Bank of New York Mellon |
Bank of New York Mellon |
financial services |
2018 |
SEC |
$54,000,000 |
Bank of New York Mellon |
Bank of New York Mellon |
financial services |
2013 |
FL-AG |
$28,000,000 |
Bank of New York Mellon |
Bank of New York Mellon |
financial services |
2019 |
CFTC |
$750,000 |
Bank of New York Mellon Corp. |
Bank of New York Mellon |
financial services |
2011 |
MULTI-AG |
$1,300,000 |
Bank of Nova Scotia |
Scotiabank |
financial services |
2018 |
CFTC |
$800,000 |
Bank of Tokyo-Mitsubishi UFJ, Ltd. |
Mitsubishi Group |
diversified |
2017 |
CFTC |
$600,000 |
Bank Watch |
|
|
2010 |
OR-FIN |
$220,000 |
Bankers Life and Casualty Co. |
CNO Financial |
financial services |
2010 |
MO-SEC |
$789,600 |
Bankers Life and Casualty Co. |
CNO Financial |
financial services |
2015 |
MO-SEC |
$102,178 |
Bankers Life and Casualty Company and BLC Financial Services, Inc. |
CNO Financial |
financial services |
2012 |
MULTI-FIN |
$10,641,000 |
Banner Co-op, Inc. |
|
|
2020 |
MI-SEC |
$15,000 |
Banque CIAL |
|
|
2007 |
CFTC |
$80,000 |
Bantry Bay Capital, LLC |
|
|
2017 |
SEC |
$100,000 |
Banyan Partners, LLC |
|
|
2016 |
SEC |
$200,000 |
Bar-Lo Millennium Corp. |
|
|
2001 |
AZ-SEC |
$10,000 |
Barcelona Strategies LLC |
|
|
2018 |
SEC |
$542,120 |
Barclays Bank PLC |
Barclays |
financial services |
2016 |
CFTC |
$560,000 |
Barclays Capital |
Barclays |
financial services |
2017 |
SEC |
$97,037,659 |
Barclays Capital Inc. |
Barclays |
financial services |
2016 |
SEC |
$35,000,000 |
Barclays Capital Inc. |
Barclays |
financial services |
2014 |
SEC |
$15,000,000 |
Barclays Capital Inc. |
Barclays |
financial services |
2016 |
CFTC |
$800,000 |
Barclays Capital Inc. |
Barclays |
financial services |
2017 |
SEC |
$12,710,040 |
Barclays Capital Inc. |
Barclays |
financial services |
2016 |
SEC |
$500,000 |
Barclays Capital Inc. |
Barclays |
financial services |
2016 |
NY-AG |
$35,000,000 |
Barki LLC |
|
|
2011 |
CFTC |
$40,904,000 |
Baron Capital, Inc. |
|
|
2003 |
SEC |
$2,000,000 |
Barrett & Co. |
|
|
2015 |
RI-FIN |
$10,000 |
Barrington Capital Management, Inc. |
|
|
2007 |
MO-SEC |
$14,000 |
Barron Thomas Scottsdale, L.L.C. et al. |
|
|
2010 |
AZ-SEC |
$10,051,294 |
Barry Callebaut Sourcing AG |
Barry Callebaut |
food products |
2004 |
CFTC |
$25,000 |
Basic Capital Management, Inc. |
|
|
2002 |
SEC |
$850,000 |
Basic Investors Inc. |
|
|
2008 |
CT-SEC |
$21,500 |
BASIN OIL & GAS CORPORATION |
|
|
2002 |
VA-SEC |
$5,500 |
Basin Oil and Gas Corp. |
|
|
2004 |
KY-FIN |
$7,500 |
Basin Oil and Gas Corporation |
|
|
2001 |
TN-SEC |
$21,000 |
Baton Holdings LLC |
Red Ventures |
business services |
2019 |
DOJ_CRIMINAL |
$28,000,000 |
Baxter, Banks & Smith Ltd. |
|
|
2000 |
ND-SEC |
$5,000 |
Baxter, Banks and Smith Ltd. |
|
|
2000 |
OR-FIN |
$20,000 |
Bayes Capital, LLC |
|
|
2018 |
SEC |
$300,000 |
Bayhill Advisors, Inc. |
|
|
2018 |
WA-FIN |
$20,000 |
Bayou Technologies, Inc. |
|
|
2008 |
CT-SEC |
$10,000 |
Baystar Capital Management LLC |
|
|
2011 |
USAO |
$12,112,416 |
BB&T Securities |
Truist Financial |
financial services |
2019 |
SEC |
$5,709,753 |
BB&T Securities, LLC |
Truist Financial |
financial services |
2016 |
SEC |
$200,000 |
BB&T Securities, LLC |
Truist Financial |
financial services |
2015 |
SEC |
$200,000 |
BB&T Securities, LLC |
Truist Financial |
financial services |
2018 |
SEC |
$100,000 |
BB&T Securities, LLC |
Truist Financial |
financial services |
2019 |
SEC |
$376,059 |
BC Capital Group S.A., BC Capital Group International Limited, and BC Capital Group Holdings S.A. |
BC Capital Group |
financial services |
2016 |
CFTC |
$490,246,741 |
BC Holdings and Investments, LLC |
