China Shenghai Investment Management Limited |
|
|
2014 |
SEC |
$4,300,000 |
Saxon Financial Services Inc. |
|
|
2009 |
CFTC |
$4,300,000 |
GFI Securities LLC |
BGC Partners |
financial services |
2019 |
SEC |
$4,300,000 |
Metropolitan Investment Securities, Inc. |
|
|
2003 |
FINRA |
$4,300,000 |
Hughes Energy Inc. |
|
|
2009 |
USAO |
$4,261,211 |
ICBC Standard Bank Plc |
Industrial and Commercial Bank of China |
financial services |
2015 |
SEC |
$4,200,000 |
Worldwide Forex, Inc. and Worldwide Commodity Corp. |
|
|
2007 |
CFTC |
$4,200,000 |
Raymond James and Associates Inc. |
Raymond James Financial |
financial services |
2016 |
VT-FIN |
$4,200,000 |
Verto Capital Management |
|
|
2017 |
SEC |
$4,158,517 |
Purshe Kaplan Sterling Investments |
|
|
2017 |
FINRA |
$4,150,000 |
Robert W. Baird & Co. Incorporated |
|
|
2019 |
SEC |
$4,149,167 |
Fremont Investment Advisors |
|
|
2004 |
SEC |
$4,146,000 |
Fremont Investment Advisors, Inc. |
|
|
2004 |
NY-AG |
(*) $4,146,000 |
Milan Group Inc. |
|
|
2013 |
SEC |
$4,141,148 |
Global Corporate Strategies LLC |
|
|
2019 |
SEC |
$4,120,000 |
Aegerion Pharmaceuticals |
Amryt Pharma |
pharmaceuticals |
2017 |
SEC |
$4,100,000 |
Investment Placement Group |
|
|
2011 |
SEC |
$4,072,027 |
H.D. Vest Investment Services |
|
|
2005 |
FINRA |
$4,015,000 |
KA Investments, Inc. |
|
|
2018 |
ID-SEC |
$4,011,806 |
Concordia Financing Company, Ltd. and ER Financial & Advisory Services, LLC |
|
|
2019 |
AZ-CC |
$4,007,986 |
J.P. Morgan Securities LLC |
JPMorgan Chase |
financial services |
2016 |
SEC |
$4,000,000 |
Morgan Stanley & Co. LLC |
Morgan Stanley |
financial services |
2014 |
SEC |
$4,000,000 |
AVEO Pharmaceuticals Inc. |
AVEO Pharmaceuticals |
pharmaceuticals |
2016 |
SEC |
$4,000,000 |
Invers Forex, LLC |
|
|
2012 |
CFTC |
$4,000,000 |
Raleigh Capital Management, Inc. |
|
|
2011 |
CFTC |
$4,000,000 |
Diamond Ventures LLC |
|
|
2011 |
CFTC |
$4,000,000 |
FX Professional International Solutions, Inc. |
|
|
2010 |
CFTC |
$4,000,000 |
Lake Dow Capital LLC |
|
|
2010 |
CFTC |
$4,000,000 |
EMF Financial Products, LLC |
|
|
2009 |
CFTC |
$4,000,000 |
Hearst Corporation |
Hearst |
media |
2001 |
FTC |
$4,000,000 |
Hearst Corp. |
Hearst |
media |
2001 |
DOJ_ANTITRUST |
$4,000,000 |
Hazan Capital Management LLC |
|
|
2009 |
SEC |
$4,000,000 |
Statoil ASA |
Equinor |
oil and gas |
2017 |
CFTC |
$4,000,000 |
SeaWorld Entertainment Inc. |
SeaWorld Entertainment |
entertainment |
2018 |
SEC |
$4,000,000 |
New York Mercantile Exchange (NYMEX) |
|
|
2020 |
CFTC |
$4,000,000 |
Merrill Lynch, Pierce, Fenner & Smith Incorporated |
Bank of America |
financial services |
2019 |
FINRA |
$4,000,000 |
