BNY Mellon Securities LLC |
Bank of New York Mellon |
financial services |
2011 |
SEC |
$24,045,447 |
BNY Mellon Shareowner Services |
Bank of New York Mellon |
financial services |
2010 |
MA-AG |
$30,000 |
Boardroom Private Investment Group |
|
|
2016 |
SC-SEC |
$10,000 |
Boardwalk Mortgage Group, LLC |
|
|
2008 |
AR-SEC |
$5,631 |
Bob's Cash Express, Inc. et al. |
|
|
2003 |
AZ-SEC |
$693,320 |
Bodell Overcash Anderson & Co., Inc. |
|
|
2005 |
ME-SEC |
$10,538 |
Boenning & Scattergood, Inc. |
|
|
2016 |
SEC |
$250,000 |
Boenning & Scattergood, Inc. |
|
|
2020 |
SEC |
$205,567 |
BOK Financial Corporation |
BOK Financial |
financial services |
2016 |
SEC |
$1,667,720 |
Bok Financial Securities, Inc. |
BOK Financial |
financial services |
2019 |
SEC |
$197,801 |
Bolton Total Wealth Management and Spirited Funds, LLC |
|
|
2019 |
KY-FIN |
$220,000 |
Bonwick Capital Partners, LLC |
|
|
2017 |
SEC |
$50,000 |
Boomerang Capital, LLC |
|
|
2020 |
CT-BKG |
$5,020 |
Boon Tech |
|
|
2020 |
SEC |
$5,600,334 |
BOSC, Inc. |
|
|
2015 |
SEC |
$250,000 |
Boston Trading Advisors, LLC |
|
|
2003 |
CFTC |
$10,000 |
Botta Capital Management, L.L.C. |
|
|
2009 |
SEC |
$825,000 |
Boulder Wealth Management, LLC |
|
|
2010 |
MO-SEC |
$5,000 |
Bountiful LLC |
|
|
2007 |
OR-FIN |
$23,000 |
BP |
BP |
oil and gas |
2012 |
SEC |
$525,000,000 |
BPU Investment Management, Inc. |
|
|
2020 |
SEC |
$927,107 |
Bradway Financial, LLC and Bradway Capital Management, LLC |
|
|
2017 |
SEC |
$150,000 |
Brahma Management Ltd. |
|
|
2018 |
SEC |
$75,000 |
Brahman Capital Corp. |
|
|
2017 |
SEC |
$250,000 |
Branch Banco, Inc. |
|
|
2007 |
FL-OFR |
$13,500 |
Branch Banking and Trust Company |
Truist Financial |
financial services |
2016 |
SC-SEC |
$97,500 |
Branded Marketing LLC |
|
|
2015 |
NJ-AG |
$13,300,000 |
Brandywine Financial Group Inc. |
|
|
2017 |
PA-BKG |
$34,500 |
BRAZELTON LOAN PARTNERS |
|
|
2013 |
VA-SEC |
$22,168 |
Brazos Securities Inc. |
|
|
2018 |
TX-SEC |
$20,000 |
Brean Murray & Co., Inc. |
|
|
2005 |
SEC |
$150,000 |
Bremen Investment Company, LLC and Harvest Marketplace, LLC |
|
|
2016 |
MO-SEC |
$62,500 |
Briargate Trading LLP |
|
|
2015 |
SEC |
$912,842 |
Bridge Harbor Management, Inc. and Creative Insurance Concepts, Inc. |
|
|
2010 |
CA-DFPI |
$11,780,076 |
BRIDGETOWN FRAGRANCES, INC. |
|
|
2017 |
VA-SEC |
$5,000 |
Bridgewater Communications Group LLC, The Exchange, LLC |
|
|
2016 |
CT-SEC |
$7,500 |
Bridgeway Capital Management |
|
|
2004 |
SEC |
$5,116,464 |
BRIGHT COVE SECURITIES INC. |
|
|
2001 |
VA-SEC |
$5,000 |
Bright Light Capital Advisor, Inc. |
|
|
2020 |
CA-DFPI |
$5,000 |
Brisk Management, LLC |
|
|
2018 |
WA-FIN |
$11,500 |
Bristol Group Inc. |
|
|
2018 |
SEC |
$75,000 |
BrixInvest, LLC |
|
|
2019 |
SEC |
$300,000 |
Brixon Group |
|
|
2004 |
MS-SEC |
$50,000 |
Brixon Group Ltd. |
|
|
2005 |
AZ-SEC |
$8,786,445 |
Broadcom Corp. |
Broadcom |
electrical and electronic equipment |
2008 |
SEC |
$12,000,000 |
Broadcom Corp. |
Broadcom |
electrical and electronic equipment |
2009 |
NM-AG |
$160,500,000 |
Broadreach Capital, LLC |
|
|
2016 |
FL-OFR |
$6,000 |
Broadview Asset Management, LLC |
|
|
2007 |
MO-SEC |
$5,500 |
Brogan Group Investment Advisors, LLC |
|
|
2020 |
PA-BKG |
$7,500 |
BrokerageAmerica Inc. |
|
|
2001 |
ND-SEC |
$5,000 |