|
|
2020 |
MI-SEC |
$20,000 |
BCL, LLC and Sanctus Partners Limited Partnership |
|
|
2012 |
AL-SEC |
$7,500 |
BDL Manager LLC |
|
|
2014 |
SEC |
$3,297,740 |
Beacon Capital Distributors, Inc. |
|
|
2020 |
MO-SEC |
$6,000 |
Beacon Development Group |
|
|
2007 |
WA-FIN |
$35,000 |
Beacon Hill Asset Management, LLC |
|
|
2004 |
SEC |
$600,000 |
Beacon Investment Management LLC |
|
|
2019 |
SEC |
$165,848 |
Beacon Rock Investment Advisors, LLC |
|
|
2013 |
ID-SEC |
$5,000 |
Beacon Wealth Advisory, LLC |
|
|
2019 |
MO-SEC |
$15,000 |
Beam Suntory Inc. |
Suntory |
beverages |
2018 |
SEC |
$8,181,838 |
Bear Stearns |
JPMorgan Chase |
financial services |
2012 |
MI-AG |
$275,000,000 |
Bear Stearns & Co. LLC |
JPMorgan Chase |
financial services |
2002 |
MULTI-AG |
(*) $80,000,000 |
Bear Wagner Specialists LLC |
|
|
2004 |
SEC |
$16,259,446 |
Bear, Stearns & Co. Inc. |
JPMorgan Chase |
financial services |
2003 |
SEC |
$80,000,000 |
Bear, Stearns & Co. Inc. |
JPMorgan Chase |
financial services |
2003 |
MULTI-FIN |
(*) $25,000,000 |
Bear, Stearns & Co., Inc. |
JPMorgan Chase |
financial services |
2006 |
SEC |
$1,500,000 |
Bear, Stearns & Co., Inc. |
JPMorgan Chase |
financial services |
2006 |
SEC |
$250,000,000 |
Bear, Stearns & Co., Inc. |
JPMorgan Chase |
financial services |
2005 |
IL-SEC |
$10,000 |
Beard Financial Services, Inc. |
|
|
2016 |
IL-SEC |
$5,000 |
Beasley & Company |
|
|
2017 |
TN-SEC |
$5,000 |
Beauty Supply Institute, LLC |
|
|
2020 |
MD-SEC |
$10,000 |
Becker, Jackson & Reed LLC |
|
|
2018 |
OR-FIN |
$60,000 |
Becker, Jackson & Reed, LLC et al. |
|
|
2019 |
MO-SEC |
$221,195 |
Belden Inc. |
Belden |
industrial equipment |
2020 |
SEC |
$650,000 |
Believing in Jesus Investments, LLC |
|
|
2017 |
AZ-SEC |
$270,050 |
BELLA BALLERINA FRANCHISING |
|
|
2018 |
VA-SEC |
$6,500 |
Bella Funding, L.L.C. |
|
|
2008 |
AZ-SEC |
$10,000 |
BELLACINO'S, INC. |
|
|
2005 |
VA-SEC |
$8,000 |
Bellingham Investment Management |
|
|
2016 |
CA-DFPI |
$64,120 |
Belvedere Trading LLC |
|
|
2019 |
CFTC |
$1,100,000 |
Benchmark Capital Advisors LLC |
|
|
2019 |
SEC |
$45,182 |
Benchmark Capital Investment, LLC |
|
|
2013 |
SC-SEC |
$10,000 |
Benchmark Financial Planning, Inc. |
|
|
2010 |
MN-FIN |
$10,000 |
Benchmark Financial Services, Inc. |
|
|
2007 |
CA-DFPI |
$100,000 |
Benchmark Securities, LLC |
|
|
2015 |
SEC |
$100,000 |
Beneficial Assistance |
|
|
2002 |
AZ-SEC |
$5,000 |
Benefit Contract Administrators, Inc. et al. |
|
|
2009 |
VA-SEC |
$11,347,906 |
Benjamin F. Edwards & Co., Inc. |
|
|
2019 |
SEC |
$3,445,264 |
Benjamin F. Edwards & Company, Inc. |
|
|
2020 |
SEC |
$1,366,551 |
Bentley Equities, LLC |
|
|
2013 |
CFTC |
$2,700,000 |
Benzer Franchising, LLC |
|
|
2020 |
CA-DFPI |
$5,000 |
Berkshire Capital Management Company, Inc. and Eat at Joe's, Ltd. (n/k/a SPYR, Inc.) |
|
|
2020 |
SEC |
$3,500,000 |
Berkshire Hathaway Inc. |
Berkshire Hathaway |
diversified |
2014 |
DOJ_ANTITRUST |
$896,000 |
Berkshire Resources LLC and Berkshire (4OL) LLP |
|
|
2007 |
WA-FIN |
$9,000 |
Berkshire Resources, L.L.C. |
|
|
2010 |
SEC |
$16,255,846 |
Berman & Company, P.A. |
|
|
2017 |
SEC |
$25,000 |
Bermingham Wealth Strategies |
|
|
2019 |
CT-SEC |
$100,000 |
Bernardi Securities, Inc. |
|
|
2015 |
SEC |
$100,000 |
Berry Resources, Inc. |
|
|
2007 |
KY-FIN |
$5,000 |
Berry Resources, Inc. |
|
|
2012 |
KY-FIN |
$60,000 |
Berry Resources, Inc. et al. |
|
|
2014 |
CA-DFPI |
$26,700 |
Berthel Fisher & Company |
Berthel Fisher |
financial services |
2003 |
MN-FIN |
$10,000 |
Berthel Fisher & Company Financial Services, Inc |
Berthel Fisher |
financial services |
2019 |
NH-BSR |
$415,407 |