Oppenheimer & Co., Inc. | Oppenheimer Holdings | investor protection violation | 2005 | MO-SEC | $122,050 |
Edward D. Jones & Co. L.P. | Jones Financial | investor protection violation | 2005 | MO-SEC | $1,500,000 |
Waddell & Reed, Inc. | Macquarie | investor protection violation | 2006 | MO-SEC | $172,161 |
World Group Securities, Inc. | Aegon | investor protection violation | 2006 | MO-SEC | $228,600 |
Berthel Fisher & Company Financial Services, Inc. | Berthel Fisher | investor protection violation | 2007 | MO-SEC | $230,469 |
Investment Centers of America, Inc. | LPL Financial | investor protection violation | 2007 | MO-SEC | $1,031,618 |
UBS Financial Services, Inc. | UBS | investor protection violation | 2007 | MO-SEC | $697,210 |
Merrill Lynch, Pierce, Fenner & Smith Inc. | Bank of America | investor protection violation | 2009 | MO-SEC | $20,000 |
Securian Financial Services, Inc. | Securian Financial | investor protection violation | 2009 | MO-SEC | $79,445 |
Raymond James Financial Services, Inc. | Raymond James Financial | investor protection violation | 2009 | MO-SEC | $52,300 |
UBS Financial Services, Inc. | UBS | investor protection violation | 2009 | MO-SEC | $170,175 |
Investment Professionals, Inc. | Ameriprise Financial | investor protection violation | 2009 | MO-SEC | $52,500 |
Stifel, Nicolaus & Company, Inc. | Stifel Financial | investor protection violation | 2010 | MO-SEC | $211,617 |
Edward D. Jones & Co. L.P. | Jones Financial | investor protection violation | 2010 | MO-SEC | $40,500 |
Bankers Life and Casualty Co. | CNO Financial | investor protection violation | 2010 | MO-SEC | $789,600 |
LPL Financial Corp. | LPL Financial | investor protection violation | 2010 | MO-SEC | $37,540 |
Citigroup Global Markets, Inc. | Citigroup | investor protection violation | 2010 | MO-SEC | $277,500 |
AXA Advisors, LLC | Equitable Holdings | investor protection violation | 2010 | MO-SEC | $92,015 |
A.G. Edwards & Sons, Inc. | Wells Fargo | investor protection violation | 2011 | MO-SEC | $765,993 |
Berthel Fisher & Company Financial Services, Inc. | Berthel Fisher | investor protection violation | 2011 | MO-SEC | $5,000 |
Stifel, Nicolaus & Company, Inc. | Stifel Financial | investor protection violation | 2012 | MO-SEC | $1,101,385 |
LendingClub Corp. | LendingClub Corp. | investor protection violation | 2012 | MO-SEC | $105,000 |
Berthel Fisher & Company Financial Services, Inc. | Berthel Fisher | investor protection violation | 2013 | MO-SEC | $80,000 |
Merrill Lynch, Pierce, Fenner & Smith Inc. | Bank of America | investor protection violation | 2013 | MO-SEC | $2,121,579 |
LPL Financial LLC | LPL Financial | investor protection violation | 2013 | MO-SEC | $185,000 |
Bankers Life and Casualty Co. | CNO Financial | investor protection violation | 2015 | MO-SEC | $102,178 |
ProEquities, Inc. | Dai-ichi Life | investor protection violation | 2015 | MO-SEC | $128,528 |
Morgan Keegan & Company, Inc. | Raymond James Financial | investor protection violation | 2016 | MO-SEC | $850,000 |
A.G. Edwards & Sons, Inc. | Wells Fargo | investor protection violation | 2017 | MO-SEC | $25,672 |
Solium Financial Services LLC | Morgan Stanley | investor protection violation | 2020 | MO-SEC | $9,130 |
AmSouth Investment Services, Inc. | Regions Financial | investor protection violation | 2004 | MS-SEC | $225,000 |
MetLife Securities, Inc. | MetLife | investor protection violation | 2006 | MS-SEC | $50,000 |
Morgan Keegan & Company, Inc. | Raymond James Financial | investor protection violation | 2007 | MS-SEC | $12,500 |
