Firms named in more than one matter

All firms

AMF-FR

• 3Red Trading LLC (1 of 2 matters involve AMF-FR)
• HSBC France (2 of 2 matters involve AMF-FR)
• Natixis (1 of 2 matters involve AMF-FR)

Back to the full list

CFTC

• 3Red Trading LLC (1 of 2 matters involve CFTC)
• The Bank of Nova Scotia (2 of 2 matters involve CFTC)
• Barclays Bank PLC (2 of 2 matters involve CFTC)
• BNP Paribas Securities Corp. (1 of 2 matters involve CFTC)
• Citibank N.A. (2 of 4 matters involve CFTC)
• Citigroup Global Markets Inc. (1 of 4 matters involve CFTC)
• Classic Energy LLC (2 of 2 matters involve CFTC)
• Deutsche Bank Securities Inc. (3 of 4 matters involve CFTC)
• Deutsche Bank AG (2 of 2 matters involve CFTC)
• Edge Financial Technologies (2 of 2 matters involve CFTC)
• Glencore Ltd. (2 of 2 matters involve CFTC)
• Goldman, Sachs & Co. (1 of 2 matters involve CFTC)
• HSBC Bank plc (1 of 2 matters involve CFTC)
• J.P. Morgan Securities LLC (1 of 3 matters involve CFTC)
• JPMorgan Chase Bank (4 of 5 matters involve CFTC)
• Logista Advisors LLC (2 of 2 matters involve CFTC)
• Natixis (1 of 2 matters involve CFTC)
• Royal Bank of Canada (1 of 2 matters involve CFTC)
• The Royal Bank of Scotland plc (3 of 4 matters involve CFTC)
• UBS AG (2 of 3 matters involve CFTC)

Back to the full list

FCA

• Barclays Bank PLC (1 of 2 matters involve FCA)
• Citibank N.A. (1 of 4 matters involve FCA)
• Deutsche Bank AG (1 of 2 matters involve FCA)
• HSBC Bank plc (1 of 2 matters involve FCA)
• JPMorgan Chase Bank (1 of 5 matters involve FCA)
• The Royal Bank of Scotland plc (2 of 4 matters involve FCA)
• UBS AG (1 of 3 matters involve FCA)

Back to the full list

OSC

• Cormark Securities Inc. (1 of 2 matters involve OSC)
• Royal Bank of Canada (1 of 2 matters involve OSC)

