Merrill Lynch, Pierce, Fenner & Smith, Inc. | Bank of America | investor protection violation | 2008 | FINRA | $200,000 |
Thomas Weisel Partners, LLC | Stifel Financial | investor protection violation | 2008 | FINRA | $200,000 |
UBS Securities, LLC | UBS | investor protection violation | 2008 | FINRA | $200,000 |
Bear, Stearns & Co., Inc. | JPMorgan Chase | investor protection violation | 2008 | FINRA | $150,000 |
BMO Capital Markets Corp. | Bank of Montreal | investor protection violation | 2008 | FINRA | $150,000 |
Cowen and Company, LLC | Toronto-Dominion Bank | investor protection violation | 2008 | FINRA | $150,000 |
Deutsche Bank Securities, Inc., | Deutsche Bank | investor protection violation | 2008 | FINRA | $150,000 |
RBC Capital Markets Corp. | Royal Bank of Canada | investor protection violation | 2008 | FINRA | $150,000 |
Friedman, Billings, Ramsey & Co., Inc. | Arlington Asset Investment Corp. | investor protection violation | 2008 | FINRA | $50,000 |
Piper Jaffray & Co. | Piper Sandler | investor protection violation | 2008 | FINRA | $100,000 |
J.P. Morgan Securities, Inc. | JPMorgan Chase | investor protection violation | 2007 | FINRA | $500,000 |
Wachovia Capital Markets, LLC | Wells Fargo | investor protection violation | 2007 | FINRA | $300,000 |
Oppenheimer & Co. Inc. | Oppenheimer Holdings | investor protection violation | 2007 | FINRA | $1,000,000 |
UBS Financial Services, Inc. | UBS | investor protection violation | 2007 | FINRA | $370,000 |
Morgan Stanley & Co. | Morgan Stanley | investor protection violation | 2007 | FINRA | $12,500,000 |
AXA Advisors, LLC | Equitable Holdings | investor protection violation | 2007 | FINRA | $2,600,000 |
Morgan Stanley DW Inc. | Morgan Stanley | investor protection violation | 2007 | FINRA | $6,100,000 |
MML Investors Services, Inc. | Massachusetts Mutual Life Insurance | investor protection violation | 2007 | FINRA | $473,000 |
NYLIFE Securities LLC | New York Life Insurance | investor protection violation | 2007 | FINRA | $354,000 |
Northwestern Mutual Investment Services, LLC | Northwestern Mutual | investor protection violation | 2007 | FINRA | $100,000 |
Wells Fargo Securities, LLC | Wells Fargo | investor protection violation | 2007 | FINRA | $250,000 |
Wachovia Securities LLC | Wells Fargo | investor protection violation | 2007 | FINRA | $2,000,000 |
Citigroup Global Markets, Inc. | Citigroup | investor protection violation | 2007 | FINRA | $15,200,000 |
HSBC Brokerage | HSBC | investor protection violation | 2007 | FINRA | $250,000 |
Fidelity Investments Institutional Services Company, Inc. and Fidelity Distributors Corporation | Fidelity Investments | investor protection violation | 2007 | FINRA | $400,000 |
Raymond James Financial Services Inc. | Raymond James Financial | investor protection violation | 2007 | FINRA | $2,750,000 |
Putnam Retail Management Limited Partnership | Franklin Resources | investor protection violation | 2007 | FINRA | $175,000 |
AllianceBernstein Investments, Inc. | Equitable Holdings | investor protection violation | 2007 | FINRA | $100,000 |
Fidelity Distributors Corp. et al. | Fidelity Investments | investor protection violation | 2007 | FINRA | $3,750,000 |
Friedman, Billings, Ramsey & Co., Inc. | Arlington Asset Investment Corp. | investor protection violation | 2006 | FINRA | $4,000,000 |
USAllianz Securities | Allianz | investor protection violation | 2006 | FINRA | $5,000,000 |
Edward D. Jones & Co., L.P. | Jones Financial | investor protection violation | 2006 | FINRA | $250,000 |
RBC Dain Rauscher Inc. | Royal Bank of Canada | investor protection violation | 2006 | FINRA | $250,000 |
