| Langley Partners, North Olmsted Partners and Quantico Partners | | | investor protection violation | 2006 | $13,517,928 |
| Vector Medical Technologies, Inc. | | | investor protection violation | 2006 | $14,208,718 |
| Venture Capital Holdings LLC | | | investor protection violation | 2006 | $4,808,953 |
| Veras Capital Master Fund, VEY Partners Master Fund and Veras Investment Partners, LLC | | | investor protection violation | 2005 | $36,200,488 |
| Emission Controls Corporation | | | fraud | 2005 | $343,333 |
| Millennium Partners, L.P., Millennium Management, L.L.C., Millennium International Management | | | investor protection violation | 2005 | $148,000,000 |
| House Asset Management, L.L.C. and House Edge, L.P. | | | investor protection violation | 2005 | $1,375,767 |
| Zomax Inc. | | | insider trading | 2005 | $2,000,000 |
| Diagnostic Products Corporation | | | Foreign Corrupt Practices Act | 2005 | $2,788,622 |
| DB Investment Managers, Inc. | | | investor protection violation | 2005 | $33,159 |
| Galleon Management, L.P. | | | investor protection violation | 2005 | $2,020,450 |
| Stracq, Inc. | | | investor protection violation | 2005 | $660,000 |
| Capital Concept Marketing, Inc. | | | investor protection violation | 2005 | $580,000 |
| Time Warner Inc. | | | accounting fraud or deficiencies | 2005 | $300,000,000 |
| The Hartcourt Companies, Inc. | | | fraud | 2005 | $832,598 |
| CIBC Mellon Trust Company | | | fraud | 2005 | $6,030,043 |
| GE InVision, Inc. | | | Foreign Corrupt Practices Act | 2005 | $617,703 |
| Herman's World of Sports, Inc. | | | investor protection violation | 2005 | $663,685 |
| PanaMed Corp. | | | investor protection violation | 2004 | $5,000 |
| First Command Financial Planning, Inc. | | | investor protection violation | 2004 | $12,000,000 |
| Fremont Investment Advisors | | | investor protection violation | 2004 | $4,146,000 |
| Beacon Hill Asset Management, LLC | | | investor protection violation | 2004 | $600,000 |
| RS Investment Management L.P. | | | investor protection violation | 2004 | $25,000,000 |
| A.C.L.N. Ltd. and Scandinavian Car Carriers | | | investor protection violation | 2004 | $27,000,000 |
| Bridgeway Capital Management | | | investor protection violation | 2004 | $5,116,464 |
| Digital Exchange Systems, Inc. | | | accounting fraud or deficiencies | 2004 | $100,000 |
| Kemps LLC, f/k/a Marigold Foods LLC | | | accounting fraud or deficiencies | 2004 | $150,000 |
| National Institute Companies of America, Inc. | | | investor protection violation | 2004 | $1,600,000 |
| ACI Inc. | | | investor protection violation | 2004 | $7,756,750 |
| Van Wagoner Capital Management, Inc. | | | investor protection violation | 2004 | $800,000 |
| Adams Harkness, Inc. f/k/a Adams Harkness & Hill, Inc. | | | investor protection violation | 2004 | $575,000 |
| Needham & Company, Inc. | | | investor protection violation | 2004 | $700,000 |
| One Touch Marketing, Inc. | | | fraud | 2004 | $1,608,102 |
| Inviva Inc. | | | investor protection violation | 2004 | $5,000,000 |
| Doeren Mayhew & Co. P.C. | | | accounting fraud or deficiencies | 2004 | $115,126 |
| World Class Limousines, Inc. and 1-800-GET-LIMO, Inc. | | | investor protection violation | 2004 | $1,522,500 |
| Performance Specialist Group LLC | | | investor protection violation | 2004 | $2,171,932 |
| SIG Specialists, Inc. | | | investor protection violation | 2004 | $3,033,589 |
| Global Telecom Services, L.L.C. d/b/a Medical Disposal Devices | | | investor protection violation | 2004 | $1,431,369 |
| Measurement Specialties, Inc. | | | accounting fraud or deficiencies | 2004 | $1,000,000 |
| Gemstar-TV Guide International, Inc. | | | accounting fraud or deficiencies | 2004 | $10,000,000 |
| Pilgrim Baxter & Associates, Ltd. | | | investor protection violation | 2004 | $90,000,000 |
| i2 Technologies, Inc. | | | accounting fraud or deficiencies | 2004 | $10,000,000 |
| Del Global Technologies Corp., Inc. | | | accounting fraud or deficiencies | 2004 | $400,000 |
| LNB Bancorp, Inc. | | | investor protection violation | 2004 | $100,000 |
| National Investment Enterprises, Inc. | | | fraud | 2004 | $2,602,490 |
| CDH & Affiliates, Inc. | | | investor protection violation | 2004 | $4,317,616 |
| Metropolis Holdings, LLC | | | fraud | 2004 | $3,320,000 |
| Security Trust Company, N.A. | | | investor protection violation | 2004 | $1,000,000 |
| Bear Wagner Specialists LLC | | | investor protection violation | 2004 | $16,259,446 |
| Fleet Specialist, Inc. | | | investor protection violation | 2004 | $59,097,469 |
| LaBranche & Co., LLC | | | investor protection violation | 2004 | $63,518,760 |
