VFG, LLC fka Voyager Financial Group, LLC |
|
|
2014 |
FL-OFR |
$60,000 |
vFinance Investments, Inc. |
|
|
2008 |
SEC |
$26,559 |
vFinance Investments, Inc. |
|
|
2005 |
SEC |
$50,000 |
vFinance Investments, Inc. |
|
|
2009 |
FINRA |
$27,500 |
VFRS LLC |
|
|
2013 |
CFTC |
$3,200,000 |
VI Capital Management, LLC |
|
|
2018 |
WA-FIN |
$12,500 |
Viatical Center, Inc. |
|
|
2002 |
AZ-CC |
$12,500 |
Victoire Finance Capital LLC |
|
|
2008 |
SEC |
$215,631 |
Victory Asset |
|
|
2018 |
CFTC |
$1,800,000 |
Victory H2O Distribution, LLC |
|
|
2017 |
MI-SEC |
$30,000 |
VII Peaks Capital, LLC |
|
|
2021 |
SEC |
$1,030,699 |
Vinci Partners Investimentos |
|
|
2014 |
SEC |
$448,707 |
Vining Sparks IBG, L.P. |
|
|
2010 |
CT-SEC |
$20,000 |
VipBinary.com et al. |
|
|
2012 |
MD-SEC |
$25,000 |
Virginia Commercial Capital Corp. |
|
|
2012 |
IL-SEC |
$18,500 |
Virtu Americas LLC |
Virtu Financial |
financial services |
2019 |
SEC |
$1,500,000 |
Virtu ITG Canada Corp. |
|
|
2020 |
SEC |
$200,000 |
Virtua Capital Management, LLC |
|
|
2022 |
SEC |
$1,864,089 |
Virtual Mining Corp. and Active Mining Corp. |
|
|
2015 |
MO-SEC |
$43,115 |
Virtual Vision Inc. |
|
|
2012 |
CFTC |
$1,000,000 |
Virtus Investment Advisers, Inc. |
|
|
2015 |
SEC |
$16,500,000 |
Vision Financial Markets LLC |
|
|
2013 |
CFTC |
$525,000 |
Vision Financial Markets LLC |
|
|
2013 |
CFTC |
$140,000 |
Vision Financial Markets LLC |
|
|
2019 |
CFTC |
$200,000 |
Vision Financial Partners, LLC |
|
|
2017 |
CFTC |
$6,527,130 |
Vision Securities, Inc. |
|
|
2006 |
CT-SEC |
$15,000 |
Vision Technologies, Inc. |
|
|
2014 |
AR-SEC |
$8,000 |
Vision Travel, Inc. aka Global Vision Travel |
|
|
2008 |
CT-SEC |
$115,000 |
Visionary Business Works, Inc. dba Fleetronix |
|
|
2017 |
AZ-CC |
$856,044 |
Visionary Group Holdings, Inc. |
|
|
2011 |
CA-DFPI |
$1,285,750 |
Visionary Sports Entertainment, Inc. |
|
|
2009 |
CO-SEC |
$92,307 |
VisionPoint Advisory Group, LLC |
|
|
2017 |
SEC |
$45,000 |
Visium Asset Management LP |
|
|
2018 |
SEC |
$10,120,711 |
Vitol Inc. and Vitol Capital Management Ltd. |
Vitol |
financial services |
2010 |
CFTC |
$6,000,000 |
Vlad Investments, LLC |
|
|
2011 |
WA-FIN |
$6,350 |
Vocelli, LLC |
|
|
2013 |
MD-SEC |
$5,000 |
Voice of Guo Media, Inc. |
|
|
2022 |
AZ-CC |
$100,000 |
Voice, Video & Data Services, Inc. |
|
|
2008 |
KY-FIN |
$10,000 |
Vollero Beach Capital Partners |
|
|
2013 |
SEC |
$864,427 |
Volumetric Fund, Inc. |
|
|
2021 |
CT-BKG |
$10,000 |
Volumetric Funds, Inc. |
|
|
2021 |
NJ-BOS |
$9,850 |
VOS Capital Management, LLC |
|
|
2020 |
CFTC |
$3,813,875 |
Voya Financial Advisors Inc. |
Voya Financial |
financial services |
2018 |
SEC |
$1,000,000 |
VOYA Financial Advisors Inc. |
Voya Financial |
financial services |
2016 |
FINRA |
$4,550,000 |
Voya Financial Advisors, Inc. |
Voya Financial |
financial services |
2017 |
SEC |
$3,095,953 |
Voya Financial Advisors, Inc. |
Voya Financial |
financial services |
2020 |
SEC |
$22,919,155 |
Voya Financial Advisors, Inc. fka ING Financial Partners, Inc. |
Voya Financial |
financial services |
2019 |
CT-SEC |
$1,015,000 |
Voya Holdings Inc. |
Voya Financial |
financial services |
2018 |
SEC |
$3,600,000 |
Voyager Financial Group, LLC |
|
|
2013 |
IA-INS |
$10,000 |
VSR Financial Services, Inc. |
|
|
2011 |
MO-SEC |
$55,470 |
VSR Financial Services, Inc. |
|
|
2016 |
FINRA |
$400,000 |
VSS Fund Management LLC |
|
|
2018 |
SEC |
$200,000 |
Vstock Transfer LLC |
|
|
2020 |
SEC |
$65,000 |
VTB Capital plc |
|
|
2021 |
SEC |
$6,429,883 |
VTR Capital, Inc. nka Fairchild Financial Group, Inc. |
|
|
2000 |
FL-OFR |
$12,000 |
W & R Insurance Agency of Montana, Inc. |