Morgan Stanley DW Inc. | Morgan Stanley | investor protection violation | 2006 | FINRA | $100,000 |
Chase Investment Services Corporation | JPMorgan Chase | investor protection violation | 2006 | FINRA | $500,000 |
MetLife Securities, Inc | MetLife | investor protection violation | 2006 | FINRA | $500,000 |
CCO Investment Services Corp. | Citizens Financial Group | investor protection violation | 2006 | FINRA | $850,000 |
Oppenheimer & Co. Inc. | Oppenheimer Holdings | investor protection violation | 2006 | FINRA | $800,000 |
MetLife, Inc. | MetLife | investor protection violation | 2006 | FINRA | $5,000,000 |
Morgan Stanley | Morgan Stanley | investor protection violation | 2006 | FINRA | $2,900,000 |
Citigroup Global Markets Inc. | Citigroup | investor protection violation | 2006 | FINRA | $1,115,000 |
ING America Insurance Holdings Inc. | Voya Financial | investor protection violation | 2006 | FINRA | $7,000,000 |
BRUT LLC | Nasdaq Inc. | investor protection violation | 2006 | FINRA | $2,200,000 |
Citigroup Global Markets, Inc. | Citigroup | investor protection violation | 2006 | FINRA | $350,000 |
Credit Suisse Securities (USA), LLC | UBS | investor protection violation | 2006 | FINRA | $225,000 |
Morgan Stanley & Co. Incorporated | Morgan Stanley | investor protection violation | 2006 | FINRA | $200,000 |
Merrill Lynch, Pierce, Fenner & Smith Inc. | Bank of America | investor protection violation | 2006 | FINRA | $5,000,000 |
Sanford C. Bernstein & Co. | Equitable Holdings | investor protection violation | 2006 | FINRA | $350,000 |
Oppenheimer & Co. Inc. | Oppenheimer Holdings | investor protection violation | 2006 | FINRA | $250,000 |
Merrill Lynch, Pierce, Fenner & Smith | Bank of America | investor protection violation | 2005 | FINRA | $14,000,000 |
Wells Fargo Investments | Wells Fargo | investor protection violation | 2005 | FINRA | $3,000,000 |
Chase Investment Services | JPMorgan Chase | investor protection violation | 2005 | FINRA | $290,262 |
Ameriprise Financial Services, Inc. | Ameriprise Financial | investor protection violation | 2005 | FINRA | $12,300,000 |
State Street Global Markets LLC | State Street Corp. | investor protection violation | 2005 | FINRA | $1,400,000 |
SG Americas Securities, LLC | Societe Generale | investor protection violation | 2005 | FINRA | $4,478,000 |
RBC Capital Markets Corporation | Royal Bank of Canada | investor protection violation | 2005 | FINRA | $2,108,000 |
RBC Dain Rauscher, Inc. | Royal Bank of Canada | investor protection violation | 2005 | FINRA | $1,158,000 |
Ameriprise Financial Services, Inc. | Ameriprise Financial | investor protection violation | 2005 | FINRA | $1,250,000 |
Janney Montgomery Scott LLC | Penn Mutual | investor protection violation | 2005 | FINRA | $2,200,000 |
Lincoln Financial Advisors Corporation | Lincoln National | investor protection violation | 2005 | FINRA | $950,000 |
Investment Centers of America, Inc. | LPL Financial | investor protection violation | 2005 | FINRA | $363,500 |
ING Funds Distributor | Voya Financial | investor protection violation | 2005 | FINRA | $1,500,000 |
Edward D. Jones & Co., L.P. | Jones Financial | investor protection violation | 2005 | FINRA | $300,000 |
Morgan Stanley DW, Inc. | Morgan Stanley | investor protection violation | 2005 | FINRA | $6,100,000 |
Piper Jaffray & Co. | Piper Sandler | investor protection violation | 2005 | FINRA | $280,000 |
ABN AMRO Incorporated | ABN AMRO | investor protection violation | 2005 | FINRA | $220,000 |
J.P. Morgan Securities, Inc. | JPMorgan Chase | investor protection violation | 2005 | FINRA | $160,000 |
Goldman, Sachs & Co. | Goldman Sachs | investor protection violation | 2005 | FINRA | $140,000 |