Wells Fargo Securities, LLC and Wells Fargo Prime Services, LLC |
Wells Fargo |
financial services |
2016 |
FINRA |
$4,000,000 |
Deutsche Bank Securities Inc. |
Deutsche Bank |
financial services |
2014 |
FINRA |
$4,000,000 |
Merrill Lynch, Pierce, Fenner & Smith Inc. |
Bank of America |
financial services |
2014 |
FINRA |
$4,000,000 |
Morgan Stanley & Co., LLC |
Morgan Stanley |
financial services |
2014 |
FINRA |
$4,000,000 |
Wells Fargo Securities, LLC |
Wells Fargo |
financial services |
2014 |
FINRA |
$4,000,000 |
Friedman, Billings, Ramsey & Co., Inc. |
Arlington Asset Investment Corp. |
financial services |
2006 |
FINRA |
$4,000,000 |
MML Investors Services, LLC |
Massachusetts Mutual Life Insurance |
financial services |
2021 |
MA-SEC |
$4,000,000 |
The New Wealth, LLC and Main Street Estate Group, Inc. and Jenny DB Properties, LLC |
|
|
2018 |
MD-SEC |
$3,999,715 |
High Point Wealth Management |
|
|
2018 |
MD-SEC |
$3,990,000 |
AllianceBernstein Investment Research and Management, Inc. |
Equitable Holdings |
financial services |
2005 |
FINRA |
$3,984,087 |
Fifth Street Management, LLC |
|
|
2018 |
SEC |
$3,983,660 |
USA Barcelona Realty Advisors, LLC |
|
|
2018 |
AZ-CC |
$3,965,700 |
BMO Capital Markets Corporation |
Bank of Montreal |
financial services |
2019 |
SEC |
$3,946,000 |
Camden Consulting, Inc. and SKS Consulting, Inc. |
|
|
2007 |
SEC |
$3,925,000 |
Jefferies LLC |
Jefferies Financial Group |
diversified |
2019 |
SEC |
$3,918,000 |
RBC Capital Markets LLC |
Royal Bank of Canada |
financial services |
2020 |
SEC |
$3,889,007 |
First Capital Real Estate Investments, LLC |
|
|
2021 |
SEC |
$3,876,400 |
Millenium Trading Group, LLC |
|
|
2007 |
CFTC |
$3,861,516 |
A.G. Edwards & Sons, Inc. |
Wells Fargo |
financial services |
2007 |
SEC |
$3,860,000 |
Direct Investment Products, Inc. |
|
|
2015 |
CFTC |
$3,851,633 |
VOS Capital Management, LLC |
|
|
2020 |
CFTC |
$3,813,875 |
McCall Business Group, LLC and MBG Global, LLC |
|
|
2010 |
CFTC |
$3,800,000 |
Yankee Financial Group, Inc. |
|
|
2005 |
FINRA |
$3,800,000 |
UBS Securities LLC and UBS Financial Services, Inc |
UBS |
financial services |
2011 |
NJ-AG |
$3,790,487 |
Oppenheimer & Co. Inc. |
Oppenheimer Holdings |
financial services |
2015 |
FINRA |
$3,750,000 |
Barclays Capital Inc. |
Barclays |
financial services |
2013 |
FINRA |
$3,750,000 |
Fidelity Distributors Corp. et al. |
Fidelity Investments |
financial services |
2007 |
FINRA |
$3,750,000 |
WMF Management, LLC et al. |
|
|
2018 |
AZ-CC |
$3,732,894 |
American Express Financial Advisors Inc. |
Ameriprise Financial |
financial services |
2004 |
SEC |
$3,706,693 |
ACJ Capital, Inc. |
|
|
2012 |
CFTC |
