| Citigroup Global Markets | Citigroup | financial services | investor protection violation | 2009 | $425,000 |
| KeyBanc Capital Markets, Inc. | KeyCorp | financial services | investor protection violation | 2009 | $425,000 |
| Scudder Distributors, Inc. | | | investor protection violation | 2007 | $425,000 |
| Rafferty Capital Markets, LLC | | | investor protection violation | 2007 | $409,605 |
| VSR Financial Services, Inc. | | | investor protection violation | 2016 | $400,000 |
| Investors Capital Corporation | | | investor protection violation | 2011 | $400,000 |
| Westpark Capital, Inc. | | | investor protection violation | 2010 | $400,000 |
| Terra Nova Financial, LLC | | | investor protection violation | 2009 | $400,000 |
| RBC Capital Markets Corporation | Royal Bank of Canada | financial services | investor protection violation | 2009 | $400,000 |
| Park Financial Group, Inc. | | | anti-money-laundering deficiencies | 2009 | $400,000 |
| Fidelity Investments Institutional Services Company, Inc. and Fidelity Distributors Corporation | Fidelity Investments | financial services | investor protection violation | 2007 | $400,000 |
| David Lerner Associates, Inc. | | | investor protection violation | 2006 | $400,000 |
| Banc One Securities Corporation | JPMorgan Chase | financial services | investor protection violation | 2005 | $400,000 |
| Raymond James Financial Services Inc. | Raymond James Financial | financial services | investor protection violation | 2004 | $400,000 |
| Scott & Stringfellow, Inc. | | | investor protection violation | 2000 | $393,263 |
| HSBC Securities (USA) Inc. | HSBC | financial services | investor protection violation | 2010 | $375,000 |
| D.A. Davidson & Co. | | | investor protection violation | 2010 | $375,000 |
| Metropolitan Life Insurance Co. | MetLife | financial services | investor protection violation | 2004 | $375,000 |
| UBS Financial Services, Inc. | UBS | financial services | investor protection violation | 2007 | $370,000 |
| Investment Centers of America, Inc. | LPL Financial | financial services | investor protection violation | 2005 | $363,500 |
| NYLIFE Securities LLC | New York Life Insurance | financial services | investor protection violation | 2007 | $354,000 |
| CIBC World Markets Corp. | Canadian Imperial Bank of Commerce | financial services | investor protection violation | 2008 | $350,000 |
| Cetera Financial Specialists LLC | | | investor protection violation | 2016 | $350,000 |
| Atlas One Financial Group, LLC | | | anti-money-laundering deficiencies | 2013 | $350,000 |
| National Financial Services | | | investor protection violation | 2010 | $350,000 |
| Legent Clearing, LLC | | | anti-money-laundering deficiencies | 2009 | $350,000 |
| Citigroup Global Markets, Inc. | Citigroup | financial services | investor protection violation | 2006 | $350,000 |
| Sanford C. Bernstein & Co. | Equitable Holdings | financial services | investor protection violation | 2006 | $350,000 |
| NYLife Securities, Inc. | New York Life Insurance | financial services | investor protection violation | 2004 | $350,000 |
| WM Financial Services, Inc. | | | investor protection violation | 2004 | $350,000 |
| American Express Financial Advisors Inc. | Ameriprise Financial | financial services | investor protection violation | 2002 | $350,000 |
| First Union Securities, Inc. | Wells Fargo | financial services | investor protection violation | 2000 | $350,000 |
| StartEngine Capital LLC | | | investor protection violation | 2022 | $350,000 |
| Comerica Securities | Comerica | financial services | investor protection violation | 2015 | $347,757 |
| First New York Securities L.L.C. | | | investor protection violation | 2009 | $341,000 |
| Morgan Stanley DW Inc | Morgan Stanley | financial services | investor protection violation | 2004 | $336,510 |
| Hornor, Townsend & Kent, Inc. | | | investor protection violation | 2005 | $325,000 |
| Securities America, Inc. | Reverence Capital Partners | private equity (including portfolio companies) | investor protection violation | 2007 | $322,000 |
| Rodman & Renshaw LLC | | | investor protection violation | 2012 | $315,000 |
| City National Securities | | | investor protection violation | 2008 | $315,000 |
| Cetera Advisor Networks LLC | | | investor protection violation | 2015 | $301,108 |
| Scottrade, Inc. | Charles Schwab Corp. | financial services | investor protection violation | 2015 | $300,000 |
| Firstrade Securities, Inc. | | | anti-money-laundering deficiencies | 2013 | $300,000 |
| Garden State Securities, Inc. | | | investor protection violation | 2011 | $300,000 |
| Wells Investment Securities, Inc. | | | investor protection violation | 2011 | $300,000 |
| Pointe Capital, Inc. | | | investor protection violation | 2011 | $300,000 |
| Pinnacle Capital Markets | | | anti-money-laundering deficiencies | 2010 | $300,000 |
| NatCity Investments, Inc. | | | investor protection violation | 2009 | $300,000 |
| SunAmerica Securities, Inc. | American International Group | financial services | investor protection violation | 2009 | $300,000 |
| Citigroup Global Markets, Inc. | Citigroup | financial services | investor protection violation | 2008 | $300,000 |
| SunTrust Investment Services, Inc. | Truist Financial | financial services | investor protection violation | 2008 | $300,000 |
| First Southwest Company | | | investor protection violation | 2008 | $300,000 |
| Wachovia Capital Markets, LLC | Wells Fargo | financial services | investor protection violation | 2007 | $300,000 |