Brooke's Ventures LLC |
|
|
2020 |
ID-SEC |
$20,000 |
Brookes Ventures, LLC dba Aulterra International |
|
|
2016 |
ID-SEC |
$30,000 |
BROOKLYN WATER BAGEL FRANCHISE |
|
|
2013 |
VA-SEC |
$6,000 |
Brooks Communications LLC |
|
|
2016 |
SC-SEC |
$20,000 |
Brooks Martin Investments, LLC and My1sthouse.com, LLC |
|
|
2009 |
MD-SEC |
$358,432 |
Brookshire Raw Materials Management, LLC |
|
|
2011 |
CFTC |
$15,800,000 |
Brookshire Securities Corp. |
|
|
2009 |
MS-SEC |
$225,000 |
Brookside Capital, LLC |
|
|
2011 |
SEC |
$2,124,079 |
Brookstreet Securities Corp. |
|
|
2004 |
FL-OFR |
$15,000 |
Brookstreet Securities Corp. |
|
|
2007 |
MO-SEC |
$20,950 |
Brookstreet Securities Corp. |
|
|
2008 |
MS-SEC |
$15,000 |
Brookstreet Securities Corporation Inc. |
|
|
2005 |
OR-FIN |
$9,000 |
Brookville Capital Partners |
|
|
2012 |
CT-SEC |
$5,000 |
Brown Brothers Harriman & Co. |
Brown Brothers Harriman |
financial services |
2014 |
SEC |
$120,000 |
Bruce Fund, Inc. |
|
|
2006 |
NE-DBF |
$17,500 |
Brunhaver Financial Services, LLC |
|
|
2012 |
WA-FIN |
$10,000 |
Brunswick Capital LLC and Brunswick Capital Partners LP |
|
|
2015 |
CFTC |
$1,025,039 |
Brut, LLC |
|
|
2003 |
SEC |
$45,000 |
Bryan Funding Inc. |
|
|
2016 |
PA-BKG |
$5,000 |
Bryn Advisory Group, LLC |
|
|
2013 |
FL-OFR |
$705,000 |
BSK Enterprises, LLC |
|
|
2009 |
AZ-SEC |
$2,539,225 |
BTS Asset Management, Inc. |
|
|
2012 |
SEC |
$200,000 |
BTS Securities Corporation |
|
|
2008 |
RI-FIN |
$15,694 |
Buchanan Capital LLC et al. |
|
|
2016 |
PA-BKG |
$190,000 |
Buckson Realty Brokerage, Inc. |
|
|
2000 |
DE-SEC |
$39,934 |
Bunge Global Markets, Inc. |
Bunge |
agribusiness |
2011 |
CFTC |
$550,000 |
Buraness Management, LLC |
|
|
2011 |
MO-SEC |
$14,827 |
Burke, Lawton, Brewer & Burke |
|
|
2000 |
TX-SEC |
$7,500 |
Business & Financial Advisors, Inc. |
|
|
2001 |
SEC |
$128,817 |
Business Development Corporation of America |
|
|
2016 |
OR-FIN |
$5,000 |
Butler Classic Homes, LLC et al. |
|
|
2009 |
MD-SEC |
$675,000 |
Butler Freeman Tally Financial Group LLC |
|
|
2007 |
TX-SEC |
$20,000 |
Butler, Wick & Co., Inc. |
|
|
2004 |
MO-SEC |
$11,600 |
Butterworth Advisory Services and Senior Advisory Services |
|
|
2006 |
AZ-SEC |
$285,000 |
Buttonwood Tree Management, LLC |
|
|
2018 |
CA-DFPI |
$50,223 |
Buy Car Notes.com Inc. et al. |
|
|
2012 |
OK-SEC |
$45,000 |
bVisual, S.A. and bVisual Group, Ltd. |
|
|
2010 |
WA-FIN |
$16,000 |
C & C Franchising, Inc. d/b/a Jani-King of Hampton Roads |
|
|
2015 |
VA-SEC |
$29,000 |
C & D MANAGEMENT COMPANY |
|
|
2008 |
VA-SEC |
$15,000 |
C & R Financial, Inc. |
|
|
2011 |
CFTC |
$5,350,000 |
C&C Capital, LLC |
|
|
2010 |
ID-SEC |
$15,000 |
C-Street Financial Group et al. |
|
|
2011 |
AZ-SEC |
$874,260 |
C.J.M. Planning Corp. |
|
|
2002 |
FL-OFR |
$5,000 |
C.M.A.C International, Inc. |
|
|
2013 |
CA-DFPI |
$195,993 |
C22 Capital, Inc. |
|
|
2016 |
IL-SEC |
$10,000 |
CAA General Partnership |
|
|
2010 |
AZ-SEC |
$2,929,858 |
Cabildo Capital, LLC |
|
|
2019 |
MD-SEC |
$10,000 |
CAC Capital Corporation |
|
|
2006 |
VA-SEC |
$15,000 |
Cache Private Capital Diversified Fund LLC |
|
|
2017 |
ID-SEC |
$25,000 |
Cadaret and Grant & Co., Inc. |
|
|
2017 |
SEC |
$3,048,000 |
Cadaret Grant & Co. Inc. |
Atria Wealth Solutions |
financial services |
2019 |
PA-BKG |
$90,000 |