Ameriprise Financial Services, Inc. | Ameriprise Financial | investor protection violation | 2008 | MS-SEC | $150,000 |
Morgan Stanley Smith Barney LLC | Morgan Stanley | investor protection violation | 2016 | MS-SEC | $4,743,815 |
Stifel, Nicolaus & Company, Inc. | Stifel Financial | investor protection violation | 2017 | MS-SEC | $50,000 |
LPL Financial LLC | LPL Financial | investor protection violation | 2018 | MS-SEC | $40,000 |
U.S. Bancorp Piper Jaffray Inc. | Piper Sandler | investor protection violation | 2003 | MT-FIN | $2,625,000 |
Waddell & Reed, Inc. | Macquarie | investor protection violation | 2005 | MT-FIN | $25,000 |
Piper Jaffray & Co. | Piper Sandler | investor protection violation | 2006 | MT-FIN | $345,000 |
UBS Financial Services, Inc. | UBS | investor protection violation | 2006 | MT-FIN | $4,503,166 |
LPL Financial Corp. | LPL Financial | investor protection violation | 2009 | MT-FIN | $1,294,416 |
NEXT Financial Group, Inc. | Atria Wealth Solutions | investor protection violation | 2010 | MT-FIN | $5,000 |
Edward Jones | Jones Financial | investor protection violation | 2010 | MT-FIN | $100,000 |
LPL Financial LLC | LPL Financial | investor protection violation | 2012 | MT-FIN | $30,500 |
Metlife Investors USA Insurance Co | MetLife | investor protection violation | 2012 | MT-FIN | $5,000 |
RBC Capital Markets, LLC | Royal Bank of Canada | investor protection violation | 2012 | MT-FIN | $186,439 |
Deutsche Bank Securities Inc. | Deutsche Bank | investor protection violation | 2010 | NC-SEC | $7,800,000 |
US Bancorp Piper Jaffray Inc. | Piper Sandler | investor protection violation | 2001 | ND-SEC | $23,250 |
Edward D. Jones & Co. LP | Jones Financial | investor protection violation | 2003 | ND-SEC | $7,000 |
Berthel Fisher and Company Financial Services Inc. | Berthel Fisher | investor protection violation | 2003 | ND-SEC | $12,303 |
Principal Life Insurance Company | Principal Financial | investor protection violation | 2004 | ND-SEC | $30,000 |
Berthel Fisher and Company Financial Services Inc. | Berthel Fisher | investor protection violation | 2004 | ND-SEC | $20,000 |
Piper Jaffray & Co. | Piper Sandler | investor protection violation | 2004 | ND-SEC | $20,000 |
Piper Jaffray & Co. | Piper Sandler | investor protection violation | 2004 | ND-SEC | $17,000 |
Piper Jaffray & Co. | Piper Sandler | investor protection violation | 2005 | ND-SEC | $30,000 |
Piper Jaffray & Co. | Piper Sandler | investor protection violation | 2006 | ND-SEC | $17,204 |
Investment Centers of America Inc. | LPL Financial | investor protection violation | 2006 | ND-SEC | $6,000 |
Berthel Fisher and Company Financial Services Inc. | Berthel Fisher | investor protection violation | 2006 | ND-SEC | $8,000 |
Piper Jaffray & Co. | Piper Sandler | investor protection violation | 2006 | ND-SEC | $229,000 |
Wachovia Securities LLC | Wells Fargo | investor protection violation | 2007 | ND-SEC | $75,000 |
U.S. Bancorp Piper Jaffray Inc. | Piper Sandler | investor protection violation | 2002 | NE-DBF | $5,000 |
A.G. Edwards & Sons Inc. | Wells Fargo | investor protection violation | 2003 | NE-DBF | $20,000 |
Pruco Securities, LLC | Prudential Financial | investor protection violation | 2006 | NE-DBF | $12,500 |
Eaton Vance Income Fund of Boston | Morgan Stanley | investor protection violation | 2006 | NE-DBF | $17,000 |
Berthel, Fisher & Company Financial Services, Inc. | Berthel Fisher | investor protection violation | 2007 | NE-DBF | $5,000 |
Ameritas Investment Corp. | Ameritas Mutual Holding Company | investor protection violation | 2008 | NE-DBF | $11,000 |
