| Morgan Stanley | Morgan Stanley | financial services | investor protection violation | 2006 | $2,900,000 |
| Macquarie Capital (USA) Inc. | Macquarie | financial services | investor protection violation | 2015 | $2,950,000 |
| Oppenheimer & Co. Inc. | Oppenheimer Holdings | financial services | investor protection violation | 2016 | $2,966,000 |
| Wells Fargo Investments, LLC | Wells Fargo | financial services | investor protection violation | 2005 | $2,970,000 |
| Pershing LLC | | | investor protection violation | 2014 | $3,000,000 |
| Barclays Capital Inc. | Barclays | financial services | investor protection violation | 2011 | $3,000,000 |
| Merrill Lynch | Bank of America | financial services | investor protection violation | 2011 | $3,000,000 |
| Nuveen Investments, LLC | TIAA | financial services | investor protection violation | 2011 | $3,000,000 |
| Phoenix Derivatives Group, LLC | | | investor protection violation | 2010 | $3,000,000 |
| Banc of America Investment Services Inc. | Bank of America | financial services | anti-money-laundering deficiencies | 2007 | $3,000,000 |
| Wells Fargo Investments | Wells Fargo | financial services | investor protection violation | 2005 | $3,000,000 |
| Webull Financial LLC | | | investor protection violation | 2023 | $3,000,000 |
| Deutsche Bank Securities Inc. | Deutsche Bank | financial services | investor protection violation | 2016 | $3,250,000 |
| Wells Fargo Advisors, LLC | Wells Fargo | financial services | investor protection violation | 2013 | $3,250,000 |
| Wells Fargo Clearing Services, LLC and Wells Fargo Advisors Financial Network, LLC | Wells Fargo | financial services | investor protection violation | 2017 | $3,400,000 |
| Hold Brothers On-Line Investment Services, LLC | | | investor protection violation | 2012 | $3,400,000 |
| Raymond James & Associates Inc. | Raymond James Financial | financial services | investor protection violation | 2000 | $3,410,000 |
| Oppenheimer & Co. Inc. | Oppenheimer Holdings | financial services | investor protection violation | 2016 | $3,425,000 |
| RBC Capital Markets LLC and RBC Capital Markets Arbitrage S.A. | Royal Bank of Canada | financial services | investor protection violation | 2016 | $3,500,000 |
| Citigroup Global Markets, Inc. | Citigroup | financial services | investor protection violation | 2012 | $3,500,000 |
| Chase Investment Services Corporation | JPMorgan Chase | financial services | investor protection violation | 2011 | $3,600,000 |
| Linsco/Private Ledger Corp. | | | investor protection violation | 2005 | $3,602,398 |
| Stifel, Nicolaus & Company, Incorporated | Stifel Financial | financial services | investor protection violation | 2020 | $3,650,000 |
| Oppenheimer & Co. Inc. | Oppenheimer Holdings | financial services | investor protection violation | 2015 | $3,750,000 |
| Barclays Capital Inc. | Barclays | financial services | investor protection violation | 2013 | $3,750,000 |
| Fidelity Distributors Corp. et al. | Fidelity Investments | financial services | investor protection violation | 2007 | $3,750,000 |
| Yankee Financial Group, Inc. | | | investor protection violation | 2005 | $3,800,000 |
| AllianceBernstein Investment Research and Management, Inc. | Equitable Holdings | financial services | investor protection violation | 2005 | $3,984,087 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Bank of America | financial services | investor protection violation | 2019 | $4,000,000 |
| Wells Fargo Securities, LLC and Wells Fargo Prime Services, LLC | Wells Fargo | financial services | investor protection violation | 2016 | $4,000,000 |
| Deutsche Bank Securities Inc. | Deutsche Bank | financial services | investor protection violation | 2014 | $4,000,000 |
| Merrill Lynch, Pierce, Fenner & Smith Inc. | Bank of America | financial services | investor protection violation | 2014 | $4,000,000 |
| Morgan Stanley & Co., LLC | Morgan Stanley | financial services | investor protection violation | 2014 | $4,000,000 |
| Wells Fargo Securities, LLC | Wells Fargo | financial services | investor protection violation | 2014 | $4,000,000 |
