| Foreign Fund (a/k/a First Bank) | | | investor protection violation | 2008 | $2,432,486 |
| Rosenthal Collins Group, LLC | | | investor protection violation | 2008 | $310,000 |
| Philadelphia Alternative Asset Management Co. | | | investor protection violation | 2008 | $8,800,000 |
| First Lexington Group | | | investor protection violation | 2008 | $2,466,063 |
| Alaron Trading Corporation | | | investor protection violation | 2008 | $299,000 |
| E-Metal Merchants, Inc. | | | investor protection violation | 2008 | $9,042,241 |
| Forefront Investment Corporation | | | investor protection violation | 2008 | $260,000 |
| Aaristo Commodities and Futures DMCC | | | investor protection violation | 2008 | $100,000 |
| Rusfeldt Investments LLP | | | investor protection violation | 2008 | $2,889,071 |
| Executive Commodity Corp. | | | investor protection violation | 2008 | $23,910,000 |
| Galaxy Resources 2000, LLC | | | investor protection violation | 2008 | $1,435,470 |
| Paradigm Capital Management LLC | | | data submission deficiencies | 2008 | $75,000 |
| Supama International DMCC | | | investor protection violation | 2008 | $164,680 |
| MF Global Inc. | | | investor protection violation | 2007 | $2,000,000 |
| Commercial Hedge Services, Inc. | | | investor protection violation | 2007 | $325,000 |
| FxTrade Financial, LLC | | | investor protection violation | 2007 | $3,466,000 |
| Millenium Trading Group, LLC | | | investor protection violation | 2007 | $3,861,516 |
| Worldwide Clearing, LLC | | | investor protection violation | 2007 | $3,692,516 |
| Cromwell Financial Services, Inc. | | | investor protection violation | 2007 | $18,400,000 |
| International Currency Exchange, Inc. | | | investor protection violation | 2007 | $1,650,000 |
| Russell Investments Ireland Limited and Russell Investments Cayman Ltd. | | | data submission deficiencies | 2007 | $120,000 |
| Banque CIAL | | | investor protection violation | 2007 | $80,000 |
| Longboat Global Funds Management | | | investor protection violation | 2007 | $10,317,183 |
| New York Options Exchange, Tahoe Futures, International Energy Exchange, Vitol Capital Management,New York Petroleum Option Exchange, HPR Commodities, | | | investor protection violation | 2007 | $15,524,957 |
| Worldwide Forex, Inc. and Worldwide Commodity Corp. | | | investor protection violation | 2007 | $4,200,000 |
| American Energy Exchange and York Commodities | | | investor protection violation | 2007 | $3,652,788 |
| Liberty Financial Trading Corp., Inc. and Liberty Real Assets Investment Corporation | | | investor protection violation | 2007 | $16,403,000 |
| Century Maxim Fund and AJR Capital | | | investor protection violation | 2007 | $22,500,000 |
| Commodity Investment Group Inc., International Commodity Clearing LLC and National Commodities Corporation Inc. | | | investor protection violation | 2007 | $21,819,785 |
| Concord Energy, LLC | | | price-fixing or anti-competitive practices | 2007 | $800,000 |
| Pioneer Futures Inc. | | | data submission deficiencies | 2007 | $25,000 |
| Man Financial Inc. | | | investor protection violation | 2007 | $316,900 |
| Premium Income Corp. | | | investor protection violation | 2007 | $123,000,000 |
| Acceleration Capital, LLC | | | investor protection violation | 2007 | $218,000 |
| Rosenthal Collins Group | | | data submission deficiencies | 2007 | $25,000 |
| Falco & Stevens, Inc. | | | investor protection violation | 2007 | $4,724,607 |
| Emerald Worldwide Holdings, Inc. | | | investor protection violation | 2006 | $3,433,721 |
| Harrington Advisory Services SL, Richmond Royce Advisory Services SLU, and Stratford Advisory Services | | | investor protection violation | 2006 | $19,555,041 |
| Worldwide Commodity Corporation and South Coast Commodities, Inc. | | | investor protection violation | 2006 | $14,700,000 |
| Axess Trading Co., Inc. | | | investor protection violation | 2006 | $569,437 |
| International Investments Holdings Corp. | | | investor protection violation | 2006 | $12,120,000 |
| Risk Capital Trading Group, Inc | | | investor protection violation | 2006 | $22,000,000 |
| COES FX Clearing, Inc. | | | investor protection violation | 2006 | $246,601 |
| Nexgen Software Systems, Inc. | | | investor protection violation | 2006 | $20,000 |
| Wall Street Underground, Inc. | | | investor protection violation | 2006 | $9,500,000 |
| First American Investment Services, Inc. | | | investor protection violation | 2006 | $8,983,388 |
| Veras Investment Partners, LLC | | | investor protection violation | 2005 | $500,000 |
| Trade Exchange Network Limited | | | investor protection violation | 2005 | $150,000 |
