Panther Energy Trading LLC |
|
|
2013 |
CFTC |
$2,800,000 |
Angus Jackson, Inc. |
|
|
2013 |
CFTC |
$2,800,000 |
Strongbow Investments GP, LLC |
|
|
2010 |
CFTC |
$2,800,000 |
Charles Schwab & Co., Inc. |
Charles Schwab Corp. |
financial services |
2018 |
SEC |
$2,800,000 |
Oppenheimer Asset Management Inc. and Oppenheimer Alternative Investment Management, LLC |
Oppenheimer Holdings |
financial services |
2013 |
MA-AG |
(*) $2,800,000 |
Charles Schwab & Co., Inc. |
Charles Schwab Corp. |
financial services |
2011 |
CT-SEC |
$2,800,000 |
Offutt Group, LLC et al. |
|
|
2009 |
MD-SEC |
$2,800,000 |
J.P. Morgan Securities |
JPMorgan Chase |
financial services |
2014 |
MULTI-FIN |
$2,800,000 |
RBC Capital Markets, LLC |
Royal Bank of Canada |
financial services |
2014 |
MULTI-FIN |
$2,800,000 |
Emini Experts, LLC and Capital Trading Concepts LLC |
|
|
2016 |
CFTC |
$2,795,901 |
Ultimate Ventures, Inc. |
|
|
2005 |
ID-SEC |
$2,771,378 |
FXDirectDealer, LLC |
|
|
2013 |
CFTC |
$2,740,000 |
NB Alternatives Advisers LLC |
|
|
2018 |
SEC |
$2,733,608 |
Blackbox Pulse, LLC |
|
|
2019 |
CFTC |
$2,712,807 |
GLG Partners, LP |
|
|
2007 |
SEC |
$2,703,635 |
Bentley Equities, LLC |
|
|
2013 |
CFTC |
$2,700,000 |
Stifel, Nicolaus & Co., Inc. |
Stifel Financial |
financial services |
2019 |
SEC |
$2,700,000 |
Worldwide Entertainment, Inc. |
|
|
2005 |
MO-SEC |
$2,698,892 |
Lucrative Pips Corporation |
|
|
2019 |
CFTC |
$2,694,799 |
TeamVinh.com LLC |
|
|
2017 |
SEC |
$2,681,072 |
SEED Corp. |
|
|
2014 |
AZ-SEC |
$2,674,654 |
Sun Village Juan Dolio Associates, LLC |
|
|
2010 |
ID-SEC |
$2,653,880 |
Carlson Capital, L.P. |
|
|
2010 |
SEC |
$2,653,234 |
B&B Equity Group LLC et al. |
|
|
2011 |
MO-SEC |
$2,650,649 |
Global Development & Environmental Resources, Inc. |
|
|
2012 |
SEC |
$2,645,798 |
U.S. Bancorp Piper Jaffray Inc. |
Piper Sandler |
financial services |
2003 |
MT-SEC |
$2,625,000 |
Blackstreet Capital Management, LLC |
|
|
2016 |
SEC |
$2,622,737 |
New England Securities Corp. |
|
|
2006 |
SEC |
$2,614,865 |
ABM Management, Inc. et al. |
|
|
2017 |
MO-SEC |
$2,605,226 |
TC Credit Service d/b/a Del-Mair Group |
|
|
2012 |
CFTC |
$2,600,000 |
Crabapple Capital Group LLC |
|
|
2012 |
CFTC |
$2,600,000 |
Prosperity Team, LLC |
|
|
2012 |
CFTC |
$2,600,000 |
JadeFX, LTD and Jade Investments Group, LLC |
|
|
2011 |
CFTC |
$2,600,000 |
Paramount Metals Exchange and Paramount Credit |
|
|
2015 |
CFTC |
$2,595,946 |
Raymond James Financial Services, Inc. |
Raymond James Financial |
financial services |
2004 |
SEC |
$2,595,129 |
Premiere Power LLC |
|
|
2015 |
SEC |
$2,587,523 |
Manikay Partners |
|
|
2013 |
SEC |
$2,551,791 |
Sigma Planning Corp. |
|
|
2019 |
SEC |
$2,546,718 |
Champion Management International, LLC |
|
|
2014 |
CFTC |
$2,544,722 |
BSK Enterprises, LLC |
|
|
2009 |
AZ-SEC |
$2,539,225 |
Financial American Corp. |
|
|
2010 |
AZ-SEC |
$2,536,692 |
Hold Brothers On-Line Investment Services |
|
|
2012 |
SEC |
$2,535,000 |
Independent Securities Investors Corp. |
|
|
2006 |
CT-SEC |
$2,530,000 |
E*TRADE Securities |
Morgan Stanley |
financial services |
2014 |
SEC |
$2,500,000 |
Worth Group Inc. |
|
|
2016 |
CFTC |
$2,500,000 |
Alliance Capital Metals LLC and AR Goldman Wealth Management, LLC |
|
|
2012 |
CFTC |
$2,500,000 |
Rosenthal Collins Group, LLC |
|
|
2012 |
CFTC |
$2,500,000 |
Lehman Brothers, Inc. |
Lehman Brothers |
financial services |
2003 |
SEC |
$2,500,000 |
Morgan Stanley & Co. Incorporated |
Morgan Stanley |
financial services |
2000 |
SEC |
$2,500,000 |
RBC Capital Markets LLC |
Royal Bank of Canada |
financial services |
2016 |
SEC |
$2,500,000 |
Merrill Lynch |
Bank of America |
financial services |
2017 |