| Friedman, Billings, Ramsey & Co., Inc. | Arlington Asset Investment Corp. | financial services | investor protection violation | 2006 | $4,000,000 |
| H.D. Vest Investment Services | | | investor protection violation | 2005 | $4,015,000 |
| Purshe Kaplan Sterling Investments | | | investor protection violation | 2017 | $4,150,000 |
| Metropolitan Investment Securities, Inc. | | | investor protection violation | 2003 | $4,300,000 |
| First Chicago Capital Markets, Inc. | | | investor protection violation | 2000 | $4,420,000 |
| SG Americas Securities, LLC | Societe Generale | financial services | investor protection violation | 2005 | $4,478,000 |
| Credit Suisse Securities (USA) LLC | UBS | financial services | investor protection violation | 2011 | $4,500,000 |
| Wachovia Securities | Wells Fargo | financial services | investor protection violation | 2009 | $4,500,000 |
| Oppenheimer & Co. | Oppenheimer Holdings | financial services | investor protection violation | 2008 | $4,500,000 |
| Tower Square Securities | | | investor protection violation | 2002 | $4,500,000 |
| VOYA Financial Advisors Inc. | Voya Financial | financial services | investor protection violation | 2016 | $4,550,000 |
| Oppenheimer & Co. Inc. | Oppenheimer Holdings | financial services | investor protection violation | 2019 | $4,600,000 |
| Bear, Stearns & Co. Inc. | JPMorgan Chase | financial services | investor protection violation | 2004 | $4,950,000 |
| UBS Financial Services Inc. and UBS Securities LLC | UBS | financial services | anti-money-laundering deficiencies | 2018 | $5,000,000 |
| Merrill Lynch, Pierce, Fenner & Smith, Inc. | Bank of America | financial services | investor protection violation | 2016 | $5,000,000 |
| Barclays Capital Inc. | Barclays | financial services | investor protection violation | 2014 | $5,000,000 |
| Citigroup Global Markets Inc. | Citigroup | financial services | investor protection violation | 2014 | $5,000,000 |
| Credit Suisse Securities (USA), LLC | UBS | financial services | investor protection violation | 2014 | $5,000,000 |
| Goldman, Sachs & Co. | Goldman Sachs | financial services | investor protection violation | 2014 | $5,000,000 |
| JP Morgan Securities LLC | JPMorgan Chase | financial services | investor protection violation | 2014 | $5,000,000 |
| Morgan Stanley Smith Barney LLC | Morgan Stanley | financial services | investor protection violation | 2014 | $5,000,000 |
| SunTrust Robinson Humphrey, Inc. | Truist Financial | financial services | investor protection violation | 2011 | $5,000,000 |
| American Fund Distributors | | | investor protection violation | 2008 | $5,000,000 |
| USAllianz Securities | Allianz | financial services | investor protection violation | 2006 | $5,000,000 |
| MetLife, Inc. | MetLife | financial services | investor protection violation | 2006 | $5,000,000 |
| American Funds Distributors Inc. | | | investor protection violation | 2006 | $5,000,000 |
| Merrill Lynch, Pierce, Fenner & Smith Inc. | Bank of America | financial services | investor protection violation | 2006 | $5,000,000 |
| Goldman, Sachs & Co. | Goldman Sachs | financial services | investor protection violation | 2004 | $5,000,000 |
| Deutsche Bank Securities, Inc. | Deutsche Bank | financial services | investor protection violation | 2004 | $5,000,000 |
| Miller Tabak Roberts Securities, LLC | | | investor protection violation | 2004 | $5,000,000 |
| Citigroup Global Markets Inc. | Citigroup | financial services | investor protection violation | 2004 | $5,000,000 |
| Salomon Smith Barney | Morgan Stanley | financial services | investor protection violation | 2002 | $5,000,000 |
| BofA Securities, Inc. | Bank of America | financial services | investor protection violation | 2022 | $5,000,000 |
| Deutsche Bank Securities, Inc. | Deutsche Bank | financial services | investor protection violation | 2004 | $5,290,000 |
| Industrial and Commercial Bank of China Financial Services LLC | Industrial and Commercial Bank of China | financial services | anti-money-laundering deficiencies | 2018 | $5,300,000 |
