1-800-Flowers.com Franchise Co., Inc. |
|
|
2014 |
MD-SEC |
$5,000 |
100 Miles, LLC |
|
|
2010 |
MD-SEC |
$20,000 |
1Globe Capital, LLC |
|
|
2020 |
SEC |
$200,000 |
1pool Ltd. |
|
|
2019 |
CFTC |
$421,000 |
1st Discount Brokerage, Inc. |
|
|
2012 |
SEC |
$40,000 |
1st Global Capital Corp. |
|
|
2006 |
SEC |
$100,000 |
2 West, Inc., et al. |
|
|
2016 |
SEC |
$2,025,179 |
20th Century Jackson Equities, Inc. |
|
|
2007 |
SEC |
$470,269 |
21 Century Power |
|
|
2001 |
OR-FIN |
$25,000 |
211 Ventures LLC |
|
|
2013 |
SEC |
$2,300,000 |
212 Advisory Group, LLC |
|
|
2019 |
GA-SEC |
$20,000 |
21st Century Investing Advisors Corp. |
|
|
2014 |
FL-OFR |
$7,500 |
21st Century Satellite Communications, Inc. |
|
|
2001 |
SEC |
$6,110,736 |
21st Century Satellite Communications, Inc. |
|
|
2002 |
AZ-SEC |
$267,000 |
21st Sentry Technologies, Inc. and Futurecom Global, Inc. |
|
|
2010 |
IL-SEC |
$20,000 |
21ST. CENTURY TECHNOLOGIES FUNDING |
|
|
2001 |
VA-SEC |
$5,000 |
21ST. CENTURY TECHNOLOGIES LLC |
|
|
2001 |
VA-SEC |
$5,000 |
2946033 CANADA, Inc. dba The Mad Science Group |
|
|
2013 |
MD-SEC |
$18,500 |
3-CG, LLC and Choice Property Group, LLC |
|
|
2012 |
AZ-SEC |
$6,216,949 |
360 Financial, Inc. |
|
|
2017 |
SEC |
$40,000 |
360 Tour Designs & Marketing, LLC |
|
|
2019 |
VA-SEC |
$6,000 |
37th Parallel Properties Investment Group, LLC |
|
|
2018 |
VA-SEC |
$18,000 |
39 Lispenard Project, LLC |
|
|
2015 |
NY-AG |
$5,000 |
3C Advisors & Associates, Inc. |
|
|
2016 |
SEC |
$7,500 |
3D Money, LLC et al. |
|
|
2020 |
WA-FIN |
$13,312 |
3T Options, LLC |
|
|
2013 |
AZ-SEC |
$151,919 |
4 L.I.F.E., Inc. |
|
|
2008 |
CT-SEC |
$150,000 |
4NExchange |
|
|
2008 |
CFTC |
$480,000 |
4X Solutions Inc. |
|
|
2016 |
CFTC |
$10,980,904 |
5 Star Investment Group, LLC |
|
|
2015 |
IN-SEC |
$5,000 |
5A Holdings, LLC |
|
|
2018 |
MO-SEC |
$3,548,483 |
603 Financial, Inc. dba Goddard Financial Planning |
|
|
2020 |
WA-SEC |
$15,000 |
7 Oaks Pharmaceutical Corp. |
|
|
2014 |
SC-SEC |
$50,000 |
72Vest Level Three, LLC |
|
|
2016 |
IL-SEC |
$5,000 |
7S Oil & Gas, LLC |
|
|
2017 |
SEC |
$750,000 |
8000 Inc. |
|
|
2015 |
SEC |
$6,500,000 |
808 Investments LLC et al. |
|
|
2009 |
TX-SEC |
$10,000 |
911 RESTORATION FRANCHISE, INC |
|
|
2015 |
VA-SEC |
$7,000 |
99 Crossings LLC |
|
|
2020 |
OR-FIN |
$50,000 |
A Better Financial Plan LLC |
|
|
2019 |
PA-BKG |
$490,000 |
A Chicago Convention Center, LLC and Intercontinental Regional Center Trust of Chicago, LLC |
|
|
2014 |
SEC |
$12,950,000 |
A&A Trading, Inc. |
|
|
2020 |
CFTC |
$495,329 |
A&F Financial Securities, Inc. |
|
|
2011 |
CT-SEC |
$20,000 |
A&O Life Fund, LLC et al. |
|
|
2009 |
IL-SEC |
$20,000 |
A&O Resource Management, Ltd. |
|
|
2007 |
MN-FIN |
$6,000 |
A. Neff Associates |
|
|
2017 |
PA-BKG |
$5,000 |
A.C.L.N. Ltd. and Scandinavian Car Carriers |
|
|
2004 |
SEC |
$27,000,000 |
A.G. Edwards & Sons Inc. |
Wells Fargo |
financial services |
2003 |
NE-DBF |
$20,000 |
A.G. Edwards & Sons Inc. |
Wells Fargo |
financial services |
2007 |
SC-SEC |
$575,000 |
A.G. Edwards & Sons Inc. |
Wells Fargo |
financial services |
2008 |
TX-SEC |
$5,000 |
A.G. Edwards & Sons, Inc. |
Wells Fargo |
financial services |
2007 |
SEC |
$3,860,000 |
A.G. Edwards & Sons, Inc. |
