Home / Firms Firms named in more than one matter 41 companies are named as respondents in 2 or more separate matters recorded in this library. Each has a page listing its matters with the regulator, status and money as the records give them. Being named is not a finding.
Companies are matched by name only. Several records of one scheme count as one matter. Related entities, such as
a bank and its securities arm, have separate pages and are not merged. Individuals have no pages here.
By regulator: All · CFTC (20) · FCA (7) · OSC (2) · SEC (27) All firms Firms with a page, in alphabetical order Firm Matters Years Regulators AMG Energy, LLC 2 2016-2017 SEC Arcturus Corporation 2 2016-2017 SEC Aschere Energy, LLC 2 2016-2017 SEC The Bank of Nova Scotia 2 2018-2020 CFTC Barclays Bank PLC 2 2015 CFTC, FCA Belvedere Trading LLC 2 2019 CFTC Black Hawk Funding, Inc. 2 2024-2026 SEC BNP Paribas Securities Corp. 2 2018-2020 CFTC, SEC BTIG, LLC 2 2021-2022 SEC Capital Financial Media LLC 2 2019-2023 SEC Citibank N.A. 4 2014-2018 CFTC, FCA, SEC Citigroup Global Markets Inc. 4 2015-2018 CFTC, SEC Classic Energy LLC 2 2019-2021 CFTC Cormark Securities Inc. 2 2020-2022 OSC, SEC Deerfield Management Company, L.P. 2 2013-2017 SEC Deutsche Bank Securities Inc. 4 2016-2020 CFTC, SEC Deutsche Bank AG 2 2015-2018 CFTC, FCA Edge Financial Technologies 2 2018-2020 CFTC Elite Stock Research, Inc. 2 2017-2018 SEC Empire Stock Transfer, Inc. 2 2014-2016 SEC Glencore Ltd. 2 2018-2022 CFTC Goldman, Sachs & Co. 2 2016 CFTC, SEC HSBC Bank plc 2 2014 CFTC, FCA J.P. Morgan Securities LLC 3 2020-2021 CFTC, SEC JPMorgan Chase Bank 5 2013-2020 CFTC, FCA List Data Solutions LLC 2 2019-2023 SEC Logista Advisors LLC 2 2017-2023 CFTC Mitsubishi International Corporation 2 2019 CFTC Morgan Stanley & Co. LLC 2 2020-2024 SEC New York Stock Exchange LLC 2 2014-2018 SEC NYSE Arca, Inc. 2 2014-2018 SEC R. Thomas & Co. LLC 2 2016-2017 SEC Royal Bank of Canada 2 2014-2019 CFTC, OSC The Royal Bank of Scotland plc 4 2013-2017 CFTC, FCA Sabby Management LLC 2 2015-2023 SEC Success Holding Group International, Inc. 2 2017 SEC UBS AG 3 2014-2018 CFTC, FCA War Chest Capital Partners LLC 2 2013-2015 SEC Wedbush Securities Inc. 3 2014-2021 SEC Wilson-Davis & Company, Inc. 2 2016-2019 SEC The Yunju Trust 2 2016-2017 SEC
SEC AMG Energy, LLC (2 of 2 matters involve SEC) Arcturus Corporation (2 of 2 matters involve SEC) Aschere Energy, LLC (2 of 2 matters involve SEC) Black Hawk Funding, Inc. (2 of 2 matters involve SEC) BNP Paribas Securities Corp. (1 of 2 matters involve SEC) BTIG, LLC (2 of 2 matters involve SEC) Capital Financial Media LLC (2 of 2 matters involve SEC) Citibank N.A. (1 of 4 matters involve SEC) Citigroup Global Markets Inc. (3 of 4 matters involve SEC) Cormark Securities Inc. (1 of 2 matters involve SEC) Deerfield Management Company, L.P. (2 of 2 matters involve SEC) Deutsche Bank Securities Inc. (1 of 4 matters involve SEC) Elite Stock Research, Inc. (2 of 2 matters involve SEC) Empire Stock Transfer, Inc. (2 of 2 matters involve SEC) Goldman, Sachs & Co. (1 of 2 matters involve SEC) J.P. Morgan Securities LLC (2 of 3 matters involve SEC) List Data Solutions LLC (2 of 2 matters involve SEC) Morgan Stanley & Co. LLC (2 of 2 matters involve SEC) New York Stock Exchange LLC (2 of 2 matters involve SEC) NYSE Arca, Inc. (2 of 2 matters involve SEC) R. Thomas & Co. LLC (2 of 2 matters involve SEC) Sabby Management LLC (2 of 2 matters involve SEC) Success Holding Group International, Inc. (2 of 2 matters involve SEC) War Chest Capital Partners LLC (2 of 2 matters involve SEC) Wedbush Securities Inc. (3 of 3 matters involve SEC) Wilson-Davis & Company, Inc. (2 of 2 matters involve SEC) The Yunju Trust (2 of 2 matters involve SEC) Back to the full list