$3,700,000 |
Senior Resources Asset Fund, LLC |
|
|
2006 |
SEC |
$3,699,203 |
Worldwide Clearing, LLC |
|
|
2007 |
CFTC |
$3,692,516 |
Secure Resolutions, Inc. |
|
|
2010 |
AZ-CC |
$3,685,653 |
Locke Capital Management Inc. |
|
|
2011 |
SEC |
$3,673,996 |
Real Estate Finance Corp. and WIN Opportunity Fund, LLC |
|
|
2019 |
AZ-CC |
$3,668,565 |
Angel Oak Capital Partners, LLC |
|
|
2017 |
SEC |
$3,666,370 |
Denari Capital, LLC |
|
|
2021 |
CFTC |
$3,663,282 |
American Energy Exchange and York Commodities |
|
|
2007 |
CFTC |
$3,652,788 |
Stifel, Nicolaus & Company, Incorporated |
Stifel Financial |
financial services |
2020 |
FINRA |
$3,650,000 |
Mark Olsen Mining Company |
|
|
2019 |
CFTC |
$3,631,280 |
Severns Properties, LLC and Severns Capital, LLC |
|
|
2008 |
AZ-CC |
$3,631,115 |
Kornitzer Capital Management, Inc. |
|
|
2019 |
SEC |
$3,626,995 |
Nato Enterprises, LLC |
|
|
2010 |
AZ-CC |
$3,625,127 |
RA Capital Management |
|
|
2014 |
SEC |
$3,624,359 |
Linsco/Private Ledger Corp. |
|
|
2005 |
FINRA |
$3,602,398 |
Total Gas & Power North America, Inc. |
TotalEnergies SE |
oil and gas |
2015 |
CFTC |
$3,600,000 |
National Equity Holdings, Inc. |
|
|
2013 |
CFTC |
$3,600,000 |
Voya Holdings Inc. |
Voya Financial |
financial services |
2018 |
SEC |
$3,600,000 |
Morgan Stanley Smith Barney |
Morgan Stanley |
financial services |
2018 |
SEC |
$3,600,000 |
Chase Investment Services Corporation |
JPMorgan Chase |
financial services |
2011 |
FINRA |
$3,600,000 |
Madigan Enterprises, Inc. et al. |
|
|
2018 |
CFTC |
$3,589,913 |
PlanMember Securities Corporation |
|
|
2019 |
SEC |
$3,550,660 |
5A Holdings, LLC |
|
|
2018 |
MO-SEC |
$3,548,483 |
Oppenheimer & Co. Inc. and Oppenheimer Asset Management Inc. |
Oppenheimer Holdings |
financial services |
2019 |
SEC |
$3,528,377 |
SK Madison Commodities, LLC |
|
|
2014 |
CFTC |
$3,523,846 |
Oxford Capital |
|
|
2014 |
CFTC |
$3,519,309 |
Capstone FX Quantitative Analysis, Inc. and Beekeepers Fund Capital Management, LLC |
|
|
2013 |
CFTC |
$3,500,000 |
UBS Financial Services, Inc. |
UBS |
financial services |
2017 |
SEC |
$3,500,000 |
First Reserve Management, L.P. |
|
|
2016 |
SEC |
$3,500,000 |
Heartland Advisors, Inc. |
|
|
2008 |
SEC |
$3,500,000 |
Citadel Securities LLC |
|
|
2018 |
SEC |
$3,500,000 |
Morningstar Credit Ratings, LLC |
Morningstar Inc. |
miscellaneous services |
2020 |
SEC |
$3,500,000 |
Berkshire Capital Management Company, Inc. and Eat at Joe's, Ltd. (n/k/a SPYR, Inc.) |
|
|
2020 |
SEC |
$3,500,000 |
Merrill Lynch, Pierce, Fenner & Smith Inc. |
Bank of America |
financial services |
2006 |
CT-SEC |
$3,500,000 |
Fidelity Co-operative Bank |
|
|
2014 |
MA-SEC |
$3,500,000 |