| Edward D. Jones & Co., L.P. | Jones Financial | financial services | investor protection violation | 2005 | $300,000 |
| Edward Jones & Co., LP | Jones Financial | financial services | investor protection violation | 2004 | $300,000 |
| American Express Financial Advisors, Inc. | Ameriprise Financial | financial services | investor protection violation | 2004 | $300,000 |
| Chase Investment Services | JPMorgan Chase | financial services | investor protection violation | 2005 | $290,262 |
| Advest, Inc. | | | investor protection violation | 2005 | $286,415 |
| Bear, Stearns & Co. Inc. | JPMorgan Chase | financial services | investor protection violation | 2004 | $280,469 |
| Citigroup Global Markets Inc. | Citigroup | financial services | investor protection violation | 2019 | $280,000 |
| J.P. Morgan Securities LLC | JPMorgan Chase | financial services | investor protection violation | 2019 | $280,000 |
| LPL Financial LLC | LPL Financial | financial services | investor protection violation | 2019 | $280,000 |
| Morgan Stanley Smith Barney LLC | Morgan Stanley | financial services | investor protection violation | 2019 | $280,000 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Bank of America | financial services | investor protection violation | 2019 | $280,000 |
| Piper Jaffray & Co. | Piper Sandler | financial services | investor protection violation | 2005 | $280,000 |
| Ameritas Investment Corp. | Ameritas Mutual Holding Company | financial services | investor protection violation | 2015 | $278,544 |
| John Thomas Financial | | | investor protection violation | 2011 | $275,000 |
| US Bancorp Investments, Inc. | U.S. Bancorp | financial services | investor protection violation | 2010 | $275,000 |
| Credit Suisse Securities (USA), LLC | UBS | financial services | investor protection violation | 2009 | $275,000 |
| Wells Fargo Investments, LLC | Wells Fargo | financial services | investor protection violation | 2009 | $275,000 |
| Piper Jaffray & Co. | Piper Sandler | financial services | investor protection violation | 2005 | $275,000 |
| Citigroup Global Markets, Inc. | Citigroup | financial services | investor protection violation | 2004 | $275,000 |
| Robertson Stephens, Inc. | | | investor protection violation | 2004 | $275,000 |
| UBS Securities | UBS | financial services | investor protection violation | 2009 | $268,000 |
| Infinex Investments, Inc. | | | investor protection violation | 2015 | $259,627 |
| Lord Abbett Distributor, LLC | | | investor protection violation | 2005 | $255,000 |
| FTB Advisors, Inc. | | | investor protection violation | 2016 | $250,000 |
| World Trade Financial Corporation | | | anti-money-laundering deficiencies | 2013 | $250,000 |
| Securities America, Inc. | Reverence Capital Partners | private equity (including portfolio companies) | investor protection violation | 2011 | $250,000 |
| City Securities Corporation | | | investor protection violation | 2009 | $250,000 |
| PNC Investments | PNC Financial Services | financial services | investor protection violation | 2009 | $250,000 |
| Chase Investment Services Corp. | JPMorgan Chase | financial services | investor protection violation | 2009 | $250,000 |
| J.P. Turner & Company, LLC | | | investor protection violation | 2008 | $250,000 |
| BNY Mellon Capital Markets, LLC | Bank of New York Mellon | financial services | investor protection violation | 2008 | $250,000 |
| WaMu Investments, Inc. | | | investor protection violation | 2008 | $250,000 |
| Merrill Lynch | Bank of America | financial services | investor protection violation | 2008 | $250,000 |
| Wells Fargo Securities, LLC | Wells Fargo | financial services | investor protection violation | 2007 | $250,000 |
| HSBC Brokerage | HSBC | financial services | investor protection violation | 2007 | $250,000 |
| Edward D. Jones & Co., L.P. | Jones Financial | financial services | investor protection violation | 2006 | $250,000 |
| RBC Dain Rauscher Inc. | Royal Bank of Canada | financial services | investor protection violation | 2006 | $250,000 |
| Royal Alliance Associates, Inc. | Reverence Capital Partners | private equity (including portfolio companies) | investor protection violation | 2006 | $250,000 |
| Oppenheimer & Co. Inc. | Oppenheimer Holdings | financial services | investor protection violation | 2006 | $250,000 |
| Scottrade, Inc. | Charles Schwab Corp. | financial services | investor protection violation | 2005 | $250,000 |
| Chase Investment Services Corp. | JPMorgan Chase | financial services | investor protection violation | 2004 | $250,000 |
| AXA Advisors, LLC | Equitable Holdings | financial services | investor protection violation | 2004 | $250,000 |
| MML Investor Services, Inc. | Massachusetts Mutual Life Insurance | financial services | investor protection violation | 2004 | $250,000 |
| Citigroup Global Markets, Inc. | Citigroup | financial services | investor protection violation | 2004 | $250,000 |
| Citigroup Global Markets, Inc. | Citigroup | financial services | investor protection violation | 2004 | $250,000 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Bank of America | financial services | investor protection violation | 2004 | $250,000 |
| Morgan Stanley DW Inc. | Morgan Stanley | financial services | investor protection violation | 2004 | $250,000 |
| AXA Advisors, LLC | Equitable Holdings | financial services | investor protection violation | 2004 | $250,000 |