Cadaret, Grant & Co., Inc. | Atria Wealth Solutions | investor protection violation | 2008 | NE-DBF | $10,000 |
Stifel, Nicolaus & Company Inc. | Stifel Financial | investor protection violation | 2014 | NE-DBF | $61,000 |
Merrill Lynch | Bank of America | investor protection violation | 2002 | NH-BSR | $500,000 |
Morgan Stanley | Morgan Stanley | investor protection violation | 2004 | NH-BSR | $500,000 |
Morgan Stanley DW Inc. | Morgan Stanley | investor protection violation | 2005 | NH-BSR | $435,000 |
American Express Financial Advisors Inc. | Ameriprise Financial | investor protection violation | 2005 | NH-BSR | $7,375,000 |
ING Life Insurance and Annuity Company | Voya Financial | investor protection violation | 2006 | NH-BSR | $3,000,000 |
CCO Investment Services Corp. | Citizens Financial Group | investor protection violation | 2007 | NH-BSR | $375,000 |
Ameriprise Financial Services, Inc. | Ameriprise Financial | investor protection violation | 2008 | NH-BSR | $3,400,000 |
UBS Financial Services Inc. | UBS | investor protection violation | 2011 | NH-BSR | $1,000,000 |
Oppenheimer & Co. Inc. | Oppenheimer Holdings | investor protection violation | 2012 | NH-BSR | $155,000 |
Morgan Stanley Smith Barney | Morgan Stanley | investor protection violation | 2012 | NH-BSR | $35,000 |
UBS Financial Services Inc. | UBS | investor protection violation | 2012 | NH-BSR | $72,500 |
Edward Jones & Co. LP | Jones Financial | investor protection violation | 2014 | NH-BSR | $750,000 |
NEXT Financial Group, Inc | Atria Wealth Solutions | investor protection violation | 2014 | NH-BSR | $140,000 |
Ameriprise Financial Services, Inc. | Ameriprise Financial | investor protection violation | 2014 | NH-BSR | $90,000 |
Citigroup Global Markets Inc. | Citigroup | investor protection violation | 2015 | NH-BSR | $35,000 |
LPL Financial, LLC | LPL Financial | investor protection violation | 2015 | NH-BSR | $750,000 |
Wells Fargo Advisors Financial Network, LLC | Wells Fargo | investor protection violation | 2016 | NH-BSR | $35,000 |
Ameriprise Financial Services, Inc. | Ameriprise Financial | investor protection violation | 2016 | NH-BSR | $30,800 |
Waddell & Reed, Inc. | Macquarie | investor protection violation | 2016 | NH-BSR | $900,000 |
NYLIFE Securities LLC | New York Life Insurance | investor protection violation | 2017 | NH-BSR | $7,500 |
State Street Bank and Trust Company | State Street Corp. | investor protection violation | 2018 | NH-BSR | $325,000 |
Morgan Stanley Smith Barney, LLC | Morgan Stanley | investor protection violation | 2018 | NH-BSR | $983,284 |
Santander Securities, LLC | Banco Santander | investor protection violation | 2018 | NH-BSR | $31,562 |
Berthel Fisher & Company Financial Services, Inc | Berthel Fisher | investor protection violation | 2019 | NH-BSR | $415,407 |
Santander Securities, LLC | Banco Santander | investor protection violation | 2019 | NH-BSR | $50,000 |
NEXT Financial Group, Inc | Atria Wealth Solutions | investor protection violation | 2019 | NH-BSR | $325,000 |
Solium Financial Services LLC | Morgan Stanley | investor protection violation | 2020 | NH-BSR | $90,000 |
Smith Barney | Morgan Stanley | investor protection violation | 2007 | NJ-BOS | $5,000,000 |
Stifel Nicolaus & Company, Inc. | Stifel Financial | investor protection violation | 2010 | NJ-BOS | $5,415,381 |
Pruco Securities, LLC | Prudential Financial | investor protection violation | 2013 | NJ-BOS | $100,000 |
Oppenheimer & Co. | Oppenheimer Holdings | investor protection violation | 2015 | NM-SEC | $215,000 |
Goldman Sachs | Goldman Sachs | investor protection violation | 2015 | NY-DFS | $50,000,000 |