TFS Securities, Inc. |
|
|
2021 |
NJ-BOS |
$75,000 |
Volumetric Funds, Inc. |
|
|
2021 |
NJ-BOS |
$9,850 |
GTV Media Group, Inc. and Saraca Media Group, Inc. |
|
|
2021 |
NY-AG |
$479,900,000 |
Rossshire Development LLC and Greenstone Ventures LLC and Modern South Development LLC |
|
|
2021 |
NC-SEC |
$1,771,382 |
Tannin Capital, LLC |
|
|
2021 |
NC-SEC |
$45,000 |
Legacy Advisory Group, Inc. and LWM Income Fund, LLC and LWM Equity Fund, L.P. |
|
|
2021 |
PA-BKG |
$150,000 |
PTK Financial, LLC and Capricorn Income Fund I, LLC |
|
|
2021 |
PA-BKG |
$125,000 |
Mitchell Retirement Group, LLC |
|
|
2021 |
PA-BKG |
$15,000 |
Ascension Investment Advisors |
|
|
2021 |
PA-BKG |
$10,000 |
4Rivers Wealth Management, LLC |
|
|
2021 |
PA-BKG |
$5,000 |
Wedbush Securities Inc. |
Wedbush Securities |
financial services |
2021 |
SEC |
$1,207,000 |
WEX Inc. |
WEX Inc. |
financial services |
2021 |
SEC |
$350,000 |
Newman Ladd Capital Advisors, LLC |
|
|
2021 |
SEC |
$25,000 |
American Renal Associates Holdings, Inc. |
|
|
2021 |
SEC |
$2,000,000 |
Andiamo Corporation |
|
|
2021 |
SEC |
$150,000 |
Sperry and Sons Capital Investments, LLC |
|
|
2021 |
SEC |
$284,480 |
Upright Financial Corp. |
|
|
2021 |
SEC |
$517,209 |
MIO Partners Inc. |
|
|
2021 |
SEC |
$18,000,000 |
United States Oil Fund LP and United States Commodity Funds LLC |
|
|
2021 |
SEC |
$1,250,000 |
Fixed Income Clearing Corporation |
|
|
2021 |
SEC |
$8,000,000 |
Lexion Capital Management LP |
|
|
2021 |
SEC |
$10,000 |
Akazoo S.A. |
|
|
2021 |
SEC |
$38,800,000 |
Disciplined Capital Management LLC |
|
|
2021 |
SEC |
$25,000 |
VTB Capital plc |
|
|
2021 |
SEC |
$6,429,883 |
Amyris, Inc. |
Amyris |
pharmaceuticals |
2021 |
SEC |
$300,000 |
LPL Financial LLC |
LPL Financial |
financial services |
2021 |
SEC |
$891,202 |
Redwood Wealth Management, LLC |
|
|
2021 |
SEC |
$50,000 |
Tradition Securities and Derivatives, LLC |
|
|
2021 |
SEC |
$1,787,459 |
Cowen Prime Advisors LLC |
|
|
2021 |
SEC |
$768,879 |
Resolute Capital Partners LTD LLC and Homebound Resources LLC |
|
|
2021 |
SEC |
$450,000 |
Revere Securities, LLC |
|
|
2021 |
SEC |
$50,000 |
Coda Markets, Inc. |
|
|
2021 |
SEC |
$1,200,000 |
Basic Wealth Advisors, Inc. |
|
|
2021 |
SC-SEC |
$5,000 |
Freedom Capital Advisors, LLC |
|
|
2021 |
SC-SEC |
$20,000 |
HBS Properties, LLC |
|
|
2021 |
TN-SEC |
$225,000 |
U.S. Data Mining Group, Inc. |
|
|
2021 |
VA-SEC |
$6,000 |
RBC Capital Markets, LLC |
Royal Bank of Canada |
financial services |
2021 |
VA-SEC |
$10,000 |
NMJ Group |
|
|
2021 |
WA-SEC |
$65,000 |
New Vision Properties, LLC |
|
|
2021 |
WA-SEC |
$12,500 |
Charles Winn, LLC |
|
|
2021 |
WA-SEC |
$45,000 |
JPMorgan Chase Bank, N.A. |
JPMorgan Chase |
financial services |
2021 |
CFTC |
$75,000,000 |
J.P. Morgan Securities LLC |
JPMorgan Chase |
financial services |
2021 |
SEC |
$125,000,000 |
Performance Realty Management, LLC |
|
|
2021 |
AZ-CC |
$2,309,101 |
Performance Realty Management, LLC and t American Realty Partners, LLC |
|
|
2021 |
AZ-CC |
$11,670,327 |
Corix Bioscience Inc. |
|
|
2021 |
AZ-CC |
$3,235,192 |
Biomed Pharma Group, Inc. |
|
|
2021 |
AZ-CC |
$273,630 |
Aralia Securities, Ltd. And Vintage Bullion DMC |
|
|
2021 |
CFTC |
$100,000 |
Easterday Ranches, Inc. |
|
|
2021 |
CFTC |
$263,008,042 |
Lifestyle Freedom Advisory Group, LLC |
|
|
2021 |
CT-SEC |
$7,650 |
LPL Financial LLC |
LPL Financial |
financial services |
2021 |
CT-SEC |
$500,000 |
