward Jones | Jones Financial | financial services | investor protection violation | 2004 | $25,181 |
Choice Investments, Inc. | | | investor protection violation | 2000 | $27,000 |
vFinance Investments, Inc. | | | investor protection violation | 2009 | $27,500 |
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 |
Brecek & Young Advisors, Inc. | | | investor protection violation | 2004 | $31,224 |
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 |
David Lerner Associates, Inc. | | | investor protection violation | 2004 | $32,711 |
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 |
Southwest Securities, Inc. | Hilltop Holdings | financial services | investor protection violation | 2004 | $36,971 |
Addison Securities, Inc. | | | investor protection violation | 2000 | $37,500 |
Morgan Stanley DW Inc. | Morgan Stanley | financial services | investor protection violation | 2004 | $38,312 |
Wachovia Securities, LLC. | Wells Fargo | financial services | investor protection violation | 2004 | $39,486 |
Kirkpatrick, Pettis, Smith, Polian Inc. | | | investor protection violation | 2004 | $39,935 |
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 |
Askar Corporation | | | investor protection violation | 2011 | $45,000 |
Fox & Company Investments Inc. | | | investor protection violation | 2009 | $45,000 |
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 |