| Van der Moolen Specialists USA, LLC | | | investor protection violation | 2004 | $57,675,104 |
| Ace Payday Plus, LLC | | | investor protection violation | 2004 | $1,842,133 |
| H.D. Vest Investment Securities, Inc. | | | investor protection violation | 2004 | $725,216 |
| Linsco/Private Ledger Corp. | | | investor protection violation | 2004 | $2,232,805 |
| Premier Marketing and Investments, Inc. | | | investor protection violation | 2003 | $4,497,451 |
| Gardere Wynne Sewell LLP | | | accounting fraud or deficiencies | 2003 | $2,000,000 |
| Lehman Brothers, Inc. | | | investor protection violation | 2003 | $2,500,000 |
| Nutrition Superstores.Com, Inc. and Advanced Wound Care, Inc. | | | investor protection violation | 2003 | $10,500,000 |
| The Gaming Factory, Inc. | | | investor protection violation | 2003 | $2,100,102 |
| Stratcomm Media Ltd. | | | investor protection violation | 2003 | $45,400,000 |
| EyeCashNetworks, Inc. and Alliance Equities, Inc. | | | investor protection violation | 2003 | $688,230 |
| Lehman Brothers Inc. | | | investor protection violation | 2003 | $80,000,000 |
| North American Medical Products, Inc. | | | investor protection violation | 2003 | $120,000 |
| TrendsGroup International, Inc. | | | investor protection violation | 2003 | $445,691 |
| Rhino Advisors Inc. | | | investor protection violation | 2003 | $1,000,000 |
| Africa Gemstone Corporation | | | investor protection violation | 2003 | $242,840 |
| Robertson Stephens Inc. | | | investor protection violation | 2003 | $33,000,000 |
| Syncor International Corporation | | | Foreign Corrupt Practices Act | 2002 | $500,000 |
| Emsanet Internet Services, Inc. and Peter Restivo Inc. d/b/a U.S. Funding | | | investor protection violation | 2002 | $4,460,634 |
| Anamar Communications, Inc. | | | investor protection violation | 2002 | $136,917 |
| Basic Capital Management, Inc. | | | investor protection violation | 2002 | $850,000 |
| Tradamax Group, Inc. | | | fraud | 2002 | $149,408 |
| Texon Energy Corp. and Lonestar Petroleum Corp. | | | investor protection violation | 2002 | $1,268,253 |
| W.J. Nolan & Co., Inc. | | | investor protection violation | 2002 | $192,028 |
| Moret Ernst & Young Accountants | | | accounting fraud or deficiencies | 2002 | $400,000 |
| Gardere Wynne Sewell LLP | | | data submission deficiencies | 2002 | $1,200,000 |
| Advance Local Development Corp. | | | investor protection violation | 2002 | $9,509,736 |
| Commercial Express, LLC and Progressive Financial, Inc. | | | investor protection violation | 2002 | $23,032,869 |
| Big Country AGS, Inc. d/b/a AGS, Inc. | | | investor protection violation | 2002 | $242,840 |
| iCapital Markets LLC | | | investor protection violation | 2002 | $6,300,000 |
| Financial Asset Management, Inc. | | | accounting fraud or deficiencies | 2002 | $25,000 |
| TLC Investments & Trade Co. | | | investor protection violation | 2001 | $106,600,000 |
| Commonwealth Communications Group | | | investor protection violation | 2001 | $716,516 |
| 21st Century Satellite Communications, Inc. | | | investor protection violation | 2001 | $6,110,736 |
| Shreveport Wireless Cable Television Partnership, Complete Communications Corporation, Champion Communications Corporation, B.R. Cable Communications | | | investor protection violation | 2001 | $41,727,403 |
| Milan Capital Group, Inc. and Investment Offices d/b/a AC Financial, Inc. | | | investor protection violation | 2001 | $9,395,066 |
| Bank of Bermuda | | | fraud | 2001 | $67,500,000 |
| World Financial & Investment Co., Inc. | | | investor protection violation | 2001 | $175,000 |
| Arthur Andersen LLP | | | accounting fraud or deficiencies | 2001 | $7,000,000 |
| The Globus Group | | | investor protection violation | 2001 | $300,000 |
| Pacific Air Transport | | | investor protection violation | 2001 | $1,364,692 |
| WinterHawk West Indies, Ltd., Funders Marketing Company, Inc., FMCI Trust, Fortune Investments, Ltd., and TREDS Financial Trust | | | investor protection violation | 2001 | $18,864,116 |
| One Touch Marketing, Inc. | | | investor protection violation | 2001 | $118,387 |
| Gateway Technologies, Inc. and The Cheyenne Holding Corp. | | | fraud | 2001 | $5,083,378 |
| Sunset Investment Group, Inc. | | | investor protection violation | 2001 | $70,000 |
| PinkMonkey.com, Inc. | | | fraud | 2001 | $20,000 |
| Future Strategies Srl a/k/a Future Strategies International | | | investor protection violation | 2001 | $1,500,073 |
| TAC International Ltd. | | | fraud | 2001 | $11,548,454 |
| Yes Entertainment, LLC | | | investor protection violation | 2000 | $14,546,808 |
