Allied Markets, LLC |
|
|
2019 |
CFTC |
$2,400,000 |
Allied Syndications, Inc. dba Allied Energy Group |
|
|
2007 |
KY-FIN |
$10,000 |
Allied Trading Group |
|
|
2017 |
MO-SEC |
$118,481 |
Allsource Financial Management, LLC |
|
|
2015 |
MD-SEC |
$10,578 |
Allstate Financial Services, LLC |
Allstate |
financial services |
2002 |
FL-OFR |
$21,300 |
Alms and Associates, Inc. |
|
|
2013 |
MD-SEC |
$25,000 |
Alpha Capital Partners, LLC |
|
|
2012 |
CA-DFPI |
$11,000 |
Alpha Energy Inc. and Alliance Resources Group Inc. |
|
|
2008 |
OR-FIN |
$480,000 |
Alpha Fiduciary, Inc. |
|
|
2015 |
SEC |
$250,000 |
Alpha Tech Stock Transfer Trust |
|
|
2000 |
SEC |
$10,000 |
Alpha Titans LLC |
|
|
2015 |
SEC |
$698,450 |
Alpha Trade Group S.A. |
|
|
2013 |
CFTC |
$5,779,000 |
Alpha Wealth Group |
|
|
2013 |
IL-SEC |
$20,000 |
ALPHACOM, INC. |
|
|
2002 |
VA-SEC |
$20,000 |
AlphaMetrix, LLC |
|
|
2014 |
CFTC |
$5,600,000 |
AlphaQuest Partners LLC |
|
|
2019 |
MN-FIN |
$10,000 |
Alpine Petroleum, LLC and Red Earth Resources, Inc. |
|
|
2008 |
MD-SEC |
$90,000 |
Alpine Pictures, Inc. |
|
|
2011 |
CA-DFPI |
$100,000 |
Alpine Woods Capital Investors, LLC |
|
|
2011 |
SEC |
$650,000 |
Alta Communications |
|
|
2017 |
SEC |
$35,000 |
Altaba Inc. |
Altaba |
diversified |
2018 |
SEC |
$35,000,000 |
Altair Nanotechnologies, Inc. |
|
|
2016 |
SEC |
$250,000 |
Altamont Global Partners LLC |
|
|
2014 |
CFTC |
$15,800,000 |
Alternative Asset Management Securities, LLC |
|
|
2017 |
NH-BSR |
$5,000 |
Alumin USA, Ltd. |
|
|
2018 |
IL-SEC |
$100,000 |
Amada Capital Management LLC |
|
|
2020 |
CFTC |
$596,700 |
Amada Franchise, Inc. |
|
|
2020 |
CA-DFPI |
$10,000 |
Amadeus Wealth Advisors, LLC |
|
|
2019 |
SEC |
$40,000 |
Amaranth Advisors L.L.C. |
|
|
2007 |
SEC |
$716,819 |
AMAZING FINISH, LLC |
|
|
2017 |
VA-SEC |
$5,000 |
Amazon Exploration LLC |
|
|
2013 |
IA-INS |
$10,000 |
Ambit Capital Pvt. Ltd. |
|
|
2012 |
SEC |
$30,910 |
America Modern Green Senior (Houston) LLC, America Modern Green Community (Houston) LLC, and America Modern Green Residential (Houston) LLC |
|
|
2018 |
SEC |
$51,400,000 |
America's Best Financial Services, Inc. |
|
|
2011 |
IL-SEC |
$7,500 |
Americafirst Capital Management, LLC |
|
|
2018 |
SEC |
$50,000 |
American Blast Systems, Inc. |
|
|
2017 |
MN-FIN |
$5,000 |
American Bondholders Foundation, LLC |
|
|
2020 |
SEC |
$65,000 |
American Bullion Exchange |
|
|
2014 |
CFTC |
$18,000,000 |
American Capital Corporation |
|
|
2002 |
ND-SEC |
$8,000 |
American Capital Partners, LLC |
|
|
2009 |
CT-SEC |
$15,000 |
American Derivatives Corp. (ADC), Brokerage Management Corp., |
|
|
2009 |
CFTC |
$6,750,000 |
American Elder Group, L.L.C. and American Elder Group, Inc. |
|
|
2007 |
AZ-SEC |
$1,245,403 |
American Energy Exchange and York Commodities |
|
|
2007 |
CFTC |
$3,652,788 |
American Equity Investment Life Insurance Co. |
|
|
2008 |
MN-AG |
$250,000 |
American Express Financial Advisors |
Ameriprise Financial |
financial services |
2000 |
AZ-SEC |
$125,000 |
American Express Financial Advisors Inc. |
Ameriprise Financial |
financial services |
2004 |
SEC |
$3,706,693 |
American Express Financial Advisors Inc. |
Ameriprise Financial |
financial services |
2005 |
NJ-AG |
$5,000,000 |
American Express Financial Advisors Inc. |
Ameriprise Financial |
financial services |
2005 |
NH-BSR |
$7,375,000 |
American Express Financial Advisors Inc. |
Ameriprise Financial |
financial services |
2000 |
TX-SEC |
$9,000 |
American Express Financial Advisors, Inc. |
Ameriprise Financial |
financial services |
2002 |
MN-FIN |
$5,000 |
American Express Financial Advisors, Inc. |
Ameriprise Financial |
financial services |
2005 |
MN-FIN |
$2,000,000 |
American Family Legacy Group LLC |
|
|
2019 |
OK-SEC |
$5,000 |
American Fiber Green Products, Inc. |
|
|
2008 |
WA-FIN |
$5,000 |
American General Securities Inc. |
Reverence Capital Partners |
private equity (including portfolio companies) |
2010 |
MS-SEC |
$215,000 |
American General Securities Incorporated |
Reverence Capital Partners |
private equity (including portfolio companies) |
2010 |
MULTI-FIN |
$215,000 |
American Heritage Church Finance, Inc. |
|
|
2007 |
AL-SEC |
$12,000 |
American High Technology Center, Inc. and Kalimantan Mining, LLC |
|
|
2007 |
MD-SEC |
$20,000 |