| Morgan Stanley & Co. Inc. | Morgan Stanley | financial services | investor protection violation | 2004 | $5,390,000 |
| Interactive Brokers LLC | Interactive Brokers Group | financial services | investor protection violation | 2018 | $5,500,000 |
| Jefferies & Company, Inc. | Jefferies Financial Group | diversified | investor protection violation | 2006 | $5,500,000 |
| A.G. Edwards & Sons, Inc. | Wells Fargo | financial services | investor protection violation | 2000 | $5,890,000 |
| Merrill Lynch, Pierce, Fenner & Smith Inc. | Bank of America | financial services | securities issuance or trading violation | 2018 | $5,990,530 |
| Fifth Third Securities, Inc. | Fifth Third Bancorp | financial services | investor protection violation | 2018 | $6,000,000 |
| Deutsche Bank Securities Inc. | Deutsche Bank | financial services | investor protection violation | 2016 | $6,000,000 |
| Merrill Lynch | Bank of America | financial services | investor protection violation | 2014 | $6,000,000 |
| J.P. Morgan Securities, Inc. | JPMorgan Chase | financial services | investor protection violation | 2003 | $6,000,000 |
| Merrill Lynch, Pierce, Fenner & Smith Inc. | Bank of America | financial services | anti-money-laundering deficiencies | 2023 | $6,000,000 |
| Morgan Stanley DW Inc. | Morgan Stanley | financial services | investor protection violation | 2007 | $6,100,000 |
| Morgan Stanley DW, Inc. | Morgan Stanley | financial services | investor protection violation | 2005 | $6,100,000 |
| Citigroup Global Markets, Inc. | Citigroup | financial services | investor protection violation | 2005 | $6,250,000 |
| LPL Financial LLC | LPL Financial | financial services | investor protection violation | 2015 | $6,300,000 |
| Santander Securities LLC | Banco Santander | financial services | investor protection violation | 2015 | $6,421,000 |
| Credit Suisse Securities (USA) LLC | UBS | financial services | investor protection violation | 2019 | $6,500,000 |
| Deutsche Bank Securities, Inc. | Deutsche Bank | financial services | investor protection violation | 2013 | $6,500,000 |
| Royal Alliance Associates, Inc. | Reverence Capital Partners | private equity (including portfolio companies) | investor protection violation | 2005 | $6,600,000 |
| John Nuveen & Co., Inc. | TIAA | financial services | investor protection violation | 2000 | $6,630,000 |
| ING America Insurance Holdings Inc. | Voya Financial | financial services | investor protection violation | 2006 | $7,000,000 |
| Merrill Lynch, Pierce, Fenner & Smith Inc. | Bank of America | financial services | investor protection violation | 2016 | $7,030,000 |
| Merrill Lynch, Pierce, Fenner & Smith Inc. | Bank of America | financial services | investor protection violation | 2020 | $7,200,000 |
| Morgan Stanley & Co. | Morgan Stanley | financial services | investor protection violation | 2009 | $7,200,000 |
| Cantor Fitzgerald & Co. | Cantor Fitzgerald | financial services | investor protection violation | 2015 | $7,300,000 |
| Deutsche Bank Securities Inc. | Deutsche Bank | financial services | investor protection violation | 2010 | $7,500,000 |
| Wheat First Securities Inc. | | | investor protection violation | 2000 | $7,730,000 |
| Raymond James & Associates, Inc. and Raymond James Financial Services, Inc. | Raymond James Financial | financial services | investor protection violation | 2019 | $8,000,000 |
| Brown Brothers Harriman & Co. | Brown Brothers Harriman | financial services | anti-money-laundering deficiencies | 2014 | $8,000,000 |
| Raymond James & Associates, Inc. and Raymond James Financial Services, Inc. | Raymond James Financial | financial services | investor protection violation | 2015 | $8,700,000 |
| Transamerica Financial Advisors, Inc. | Aegon | financial services | investor protection violation | 2020 | $8,800,000 |
| LPL Financial LLC | LPL Financial | financial services | investor protection violation | 2013 | $9,000,000 |
| Credit Suisse Securities | UBS | financial services | investor protection violation | 2022 | $9,000,000 |