|
|
2005 |
MT-SEC |
$25,000 |
W Resources LLC |
|
|
2017 |
CFTC |
$150,000 |
W.J. Nolan & Co. |
|
|
2001 |
SEC |
$192,028 |
W.J. Nolan & Co., Inc. |
|
|
2002 |
SEC |
$192,028 |
W.L. Lyons, LLC |
|
|
2016 |
SEC |
$200,000 |
W.R Starkey Mortgage, LLP |
|
|
2010 |
AR-SEC |
$20,000 |
WA State Construction LLC |
|
|
2022 |
WA-SEC |
$10,000 |
Wachovia Capital Markets LLC |
Wells Fargo |
financial services |
2006 |
MULTI-AG |
$25,000,000 |
Wachovia Capital Markets LLC |
Wells Fargo |
financial services |
2007 |
MULTI-FIN |
$24,650,000 |
Wachovia Capital Markets, LLC |
Wells Fargo |
financial services |
2006 |
SEC |
$125,000 |
Wachovia Capital Markets, LLC |
Wells Fargo |
financial services |
2007 |
MD-AG |
$402,386 |
Wachovia Capital Markets, LLC |
Wells Fargo |
financial services |
2007 |
CT-SEC |
$258,728 |
Wachovia Capital Markets, LLC |
Wells Fargo |
financial services |
2007 |
FINRA |
$300,000 |
Wachovia Corporation |
Wells Fargo |
financial services |
2004 |
SEC |
$37,000,000 |
Wachovia Securities |
Wells Fargo |
financial services |
2008 |
MULTI-AG |
$60,000,000 |
Wachovia Securities |
Wells Fargo |
financial services |
2009 |
FINRA |
$4,500,000 |
Wachovia Securities LLC |
Wells Fargo |
financial services |
2007 |
ND-SEC |
$75,000 |
Wachovia Securities LLC |
Wells Fargo |
financial services |
2008 |
MULTI-FIN |
(*) $50,000,000 |
Wachovia Securities LLC |
Wells Fargo |
financial services |
2007 |
FINRA |
$2,000,000 |
Wachovia Securities LLC |
Wells Fargo |
financial services |
2004 |
FINRA |
$650,000 |
Wachovia Securities, LLC |
Wells Fargo |
financial services |
2004 |
SEC |
$4,844,465 |
Wachovia Securities, LLC |
Wells Fargo |
financial services |
2009 |
DE-AG |
$309,000 |
Wachovia Securities, LLC |
Wells Fargo |
financial services |
2011 |
NJ-AG |
$3,200,000 |
Wachovia Securities, LLC |
Wells Fargo |
financial services |
2010 |
AK-DBS |
$129,131 |
Wachovia Securities, LLC |
Wells Fargo |
financial services |
2008 |
MD-SEC |
$50,000 |
Wachovia Securities, LLC |
Wells Fargo |
financial services |
2009 |
FINRA |
$1,400,000 |
Wachovia Securities, LLC and First Clearing, LLC |
Wells Fargo |
financial services |
2009 |
FINRA |
$1,100,000 |
Wachovia Securities, LLC nka Wells Fargo Advisors, LLC |
Wells Fargo |
financial services |
2010 |
CT-SEC |
$75,000 |
Wachovia Securities, LLC. |
Wells Fargo |
financial services |
2004 |
FINRA |
$39,486 |
Waddell & Reed Inc. |
Macquarie |
financial services |
2008 |
OK-SEC |
$10,000 |
Waddell & Reed, Inc. |
Macquarie |
financial services |
2006 |
SEC |
$50,000,000 |
Waddell & Reed, Inc. |
Macquarie |
financial services |
2006 |
NY-AG |
(*) $75,000,000 |
Waddell & Reed, Inc. |
Macquarie |
financial services |
2003 |
FL-OFR |
$8,800 |
Waddell & Reed, Inc. |
Macquarie |
financial services |
2006 |
MO-SEC |
$172,161 |
Waddell & Reed, Inc. |
Macquarie |
financial services |
2005 |
MT-SEC |
$25,000 |
Waddell & Reed, Inc. |
Macquarie |
financial services |
2016 |
NH-BSR |
$900,000 |
Waddell & Reed, Inc. |
Macquarie |
financial services |
2005 |
MULTI-FIN |
$18,000,000 |
Waddell & Reed, Inc. |
Macquarie |
financial services |
2005 |
FINRA |
(*) $16,000,000 |
Wadsworth Investment Co., Inc. |
|
|
2012 |
CT-SEC |
$77,000 |
Wagner Capital Management, LLC |
|
|
2019 |
AZ-CC |
$71,928 |
Wahed Invest, LLC |
|
|
2022 |
SEC |
$300,000 |
Walgreens Boots Alliance Inc. |
Walgreens Boots Alliance |
retailing |
2018 |
SEC |
$34,500,000 |
Walker Financial Advisors, Inc. |
|
|
2013 |
CA-DFPI |
$27,600 |
Wall Private Wealth LLC |
|
|
2017 |
PA-BKG |
$10,000 |
Wall Street Access |
|
|
2006 |
SEC |
$688,084 |
Wall Street Access |
|
|
2022 |
SEC |
$97,523 |