Endeavor Global Partners Corp. and Endeavor Global Partners (HK) Ltd. |
|
|
2021 |
CT-SEC |
$500,000 |
Equity Advisors of KY Inc. |
|
|
2021 |
KY-FIN |
$10,000 |
NYPPEX, LLC |
|
|
2021 |
MD-SEC |
$5,000 |
Plug N Go Electrix, LLC |
|
|
2021 |
MD-SEC |
$75,000 |
MintBuilder.com LLC |
|
|
2021 |
MT-SEC |
$20,000 |
Bio-Sunn Technologies, Inc. |
|
|
2021 |
ND-SEC |
$90,000 |
Equity Fund International, Inc. |
|
|
2021 |
ND-SEC |
$90,000 |
RagingBull.com, LLC |
|
|
2021 |
NH-BSR |
$675,000 |
Lasting Connections, LLC et al. |
|
|
2021 |
OR-FIN |
$5,000 |
The Insight Advisory Group, LLC dba Insight Total Stewardship |
|
|
2021 |
PA-BKG |
$10,000 |
PeachCap Tax & Advisory, LLC |
|
|
2021 |
SEC |
$138,813 |
Nikola Corporation |
Nikola Corporation |
motor vehicles |
2021 |
SEC |
$125,000,000 |
1st Global Advisors, Inc. |
|
|
2021 |
SEC |
$16,873,153 |
Global Infrastructure Management, LLC |
|
|
2021 |
SEC |
$4,500,000 |
Freedom Capital Advisors Inc. |
|
|
2021 |
WA-SEC |
$13,000 |
24XploitTrade |
|
|
2021 |
WA-SEC |
$21,000 |
Debtix Enterprise Ltd. dba Coinchainbtc.com |
|
|
2021 |
WA-SEC |
$11,000 |
Kaboom USA, LLC and SKEARCH, LLC |
|
|
2021 |
WI-FIN |
$5,000 |
Dinar Corp., Inc. and My Monex, Inc. |
|
|
2020 |
CFTC |
$22,600,000 |
Catalyst Capital Advisors LLC |
|
|
2020 |
CFTC |
$10,208,481 |
Mirae Asset Daewoo Co., Ltd. |
|
|
2020 |
CFTC |
$700,000 |
Propex Derivatives Pty Ltd |
|
|
2020 |
DOJ_CRIMINAL |
$1,000,000 |
Wells Fargo Clearing Services and Wells Fargo Advisors Financial Network |
Wells Fargo |
financial services |
2020 |
SEC |
$35,000,000 |
Wells Fargo & Co. |
Wells Fargo |
financial services |
2020 |
SEC |
(*) $500,000,000 |
Enigma MPC |
|
|
2020 |
SEC |
$500,000 |
Diageo plc |
Diageo |
beverages |
2020 |
SEC |
$5,000,000 |
ABN AMRO Clearing Chicago LLC |
ABN AMRO |
financial services |
2020 |
SEC |
$586,000 |
Sica Wealth Management, LLC |
|
|
2020 |
SEC |
$378,693 |
Fortress Investment Management, LLC |
|
|
2020 |
SEC |
$104,097 |
Lone Star Value Management LLC |
|
|
2020 |
SEC |
$100,000 |
BPU Investment Management, Inc. |
|
|
2020 |
SEC |
$927,107 |
Cannell Capital, LLC |
|
|
2020 |
SEC |
$150,000 |
Catalyst Capital Advisors, LLC |
|
|
2020 |
SEC |
$10,508,481 |
J.P. Morgan Securities LLC |
JPMorgan Chase |
financial services |
2020 |
SEC |
$1,822,438 |
Gain Capital UK Limited |
|
|
2020 |
CFTC |
$491,671 |
FuturesFX |
|
|
2020 |
CFTC |
$1,750,000 |
Amada Capital Management LLC |
|
|
2020 |
CFTC |
$596,700 |
Argo Group International Holdings, Ltd. |
|
|
2020 |
SEC |
$900,000 |
TSP Capital Management Group, LLC |
|
|
2020 |
SEC |
$60,000 |
U.S. Bancorp Investments, Inc. |
U.S. Bancorp |
financial services |
2020 |
SEC |
$15,992,441 |
Oxbow Advisors, LLC |
|
|
2020 |
SEC |
$321,958 |
BitClave PTE Ltd |
|
|
2020 |
SEC |
$29,744,197 |
Ares Management LLC |
Ares Management |
private equity (including portfolio companies) |
2020 |
SEC |
$1,000,000 |
Morningstar Credit Ratings, LLC |
Morningstar Inc. |
miscellaneous services |
2020 |
SEC |
$3,500,000 |
1Globe Capital, LLC |
|
|
2020 |
SEC |
$200,000 |
Morgan Stanley Smith Barney LLC |
Morgan Stanley |
financial services |
2020 |
SEC |
$5,000,000 |
Bloomberg Tradebook LLC |
Bloomberg |
information technology |
2020 |
SEC |
$5,000,000 |
American Bondholders Foundation, LLC |
|
|
2020 |
SEC |
$65,000 |
Everest Capital LLC |
|
|
2020 |
SEC |
$3,208,226 |
Monsoon Capital, LLC |
|
|
2020 |
SEC |
$100,000 |
Semper Capital Management, L.P. |
|
|
2020 |
SEC |
$503,228 |