| Advantage Capital Corporation | | | investor protection violation | 2009 | $5,000 |
| Financial West Group | | | investor protection violation | 2009 | $5,000 |
| GunnAllen Financial, Inc. | | | investor protection violation | 2009 | $6,000 |
| First Midwest Securities, Inc. | | | investor protection violation | 2009 | $7,000 |
| Stephen L. Falk & Associates, Inc. | | | investor protection violation | 2009 | $7,500 |
| Spelman & Co. | | | investor protection violation | 2009 | $10,000 |
| Tejas Securities Group, Inc. | | | investor protection violation | 2005 | $10,000 |
| UBS International Inc. | UBS | financial services | investor protection violation | 2005 | $10,000 |
| Mid-Atlantic Capital Corporation | | | investor protection violation | 2004 | $10,000 |
| Options Trading Associates, LLC | | | investor protection violation | 2004 | $10,000 |
| Transcend Capital, LP | | | investor protection violation | 2004 | $10,000 |
| UBS Securities, L.L.C. | UBS | financial services | investor protection violation | 2004 | $10,000 |
| Gerard Klauer Mattison & Co., Inc. | | | investor protection violation | 2001 | $10,000 |
| BancBoston Robertson Stephens | | | investor protection violation | 2001 | $10,000 |
| J.P. Morgan Securities, Inc. | JPMorgan Chase | financial services | investor protection violation | 2001 | $10,000 |
| Spear, Leeds & Kellogg | Goldman Sachs | financial services | investor protection violation | 2001 | $10,000 |
| Chase Securities, Inc. | JPMorgan Chase | financial services | investor protection violation | 2001 | $10,000 |
| Ramius Securities LLC | | | investor protection violation | 2001 | $10,000 |
| Prudential Securities, Inc. | Wells Fargo | financial services | investor protection violation | 2001 | $10,000 |
| Index Securities, LLC | | | investor protection violation | 2004 | $11,000 |
| BNY Brokerage, Inc. | | | investor protection violation | 2004 | $12,000 |
| Schwab Capital Markets | UBS | financial services | investor protection violation | 2001 | $12,000 |
| Doyle, Miles & Co., L.L.C. | | | investor protection violation | 2004 | $12,500 |
| Quantlab Securities, L.P. | | | investor protection violation | 2004 | $12,500 |
| LaSalle St. Securities, L.L.C. | | | investor protection violation | 2000 | $13,000 |
| Access Securities, Inc. | | | investor protection violation | 2001 | $14,000 |
| Torrey Pines Securities, Inc. | | | investor protection violation | 2001 | $14,000 |
| FSC Securities Corporation | | | investor protection violation | 2009 | $15,000 |
| Lincoln Investment Planning, Inc. | | | investor protection violation | 2009 | $15,000 |
| Delta Asset Management Company, L.L.C. | | | investor protection violation | 2004 | $15,000 |
| Deutsche Bank Securities, Inc. | Deutsche Bank | financial services | investor protection violation | 2004 | $15,000 |
| Merrill Lynch, Pierce, Fenner & Smith, Inc. | Bank of America | financial services | investor protection violation | 2001 | $15,000 |
| Penson Financial Services, Inc. | | | investor protection violation | 2001 | $15,000 |
| Allmerica Investments, Inc. | | | investor protection violation | 2001 | $15,000 |
| Scottrade, Inc. | Charles Schwab Corp. | financial services | investor protection violation | 2004 | $16,000 |
| Prudential Equity Group, LLC | Prudential Financial | financial services | investor protection violation | 2004 | $17,306 |
| Donnelly & Co., Inc. | | | investor protection violation | 2000 | $17,500 |
| Herzog, Heine, Geduld, Inc. | | | investor protection violation | 2001 | $18,000 |
| Aegis Capital Corp. | | | investor protection violation | 2001 | $19,000 |
| Gary Goldberg & Co., Inc | | | investor protection violation | 2009 | $19,500 |
| Olympus Securities, LLC | | | investor protection violation | 2010 | $20,000 |
| Pulse Trading, Inc. | | | investor protection violation | 2004 | $20,000 |
| Windsor Capital Advisors, Inc. | | | investor protection violation | 2001 | $20,000 |
| Prudential Securities Incorporated | Wells Fargo | financial services | investor protection violation | 2001 | $20,000 |
| Pershing Trading Company, L.P. | | | investor protection violation | 2001 | $20,000 |
| ING Barings LLC | | | investor protection violation | 2001 | $20,000 |
| CyBerBroker, Inc. | | | investor protection violation | 2001 | $20,000 |
| Summit Trading, Inc. | | | investor protection violation | 2001 | $20,000 |
| E-TRADE Securities, Inc. | Morgan Stanley | financial services | investor protection violation | 2000 | $20,000 |
| E-TRADE Securities, Inc. | Morgan Stanley | financial services | investor protection violation | 2000 | $20,000 |
| Newbridge Securities Corporation | | | investor protection violation | 2011 | $25,000 |