CFTC |
$2,500,000 |
Bank of America |
Bank of America |
financial services |
2017 |
USAO |
$2,500,000 |
Louis Capital Markets, LP |
|
|
2017 |
SEC |
$2,500,000 |
Credit Suisse Alternative Capital, LLC and Credit Suisse Asset Management, LLC |
Credit Suisse |
financial services |
2011 |
SEC |
$2,500,000 |
Canon Inc. |
Canon |
electrical and electronic equipment |
2019 |
FTC |
$2,500,000 |
Toshiba Corporation |
Toshiba |
electrical and electronic equipment |
2019 |
FTC |
$2,500,000 |
Societe Generale International Limited |
Societe Generale |
financial services |
2019 |
CFTC |
$2,500,000 |
Merrill Lynch, Pierce, Fenner & Smith Inc. |
Bank of America |
financial services |
2015 |
MA-SEC |
$2,500,000 |
Black Diamond Capital Appreciation Fund, L.P. et al. |
|
|
2015 |
NJ-BOS |
$2,500,000 |
Trolice Consulting Services, LLC |
|
|
2016 |
NJ-BOS |
$2,500,000 |
Precigen, Inc. |
Precigen |
agribusiness |
2020 |
SEC |
$2,500,000 |
IBC Funds, LLC |
|
|
2016 |
SEC |
$2,482,850 |
Financial Robotics, Inc. |
|
|
2014 |
CFTC |
$2,481,000 |
Innovative Financial Solutions, LLC et al. |
|
|
2019 |
MO-SEC |
$2,466,092 |
First Lexington Group |
|
|
2008 |
CFTC |
$2,466,063 |
National Financial Services LLC |
|
|
2020 |
SEC |
$2,461,193 |
Harvard Assets LLC, London Assets Inc. , and Harvard International Trading, Inc. |
|
|
2016 |
CFTC |
$2,451,568 |
Wise Enterprises, LLC and Wise Lending, LLC |
|
|
2010 |
ID-SEC |
$2,443,637 |
Wedbush Securities |
Wedbush Securities |
financial services |
2014 |
SEC |
$2,440,000 |
Foreign Fund (a/k/a First Bank) |
|
|
2008 |
CFTC |
$2,432,486 |
Platforms Wireless International Corp. |
|
|
2007 |
SEC |
$2,431,213 |
Choice Equity |
|
|
2018 |
SEC |
$2,430,850 |
Assisted Living Development Company, Inc. et al. |
|
|
2011 |
AZ-SEC |
$2,410,895 |
Gelfman Blueprint, Inc. |
|
|
2018 |
CFTC |
$2,408,734 |
Paramount Management, LLC |
|
|
2013 |
CFTC |
$2,400,000 |
GID Group, Inc. |
|
|
2013 |
CFTC |
$2,400,000 |
Allied Markets, LLC |
|
|
2019 |
CFTC |
$2,400,000 |
Bill Few Associates Inc. |
|
|
2019 |
SEC |
$2,398,304 |
TIAA-CREF Individual & Institutional Services, LLC |
TIAA |
financial services |
2019 |
SEC |
$2,395,722 |
MAG T, Inc. |
|
|
2012 |
AZ-SEC |
$2,370,455 |
Carr Miller Capital, LLC |
|
|
2013 |
NJ-BOS |
$2,340,000 |
Hancock Whitney Investment Services, Inc. |
|
|
2020 |
SEC |
$2,337,792 |
Legg Mason Wood Walker, Inc. |
Franklin Resources |
financial services |
2004 |
SEC |
$2,315,467 |
Lincolnshire Management |
|
|
2014 |
SEC |
$2,300,000 |
211 Ventures LLC |
|
|
2013 |
SEC |
$2,300,000 |
WL Ross & Co. LLC |
Invesco |
financial services |
2016 |
SEC |
$2,300,000 |
Amerisave Mortgage Corporation |
AmeriSave Mortgage |
financial services |
2013 |
MULTI-FIN |
$2,300,000 |
Global Strategic Marketing, Inc. |
|
|
2014 |
CFTC |
$2,292,798 |
Nordstrom Nordstrom I, Inc. and Nordstrom Imports, Inc. |
Nordstrom |
retailing |
2014 |
AZ-SEC |
$2,263,142 |
Theodore J. Hogan & Associates, LLC |
|
|
2011 |
AZ-SEC |
$2,253,310 |
Clean Energy Capital, LLC |
|
|
2014 |
SEC |
$2,246,030 |
Apuro Holdings Ltd et al. |
|
|
2019 |
CFTC |
$2,243,344 |
Linsco/Private Ledger Corp. |
|
|
2004 |
SEC |
$2,232,805 |
Cifuentes Fund Management, LLC |
|
|
2018 |
CFTC |
$2,227,120 |
Global Precious Metals Trading Company |
|
|
2013 |
CFTC |
$2,200,000 |
Alliance Development Company |
|
|
2008 |
CFTC |
$2,200,000 |
Strong Capital Management, Inc. |
Wells Fargo |
financial services |
2006 |
SEC |
$2,185,927 |
Winning Kids Inc. |
|
|
2010 |
SEC |
$2,183,964 |
Paradigm Capital Management, Inc. |
|
|
2014 |
SEC |
$2,181,771 |
Chronos Asset Management, Inc. |
|
|
2008 |
SEC |
$2,176,915 |
Performance Specialist Group LLC |
|
|
2004 |
SEC |
$2,171,932 |