Safe Harbor Financial LLC |
|
|
2009 |
MO-SEC |
$16,920 |
Safe Harbor Retirement Solutions, LLC |
|
|
2018 |
MN-FIN |
$40,000 |
Safe Harbour LLC |
|
|
2019 |
CT-SEC |
$20,450 |
Safe Money Millionaire et al. |
|
|
2020 |
MO-SEC |
$97,429 |
Safe Systems, Inc. |
|
|
2012 |
OR-FIN |
$10,000 |
Safeguard 3030 Investment Club |
|
|
2012 |
CFTC |
$3,000,000 |
Safevest LLC |
|
|
2009 |
CFTC |
$25,000,000 |
Sage Advisory Services LLC |
|
|
2001 |
SEC |
$288,328 |
Sagent Wealth Management, LLC |
|
|
2017 |
SEC |
$181,110 |
SagePoint Financial Inc. |
Reverence Capital Partners |
private equity (including portfolio companies) |
2017 |
SC-SEC |
$40,000 |
Sagepoint Financial, Inc. |
Reverence Capital Partners |
private equity (including portfolio companies) |
2013 |
MO-SEC |
$816,000 |
Saint Marketing, Inc. |
|
|
2003 |
CO-AG |
$372,000 |
Salem Advisory Group LLC |
|
|
2018 |
ME-SEC |
$5,000 |
Saliba Managed Funds Inc. |
|
|
2014 |
NH-BSR |
$55,000 |
Salomon Smith Barney |
Morgan Stanley |
financial services |
2002 |
FINRA |
$5,000,000 |
Salomon Smith Barney Inc. |
Morgan Stanley |
financial services |
2000 |
SEC |
$45,000,000 |
Salomon Smith Barney Inc. |
Morgan Stanley |
financial services |
2002 |
MULTI-AG |
(*) $400,000,000 |
Salomon Smith Barney Inc. |
Morgan Stanley |
financial services |
2002 |
FINRA |
(*) $1,650,000 |
Salomon Whitney LLC |
|
|
2011 |
CT-SEC |
$12,500 |
Salomon Whitney LLC |
|
|
2011 |
FINRA |
$60,000 |
Salt Blockchain Inc. f/k/a Salt Lending Holdings, Inc. |
|
|
2020 |
SEC |
$250,000 |
Salt Lake City Wireless, LLC aka Salt Lake Wireless, LLC |
|
|
2005 |
ID-SEC |
$60,000 |
Saltwater Harbor Financial, LLC |
|
|
2018 |
ME-SEC |
$50,000 |
SameDay Security, Inc. |
|
|
2016 |
MS-SEC |
$8,000 |
Samson Energy Group, LLC |
|
|
2015 |
WA-FIN |
$5,750 |
San Clemente Securities |
|
|
2000 |
OR-FIN |
$10,000 |
San Diego Gas & Electric Company |
Sempra Energy |
utilities and power generation |
2010 |
CFTC |
$80,000 |
Sanco Services Inc. |
|
|
2011 |
SC-SEC |
$5,000 |
Sand Hill Exchange |
|
|
2015 |
SEC |
$20,000 |
Sandell Asset Management Corp. |
|
|
2007 |
SEC |
$8,097,494 |
Sanders Morris Harris Inc. |
|
|
2014 |
MS-SEC |
$35,000 |
Sandlapper Securities, LLC |
|
|
2013 |
CO-SEC |
$10,000 |
SandRidge Energy, Inc. |
SandRidge Energy |
oil and gas |
2016 |
SEC |
$1,400,000 |
Sands Brothers Asset Management LLC |
|
|
2015 |
SEC |
$1,000,000 |
Sands Brothers Asset Management LLC |
|
|
2010 |
SEC |
$60,000 |
Sands Brothers Asset Management LLC |
|
|
2009 |
CT-SEC |
$42,500 |
Sanford C. Bernstein & Co. |
Equitable Holdings |
financial services |
2006 |
FINRA |
$350,000 |
Sankaty Advisors, LLC |
|
|
2014 |
SEC |
$68,000 |
Santa Rita Partners, Inc. |
|
|
2011 |
CA-DFPI |
$33,846 |
Santander Consumer USA Holdings Inc. |
Banco Santander |
financial services |
2018 |
SEC |
$1,500,000 |
Santander Securities LLC |
Banco Santander |
financial services |
2019 |
SEC |
$270,539 |
Santander Securities LLC |
Banco Santander |
financial services |
2015 |
FINRA |
$6,421,000 |
Santander Securities of Puerto Rico |
Banco Santander |
financial services |
2011 |
FINRA |
$2,000,000 |
Santander Securities, LLC |
Banco Santander |
financial services |
2018 |
NH-BSR |
$31,562 |
Santander Securities, LLC |
Banco Santander |
financial services |
2019 |
NH-BSR |
$50,000 |
Santos, Postal & Company, P.C. |
|
|
2016 |
SEC |
$29,076 |
Sarkauskas and Associates, Inc. |
|
|
2013 |
SEC |
$449,837 |
Sarker Investments LLC |
|
|
2010 |
TX-SEC |
$5,000 |
Saturn Capital Management, LLC |
|
|
2011 |
IN-SEC |
$9,000 |
Sauberan & Company LLC |