Wells Fargo |
financial services |
2006 |
SEC |
$125,000 |
A.G. Edwards & Sons, Inc. |
Wells Fargo |
financial services |
2008 |
NJ-AG |
$387,000 |
A.G. Edwards & Sons, Inc. |
Wells Fargo |
financial services |
2011 |
MO-SEC |
$765,993 |
A.G. Edwards & Sons, Inc. |
Wells Fargo |
financial services |
2017 |
MO-SEC |
$25,672 |
A.L. Russell & Associates LLC and Re-Star LLC and Re-Star Holdings LLC |
|
|
2012 |
AZ-SEC |
$2,016,570 |
A.R. Schmeidler & Co., Inc. |
|
|
2013 |
SEC |
$1,011,564 |
AAA Venture Business Brokers, Ltd. |
|
|
2014 |
IL-SEC |
$27,000 |
AAMCO TRANSMISSIONS, INC. |
Icahn Enterprises |
diversified |
2013 |
VA-SEC |
$10,000 |
Aaristo Commodities and Futures DMCC |
|
|
2008 |
CFTC |
$100,000 |
ABC Financial Planning |
|
|
2017 |
NH-BSR |
$15,000 |
ABCSP Inc. |
|
|
2010 |
MD-SEC |
$35,000 |
Abetterfinancialplan.Com, LLC |
|
|
2020 |
SEC |
$581,962 |
ABM Management, Inc. et al. |
|
|
2017 |
MO-SEC |
$2,605,226 |
ABN AMRO Bank, N.V. |
ABN AMRO |
financial services |
2013 |
SEC |
$5,547,408 |
ABN AMRO Clearing Chicago LLC |
ABN AMRO |
financial services |
2013 |
CFTC |
$1,000,000 |
ABN AMRO Clearing Chicago LLC |
ABN AMRO |
financial services |
2018 |
CFTC |
$160,000 |
ABN AMRO Clearing Chicago LLC |
ABN AMRO |
financial services |
2020 |
SEC |
$586,000 |
ABN AMRO Incorporated |
ABN AMRO |
financial services |
2001 |
SEC |
$200,000 |
Abousaoui Financial, LLC |
|
|
2019 |
IN-SEC |
$119,555 |
ABS Manager |
|
|
2015 |
SEC |
$1,087,648 |
Absa Bank, Ltd. |
|
|
2014 |
CFTC |
$150,000 |
Abshier Webb Donnelly & Baker Inc. |
|
|
2009 |
TX-SEC |
$25,000 |
Abtech Holdings, Inc.? |
|
|
2018 |
SEC |
$133,414 |
Acadia Asset Management, LLC |
|
|
2015 |
SEC |
$354,115 |
ACCA Enterprises LLC |
|
|
2017 |
NM-SEC |
$10,000 |
Accelerated Mentoring LLC fka Internet Sales Institute LLC |
|
|
2013 |
CT-SEC |
$90,000 |
Accelerated Success, Inc. |
|
|
2001 |
AZ-SEC |
$24,561 |
Accelerated Wealth, LLC |
|
|
2017 |
CO-SEC |
$50,000 |
Accelerated Wealth, LLC |
|
|
2017 |
CO-SEC |
$50,000 |
Acceleration Capital, LLC |
|
|
2007 |
CFTC |
$218,000 |
Access Capital Education & Services Co. Inc. et al. |
|
|
2015 |
NJ-BOS |
$1,000,000 |
Access Capital Partners |
|
|
2009 |
NY-AG |
$1,600,000 |
Access Investment, LLC |
|
|
2020 |
NH-BSR |
$7,500 |
Account Management LLC |
|
|
2019 |
SEC |
$100,000 |
Account Management LLC |
|
|
2020 |
VT-FIN |
$80,000 |
Accurate Financial Group Ltd. |
|
|
2010 |
IL-SEC |
$20,000 |
Ace Payday Plus, LLC |
|
|
2004 |
SEC |
$1,842,133 |
ACE SUSHI & ASIANA |
|
|
2006 |
VA-SEC |
$17,100 |
ACI Capital Group, L.L.C. |
|
|
2012 |
CFTC |
$850,000 |
ACI Holdings, Inc. |
|
|
2007 |
AZ-SEC |
$999,763 |
ACI Inc. |
|
|
2004 |
SEC |
$7,756,750 |
ACJ Capital Inc., and Solid View Capital LLC |
|
|
2013 |
CFTC |
$1,500,000 |
ACJ Capital, Inc. |
|
|
2012 |
CFTC |
$3,700,000 |
ACL Alternative Fund Limited |
|
|
2013 |
NH-BSR |
$5,000 |
Acuity Lending Corporation |
|
|
2013 |
OR-FIN |
$4,500,000 |
Adamas Investments, LLC |
|
|
2010 |
AZ-SEC |
$690,125 |
Adams Capital Management |
|
|
2017 |
SEC |
$45,000 |
Adams Financial Concepts, LLC |
|
|
2014 |
WA-FIN |
$15,000 |
Adams Harkness, Inc. f/k/a Adams Harkness & Hill, Inc. |
|
|
2004 |
SEC |
$575,000 |
Adar International |
|
|
2000 |
SEC |
$10,000 |