| Equity Station, Inc. | | | investor protection violation | 2010 | $25,000 |
| Investors Capital Corp. | | | investor protection violation | 2009 | $25,000 |
| ProEquities, Inc. | Dai-ichi Life | financial services | investor protection violation | 2009 | $25,000 |
| National Securities Corporation | | | investor protection violation | 2009 | $25,000 |
| Dalton Kent Securities Group, Inc. | | | investor protection violation | 2001 | $25,000 |
| Credit Suisse First Boston Corporation | UBS | financial services | investor protection violation | 2001 | $25,000 |
| Lutheran Brotherhood Securities Corp. | | | investor protection violation | 2001 | $25,000 |
| 1-800DAYTRADE.COM, Inc. | | | investor protection violation | 2000 | $25,000 |
| Edward Jones | Jones Financial | financial services | investor protection violation | 2004 | $25,181 |
| Choice Investments, Inc. | | | investor protection violation | 2000 | $27,000 |
| vFinance Investments, Inc. | | | investor protection violation | 2009 | $27,500 |
| BOSC, Inc. | | | investor protection violation | 2005 | $30,000 |
| Pershing LLC | | | investor protection violation | 2005 | $30,000 |
| Prager, Sealy & Co., LLC | | | investor protection violation | 2005 | $30,000 |
| National Financial Services, L.L.C. | | | investor protection violation | 2001 | $30,000 |
| Datek Online Brokerage Services, LLC | | | investor protection violation | 2001 | $30,000 |
| Brecek & Young Advisors, Inc. | | | investor protection violation | 2004 | $31,224 |
| Chase Investment Services Corp. | JPMorgan Chase | financial services | investor protection violation | 2009 | $32,500 |
| First Union Brokerage Services, Inc. | Wells Fargo | financial services | investor protection violation | 2001 | $32,500 |
| David Lerner Associates, Inc. | | | investor protection violation | 2004 | $32,711 |
| Carlin Equities Corporation | | | investor protection violation | 2004 | $35,000 |
| FutureTrade Securities, L.L.C | | | investor protection violation | 2004 | $35,000 |
| Mutual Service Corporation, Inc. | | | investor protection violation | 2001 | $35,000 |
| Cornerstone Securities Corporation | | | investor protection violation | 2001 | $35,000 |
| Southwest Securities, Inc. | Hilltop Holdings | financial services | investor protection violation | 2004 | $36,971 |
| Addison Securities, Inc. | | | investor protection violation | 2000 | $37,500 |
| Morgan Stanley DW Inc. | Morgan Stanley | financial services | investor protection violation | 2004 | $38,312 |
| Wachovia Securities, LLC. | Wells Fargo | financial services | investor protection violation | 2004 | $39,486 |
| Kirkpatrick, Pettis, Smith, Polian Inc. | | | investor protection violation | 2004 | $39,935 |
| Alpine Securities Corporation | | | investor protection violation | 2010 | $40,000 |
| CIBC World Markets Corp. | Canadian Imperial Bank of Commerce | financial services | investor protection violation | 2005 | $40,000 |
| Emmet & Co., Inc. | | | investor protection violation | 2005 | $40,000 |
| Loop Capital Markets, LLC | | | investor protection violation | 2005 | $40,000 |
| Popular Securities, Inc. | | | investor protection violation | 2005 | $40,000 |
| Sterling Financial Investment Group | | | investor protection violation | 2002 | $40,000 |
| Fleet Securities, Inc. | | | investor protection violation | 2001 | $40,000 |
| Herzog, Heine, Geduld, Inc. | | | investor protection violation | 2001 | $40,000 |
| Banc of America Securities LLC | Bank of America | financial services | investor protection violation | 2001 | $40,000 |
| Askar Corporation | | | investor protection violation | 2011 | $45,000 |
| Fox & Company Investments Inc. | | | investor protection violation | 2009 | $45,000 |
| PNC Capital Markets LLC | PNC Financial Services | financial services | investor protection violation | 2016 | $50,000 |
| SIGMA Financial Corporation | | | investor protection violation | 2009 | $50,000 |
| Intersecurities, Inc. | | | investor protection violation | 2009 | $50,000 |
| Friedman, Billings, Ramsey & Co., Inc. | Arlington Asset Investment Corp. | financial services | investor protection violation | 2008 | $50,000 |
| Jefferies & Company, Inc. | Jefferies Financial Group | diversified | investor protection violation | 2008 | $50,000 |
| JMP Securities, LLC | | | investor protection violation | 2008 | $50,000 |
| Pacific Crest Securities, Inc. | | | investor protection violation | 2008 | $50,000 |
| McLaughlin, Piven and Vogel Securities Inc. | | | investor protection violation | 2006 | $50,000 |
| Credit Suisse First Boston, L.L.C. | UBS | financial services | investor protection violation | 2004 | $50,000 |
| Fleet Securities, Inc. | | | investor protection violation | 2001 | $50,000 |