Banc of America Investment Services, Inc. | Bank of America | investor protection violation | 2005 | FINRA | $90,000 |
Raymond James & Associates, Inc. | Raymond James Financial | investor protection violation | 2005 | FINRA | $90,000 |
Chase Investment Services Corp. | JPMorgan Chase | investor protection violation | 2005 | FINRA | $60,000 |
Citigroup Global Markets Inc. | Citigroup | investor protection violation | 2005 | FINRA | $60,000 |
CIBC World Markets Corp. | Canadian Imperial Bank of Commerce | investor protection violation | 2005 | FINRA | $40,000 |
UBS International Inc. | UBS | investor protection violation | 2005 | FINRA | $10,000 |
Morgan Stanley & Co. | Morgan Stanley | investor protection violation | 2005 | FINRA | $2,650,000 |
J.P. Morgan Securities, Inc. | JPMorgan Chase | investor protection violation | 2005 | FINRA | $150,000 |
Goldman, Sachs & Co. | Goldman Sachs | investor protection violation | 2005 | FINRA | $125,000 |
AllianceBernstein Investment Research and Management, Inc. | Equitable Holdings | investor protection violation | 2005 | FINRA | $3,984,087 |
Wells Fargo Investments, LLC | Wells Fargo | investor protection violation | 2005 | FINRA | $2,970,000 |
SunAmerica Securities, Inc. | American International Group | investor protection violation | 2005 | FINRA | $2,500,000 |
RBC Dain Rauscher, Inc. | Royal Bank of Canada | investor protection violation | 2005 | FINRA | $1,700,000 |
AXA Advisors, LLC | Equitable Holdings | investor protection violation | 2005 | FINRA | $900,000 |
SunTrust Capital Markets, Inc. | Truist Financial | investor protection violation | 2005 | FINRA | $100,000 |
Waddell & Reed, Inc. | Macquarie | investor protection violation | 2005 | FINRA | (*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $16,000,000 |
Raymond James & Associates, Inc. and Raymond James Financial Services, Inc. | Raymond James Financial | investor protection violation | 2005 | FINRA | $888,000 |
Thomas Weisel Partners | Stifel Financial | investor protection violation | 2005 | FINRA | $1,750,000 |
Jefferson Pilot Variable Corporation | Lincoln National | investor protection violation | 2005 | FINRA | $688,697 |
Citigroup Global Markets, Inc. | Citigroup | investor protection violation | 2005 | FINRA | $6,250,000 |
American Express Financial Advisors | Ameriprise Financial | investor protection violation | 2005 | FINRA | $13,000,000 |
Chase Investment Services | JPMorgan Chase | investor protection violation | 2005 | FINRA | $2,000,000 |
Spear, Leeds & Kellogg, L.P | Goldman Sachs | investor protection violation | 2005 | FINRA | $1,000,000 |
Piper Jaffray & Co. | Piper Sandler | investor protection violation | 2005 | FINRA | $275,000 |
Scottrade, Inc. | Charles Schwab Corp. | investor protection violation | 2005 | FINRA | $250,000 |
Banc One Securities Corporation | JPMorgan Chase | investor protection violation | 2005 | FINRA | $400,000 |
H&R Block Financial Advisors, Inc. | H&R Block | investor protection violation | 2004 | FINRA | $825,000 |
Knight Securities, L.P. | Virtu Financial | investor protection violation | 2004 | FINRA | $12,500,000 |
Citigroup Global Markets, Inc. | Citigroup | investor protection violation | 2004 | FINRA | $275,000 |
Morgan Stanley DW Inc | Morgan Stanley | investor protection violation | 2004 | FINRA | $336,510 |
Merrill Lynch, Pierce, Fenner & Smith, Inc. | Bank of America | investor protection violation | 2004 | FINRA | $1,600,000 |
American Express Financial Advisors Inc. | Ameriprise Financial | investor protection violation | 2004 | FINRA | $700,000 |
Wachovia Securities LLC | Wells Fargo | investor protection violation | 2004 | FINRA | $650,000 |