Back to the full list

SEBI

• Aadhaar Ventures India Limited (2 of 2 matters involve SEBI)
• Aadya Commodities Pvt Ltd (2 of 2 matters involve SEBI)
• ACIL Cotton Industries Limited (2 of 2 matters involve SEBI)
• Acira Consultancy Pvt. Ltd. (2 of 2 matters involve SEBI)
• Adamina Traders Pvt. Ltd. (2 of 2 matters involve SEBI)
• Amay Spincot Pvt Ltd (2 of 2 matters involve SEBI)
• AMS Powertronic Private Limited (2 of 2 matters involve SEBI)
• Anoop Jain HUF (2 of 2 matters involve SEBI)
• Anurodh Infrastructure Ltd (3 of 3 matters involve SEBI)
• Artee Viniyoga Ltd (3 of 3 matters involve SEBI)
• Arth Udyog Limited (3 of 3 matters involve SEBI)
• Ashoka Marketing Limited (3 of 3 matters involve SEBI)
• Ashoka Viniyoga Limited (5 of 5 matters involve SEBI)
• Ashroj Credit India Private Limited (2 of 2 matters involve SEBI)
• Aster Silicates Ltd. (now Shri Aster Silicates Ltd.) (2 of 2 matters involve SEBI)
• Austral Coke and Projects Ltd (now Greenearth Resources & Projects Ltd) (2 of 2 matters involve SEBI)
• Avisha Credit Capital Private Limited (2 of 2 matters involve SEBI)
• Bharat Nidhi Limited (3 of 3 matters involve SEBI)
• Camac Commercial Company Limited (5 of 5 matters involve SEBI)
• Combine Holding Limited (5 of 5 matters involve SEBI)
• Ethan Constructions Private Limited (2 of 2 matters involve SEBI)
• Fastner Machinery Dealers Pvt Limited (3 of 3 matters involve SEBI)
• Ficus Securities Pvt. Ltd. (2 of 2 matters involve SEBI)
• Fidelity Multitrade Pvt. Ltd. (2 of 2 matters involve SEBI)
• Finquest Securities Pvt Ltd (3 of 3 matters involve SEBI)
• First Overseas Capital Limited (2 of 2 matters involve SEBI)
• Gandiv Investment Pvt. Ltd. (3 of 3 matters involve SEBI)
• Global Infratech & Finance Ltd (3 of 3 matters involve SEBI)
• Glorious Vincom Private Limited (2 of 2 matters involve SEBI)
• Goldline International Finvest Limited (4 of 4 matters involve SEBI)
• Guiness Securities Limited (2 of 2 matters involve SEBI)
• Highgrowth Vincom Private Limited (2 of 2 matters involve SEBI)
• Hridaynath Consultancy Pvt. Ltd. (2 of 2 matters involve SEBI)
• IFL Promoters Limited (2 of 2 matters involve SEBI)
• IIFL Securities Limited (2 of 2 matters involve SEBI)
• Jabeen Tradelink Private Limited (2 of 2 matters involve SEBI)
• JMD Sounds Ltd (3 of 3 matters involve SEBI)
• Mahavir Finance Limited (3 of 3 matters involve SEBI)
• Mainak Comtrade Pvt Ltd (2 of 2 matters involve SEBI)
• Marfatia Stock Broking Private Limited (2 of 2 matters involve SEBI)
• Matrix Merchandise Limited (3 of 3 matters involve SEBI)
• MBL & Co. Ltd (2 of 2 matters involve SEBI)
• National Stock Exchange of India Limited (3 of 3 matters involve SEBI)
• Nirshilp Securities Pvt Ltd (2 of 2 matters involve SEBI)
• Omaxe Limited (2 of 2 matters involve SEBI)
• OPG Securities Private Limited (2 of 2 matters involve SEBI)
• Orange Mist Productions Pvt Ltd (3 of 3 matters involve SEBI)
• Parvati Minerals Pvt Ltd (2 of 2 matters involve SEBI)
• Pasha Finance Private Limited (2 of 2 matters involve SEBI)
• Pasha Finance Pvt. Ltd. (2 of 2 matters involve SEBI)
• Pat Financial Consultant Private Limited (2 of 2 matters involve SEBI)
• Pat Financial Consultants Pvt. Ltd. (2 of 2 matters involve SEBI)
• PNB Finance and Industries Ltd (3 of 3 matters involve SEBI)
• Pranatpal Tradelink Pvt Ltd (2 of 2 matters involve SEBI)
• Punjab Mercantile & Traders Limited (4 of 4 matters involve SEBI)
• Religare Enterprises Limited (2 of 2 matters involve SEBI)
• Religare Finvest Limited (3 of 3 matters involve SEBI)
• RFL International Limited (2 of 2 matters involve SEBI)
• Robert Resources Ltd (2 of 2 matters involve SEBI)
• Roongta Rising Stock Pvt Ltd (2 of 2 matters involve SEBI)
• Sally Real Estate Pvt Ltd (2 of 2 matters involve SEBI)
• Sanmati Properties Limited (2 of 2 matters involve SEBI)
• SIC Stock and Services Pvt Ltd (2 of 2 matters involve SEBI)
• Sulabh Engineers & Services Ltd (2 of 2 matters involve SEBI)
• Suzlon Energy Limited (2 of 2 matters involve SEBI)
• Teigh Holdings Limited (2 of 2 matters involve SEBI)
• Texmo Pipes and Products Ltd (2 of 2 matters involve SEBI)
• TM Investment Limited (2 of 2 matters involve SEBI)
• Unisys Softwares & Holding Industries Ltd (2 of 2 matters involve SEBI)
• Urja Global Limited (2 of 2 matters involve SEBI)
• Zodiac Solutions (proprietor Pratipal Singh Zala) (2 of 2 matters involve SEBI)

Back to the full list

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