|
|
2021 |
SEC |
$10,000 |
Savannah Solar International, Inc. and Savannah Solar International, LLC |
|
|
2021 |
VA-SEC |
$61,611 |
Savant Capital Management, Inc. |
|
|
2008 |
IL-SEC |
$11,500 |
Save.Win LLC |
|
|
2020 |
TN-SEC |
$23,210 |
Saves, Inc. |
|
|
2015 |
WA-FIN |
$5,000 |
SAXBY'S COFFEE, INC. |
|
|
2008 |
VA-SEC |
$14,000 |
Saxon Financial Services Inc. |
|
|
2009 |
CFTC |
$4,300,000 |
Saxony Capital Management LLC |
|
|
2019 |
SEC |
$230,220 |
SB Financial Group |
|
|
2020 |
WI-FIN |
$25,000 |
SBG Forever, Inc. et al. |
|
|
2013 |
IN-SEC |
$17,465 |
SBU, Inc. |
|
|
2003 |
IL-SEC |
$20,000 |
SCANA Corp. |
Dominion Energy |
utilities and power generation |
2020 |
SEC |
$137,500,000 |
Scanlan Realty & Investments, Ltd. |
|
|
2012 |
IL-SEC |
$20,000 |
Scanlon & Associates |
|
|
2001 |
FL-OFR |
$25,000 |
Scanwood Limited Inc. and AOS Inc. |
|
|
2019 |
NH-BSR |
$92,342 |
SCDC Management Company, LLC |
|
|
2010 |
MD-SEC |
$15,000 |
SCF Investment Advisors, Inc. |
|
|
2020 |
SEC |
$767,192 |
Schaefer Wealth Management, Inc. |
|
|
2018 |
MO-SEC |
$20,000 |
Schering-Plough Corporation |
Merck |
pharmaceuticals |
2003 |
SEC |
$1,000,000 |
Schmidt Baking Distribution, LLC |
|
|
2019 |
MD-SEC |
$32,500 |
Schneider Downs Wealth Management Advisors, LP |
|
|
2016 |
SEC |
$100,000 |
Schonfeld & Company LLC |
|
|
2006 |
FINRA |
$175,000 |
School Business Consulting, Inc |
|
|
2016 |
SEC |
$30,000 |
School Services of California, Inc. |
|
|
2019 |
SEC |
$10,000 |
Schulman Lobel Zand Katzen Williams & Blackman and LLP |
|
|
2020 |
SEC |
$98,510 |
Schultz Investment Advisors, Inc. |
|
|
2005 |
SEC |
$114,534 |
Schupp & Grochmal, LLC |
Schupp & Grochmal |
financial services |
2020 |
CT-BKG |
$10,510 |
Schupp & Grochmal, LLC |
Schupp & Grochmal |
financial services |
2020 |
CT-SEC |
$7,500 |
Schuster Financial LLC |
|
|
2020 |
MN-FIN |
$20,000 |
Schwab Capital Markets |
Charles Schwab Corp. |
financial services |
2001 |
FINRA |
$12,000 |
Schwab Capital Markets, L.P. |
Charles Schwab Corp. |
financial services |
2004 |
FINRA |
$70,000 |
Scorsesi Makeup, LLC |
|
|
2016 |
MI-SEC |
$20,000 |
Scotia Capital Inc. |
Scotiabank |
financial services |
2010 |
CFTC |
$250,000 |
SCOTT & STRINGFELLOW LLC |
|
|
2011 |
VA-SEC |
$25,000 |
Scott & Stringfellow, Inc. |
|
|
2000 |
FINRA |
$393,263 |
Scott Schultz Closed-End Funds, Inc. |
|
|
2018 |
MI-SEC |
$10,000 |
Scottrade Inc. |
Charles Schwab Corp. |
financial services |
2016 |
TX-SEC |
$100,000 |
Scottrade, Inc. |
Charles Schwab Corp. |
financial services |
2008 |
SEC |
$950,000 |
Scottrade, Inc. |
Charles Schwab Corp. |
financial services |
2015 |
FINRA |
$2,600,000 |
Scottrade, Inc. |
Charles Schwab Corp. |
financial services |
2015 |
FINRA |
$300,000 |
Scottrade, Inc. |
Charles Schwab Corp. |
financial services |
2010 |
FINRA |
$200,000 |
Scottrade, Inc. |
Charles Schwab Corp. |
financial services |
2005 |
FINRA |
$250,000 |
Scottrade, Inc. |
Charles Schwab Corp. |
financial services |
2004 |
FINRA |
$16,000 |
Scottsdale Financial Funding Group, LLC |
|
|
2003 |
AZ-CC |
$3,391,570 |
Scudder Distributors, Inc. |
|
|
2007 |
FINRA |
$425,000 |
SDC Montana Consulting, LLC |
|
|
2013 |
AZ-CC |
$25,000 |
SE Ohio Shale & Oriskany Development |
|
|
2018 |
CT-SEC |
$10,000 |
Seacoast Investor Services, Inc. |
|
|
2012 |
FL-OFR |
$180,300 |
Seacret Direct, LLC |
|
|
2014 |
MT-SEC |
$5,000 |
Seaniemac International Ltd. |
|
|
2014 |
SEC |
$50,000 |
SeaQuest Holdings LLC |
|
|
2017 |
ID-SEC |
$5,000 |
Seascape Management Co., LLC |
|
|
2007 |
ID-SEC |
$23,000 |