American Income Real Estate Investments, Inc. |
|
|
2005 |
FL-OFR |
$54,598 |
American Insurance Services, L.L.C. |
|
|
2002 |
AZ-SEC |
$810,300 |
American International Group |
American International Group |
financial services |
2010 |
OH-AG |
$725,000,000 |
American International Group Inc. |
American International Group |
financial services |
2010 |
OR-AG |
$8,000,000 |
American International Group, Inc. |
American International Group |
financial services |
2006 |
SEC |
$800,000,000 |
American International Group, Inc. |
American International Group |
financial services |
2004 |
SEC |
$46,000,000 |
American Life, Inc. |
|
|
2016 |
SEC |
$1,000,000 |
American Pegasus LDG, LLC and American Pegasus Investment Management, Inc. |
|
|
2010 |
SEC |
$850,000 |
American Portfolio Asset Management, Inc. |
|
|
2015 |
CFTC |
$578,474 |
American Portfolios Advisers Inc. |
|
|
2018 |
SEC |
$1,145,353 |
American Portfolios Financial Services, Inc. and American Portfolios Advisors, Inc. |
|
|
2020 |
SEC |
$1,305,660 |
American Realty Partners , LLC et al. |
|
|
2019 |
AZ-SEC |
$11,670,327 |
American Registrar & Transfer Company |
|
|
2016 |
SEC |
$25,649 |
American River Capital, Inc. et al. |
|
|
2009 |
MD-SEC |
$40,000 |
American Skandia Investment Services, Inc. |
Prudential Financial |
financial services |
2009 |
SEC |
$68,000,000 |
American Trust Investment Services, Inc. |
|
|
2011 |
IN-SEC |
$8,000 |
American Wealth Management, Inc. |
|
|
2017 |
MS-SEC |
$5,000 |
American-Amicable Life Insurance Company of Texas, Pioneer American Insurance Company, and Pioneer Security Life Insurance Company |
|
|
2006 |
SEC |
$10,000,000 |
Americus Home Loans, Inc. |
|
|
2009 |
CO-SEC |
$400,000 |
AmeriFirst Management LLC |
|
|
2014 |
CFTC |
$35,000,000 |
Ameriplan USA Corp. |
|
|
2006 |
MT-SEC |
$200,000 |
Ameriprise Advisor Services Inc. |
Ameriprise Financial |
financial services |
2009 |
RI-FIN |
$48,411 |
Ameriprise Financial Services |
Ameriprise Financial |
financial services |
2018 |
SEC |
$230,000 |
AMERIPRISE FINANCIAL SERVICES |
Ameriprise Financial |
financial services |
2008 |
VA-SEC |
$780,000 |
Ameriprise Financial Services Inc. |
Ameriprise Financial |
financial services |
2018 |
SEC |
$4,500,000 |
Ameriprise Financial Services Inc. |
Ameriprise Financial |
financial services |
2018 |
SC-SEC |
$650,000 |
Ameriprise Financial Services Inc. |
Ameriprise Financial |
financial services |
2009 |
MULTI-FIN |
$720,000 |
Ameriprise Financial Services, Inc. |
Ameriprise Financial |
financial services |
2009 |
SEC |
$17,300,000 |
Ameriprise Financial Services, Inc. |
Ameriprise Financial |
financial services |
2017 |
SEC |
$8,750,000 |
Ameriprise Financial Services, Inc. |
Ameriprise Financial |
financial services |
2018 |
NJ-AG |
$375,000 |
Ameriprise Financial Services, Inc. |
Ameriprise Financial |
financial services |
2005 |
AZ-SEC |
$1,000,000 |
Ameriprise Financial Services, Inc. |
Ameriprise Financial |
financial services |
2006 |
AZ-SEC |
$1,250,000 |
Ameriprise Financial Services, Inc. |
Ameriprise Financial |
financial services |
2018 |
CA-DFPI |
$115,000 |
Ameriprise Financial Services, Inc. |
Ameriprise Financial |
financial services |
2008 |
IL-SEC |
$1,449,384 |
Ameriprise Financial Services, Inc. |
Ameriprise Financial |
financial services |
2009 |
KY-FIN |
$983,984 |
Ameriprise Financial Services, Inc. |
Ameriprise Financial |
financial services |
2013 |
MA-SEC |
$400,000 |
Ameriprise Financial Services, Inc. |
Ameriprise Financial |
financial services |
2013 |
MD-SEC |
$50,000 |
Ameriprise Financial Services, Inc. |
Ameriprise Financial |
financial services |
2008 |
MS-SEC |
$150,000 |
Ameriprise Financial Services, Inc. |
Ameriprise Financial |
financial services |
2008 |
NH-BSR |
$3,400,000 |
Ameriprise Financial Services, Inc. |
Ameriprise Financial |
financial services |
2014 |
NH-BSR |
$90,000 |
Ameriprise Financial Services, Inc. |
Ameriprise Financial |
financial services |
2016 |
NH-BSR |
$30,800 |
AMERIPRISE FINANCIAL SERVICES, INC. |
Ameriprise Financial |
financial services |
2016 |
VA-SEC |
$14,000 |
Ameriprise Financial Services, Inc. |
Ameriprise Financial |
financial services |
2016 |
WA-FIN |
$55,000 |
Ameriprise Financial, Inc. |
Ameriprise Financial |
financial services |
2005 |
SEC |
$15,000,000 |