| Armajaro Trading Limited | | | investor protection violation | 2005 | $35,000 |
| Warenhandelsgesellschaft Corinth, m.b.H. | | | investor protection violation | 2005 | $25,000 |
| Allegheny Gulf Investments, Inc | | | investor protection violation | 2005 | $440,000 |
| Hencorp Becstone Futures LC | | | investor protection violation | 2005 | $50,000 |
| E Net Speculation Ltd. | | | investor protection violation | 2004 | $50,000 |
| Fimat International Banque SA | | | investor protection violation | 2004 | $25,000 |
| Refco Overseas Limited | | | investor protection violation | 2004 | $25,000 |
| World Banks Foreign Currency Traders, Inc. and International Investors Trading Group, Inc. | | | investor protection violation | 2004 | $7,520,580 |
| Coral Energy Resources, L.P. | | | data submission deficiencies | 2004 | $30,000,000 |
| Enron Corp. | | | price-fixing or anti-competitive practices | 2004 | $35,000,000 |
| United Energy, Inc. | | | investor protection violation | 2004 | $20,000 |
| Western Gas Resources, Inc. | | | investor protection violation | 2004 | $7,000,000 |
| International Financial Services (New York) LLC | | | investor protection violation | 2004 | $100,000,000 |
| CMS Marketing Services & Trading and CMS Field Services | | | price-fixing or anti-competitive practices | 2003 | $16,000,000 |
| Boston Trading Advisors, LLC | | | investor protection violation | 2003 | $10,000 |
| Enserco Energy, Inc. | | | price-fixing or anti-competitive practices | 2003 | $3,000,000 |
| WD Energy Services, Inc | | | price-fixing or anti-competitive practices | 2003 | $20,000,000 |
| Carr Futures Inc | | | data submission deficiencies | 2003 | $75,000 |
| Currency Trading Systems | | | investor protection violation | 2001 | $1,521,000 |
| CTS Financial Publishing, Inc. | | | consumer protection violation | 2001 | $220,000 |
| Peregrine Financial Group, Inc. | | | investor protection violation | 2000 | $90,000 |
| Farmers Cooperative Company | | | investor protection violation | 2000 | $100,000 |
| Sogemin Metals Inc. | | | investor protection violation | 2000 | $500,000 |
| First Options of Chicago, Inc. | | | investor protection violation | 2000 | $163,000 |
| DeBrink Trading Fund I, LLC | | | fraud | 2016 | $910,000 |
| International Monetary Metals, Inc. | | | investor protection violation | 2016 | $9,800,000 |
| Cindium Inc. and Einstein Exchange Group Inc. | | | investor protection violation | 2016 | $601,000 |
| My Global Leverage, LLC | | | investor protection violation | 2016 | $1,465,528 |
| James A. Shepherd Inc. | | | fraud | 2016 | $8,060,810 |
| JSC VTB Bank | | | investor protection violation | 2016 | $5,000,000 |
| RNS Holdings LP | | | data submission deficiencies | 2016 | $389,032 |
| Advantage Futures LLC | | | investor protection violation | 2016 | $1,500,000 |
| Advanced Trading Workshop, Inc. | | | investor protection violation | 2016 | $940,000 |
| Angus Partners LLC | | | investor protection violation | 2016 | $250,000 |
| The Yorkshire Group, Inc. | | | investor protection violation | 2016 | $1,569,801 |
| IB Capital FX, LLC | | | investor protection violation | 2016 | $35,420,000 |
| Chicago Index Partners, L.P. (CIP) and Wilkinson Financial Opportunity Fund, L.P. | | | fraud | 2016 | $21,800,000 |
| Kering Capital Ltd. | | | fraud | 2016 | $1,200,000 |
| Convergent Wealth Advisors LLC | | | fraud | 2016 | $800,000 |
| 3Red Trading LLC | | | fraud | 2016 | $2,500,000 |
| EJS Capital Management | | | fraud | 2017 | $11,600,000 |
| CNCGC Hong Kong Ltd | | | data submission deficiencies | 2017 | $150,000 |
| Vision Financial Partners, LLC | | | investor protection violation | 2017 | $6,527,130 |
| Oden Capital Management, LLC | | | investor protection violation | 2017 | $100,000 |
| Guardian Asset Group, LLC | | | investor protection violation | 2017 | $1,086,033 |
| MakeYourFuture, LLC | | | investor protection violation | 2017 | $1,207,294 |
| Billionaire Investor Group, The Toole Group Inc., and?Catalyst Traders LLC | | | investor protection violation | 2017 | $493,141 |
| Assurance Capital Management, LLC | | | investor protection violation | 2017 | $1,969,165 |
| Rosenthal Collins Capital Markets, LLC | | | investor protection violation | 2017 | $5,000,000 |
| Marbury Advisors Inc. | | | investor protection violation | 2017 | $4,441,652 |
| Huafu HK Co. Ltd. | | | investor protection violation | 2017 | $225,000 |
| Wall Street Pirate Management, LLC | | | investor protection violation | 2017 | $125,000 |
| McVean Trading & Investments, LLC | | | investor protection violation | 2017 | $1,500,000 |
