| E-TRADE Securities, Inc. | Morgan Stanley | financial services | investor protection violation | 2000 | $20,000 |
| E-Trade Securities, LLC | Morgan Stanley | financial services | investor protection violation | 2008 | $500,000 |
| Edward D. Jones & Co., L.P. | Jones Financial | financial services | investor protection violation | 2015 | $13,500,000 |
| Edward D. Jones & Co., L.P. | Jones Financial | financial services | investor protection violation | 2009 | $900,000 |
| Edward D. Jones & Co., L.P. | Jones Financial | financial services | investor protection violation | 2006 | $250,000 |
| Edward D. Jones & Co., L.P. | Jones Financial | financial services | investor protection violation | 2005 | $300,000 |
| Edward Jones | Jones Financial | financial services | investor protection violation | 2004 | $25,181 |
| Edward Jones & Co., LP | Jones Financial | financial services | investor protection violation | 2004 | $300,000 |
| EKN Financial Services Inc. | | | investor protection violation | 2006 | $200,000 |
| Emmet & Co., Inc. | | | investor protection violation | 2005 | $40,000 |
| Equity Services, Inc. | | | investor protection violation | 2011 | $214,000 |
| Equity Station, Inc. | | | investor protection violation | 2010 | $25,000 |
| Fagenson & Co., Inc. | | | investor protection violation | 2010 | $165,000 |
| Farmers Financial Solutions LLC | | | investor protection violation | 2004 | $125,000 |
| Ferris, Baker Watts LLC | Royal Bank of Canada | financial services | investor protection violation | 2010 | $690,000 |
| Fidelity Brokerage Services LLC | Fidelity Investments | financial services | investor protection violation | 2015 | $1,030,000 |
| Fidelity Distributors Corp. et al. | Fidelity Investments | financial services | investor protection violation | 2007 | $3,750,000 |
| Fidelity Investments Institutional Services Company, Inc. and Fidelity Distributors Corporation | Fidelity Investments | financial services | investor protection violation | 2007 | $400,000 |
| Fiero Brothers, Inc. | | | investor protection violation | 2002 | $1,000,000 |
| Fifth Third Securities, Inc. | Fifth Third Bancorp | financial services | investor protection violation | 2018 | $6,000,000 |
| Fifth Third Securities, Inc. | Fifth Third Bancorp | financial services | investor protection violation | 2015 | $963,534 |
| Fifth Third Securities, Inc. | Fifth Third Bancorp | financial services | investor protection violation | 2009 | $150,000 |
| Fifth Third Securities, Inc. | Fifth Third Bancorp | financial services | investor protection violation | 2009 | $1,750,000 |
| Financial Network Investment Corp. | | | investor protection violation | 2004 | $185,000 |
| Financial West Group | | | investor protection violation | 2009 | $5,000 |
| First Allied Securities, Inc. | | | investor protection violation | 2016 | $950,000 |
| First Allied Securities, Inc. | | | investor protection violation | 2015 | $1,014,647 |
| First Allied Securities, Inc. | | | investor protection violation | 2005 | $734,500 |
| First Avantus Securities, Inc. | | | investor protection violation | 2005 | $100,000 |
| First Chicago Capital Markets, Inc. | | | investor protection violation | 2000 | $4,420,000 |
| First Clearing Corporation | | | investor protection violation | 2005 | $110,000 |
| First Command Financial Planning Inc. | | | investor protection violation | 2004 | $12,000,000 |
| First Midwest Securities, Inc. | | | investor protection violation | 2011 | $150,000 |
| First Midwest Securities, Inc. | | | investor protection violation | 2009 | $7,000 |
| First New York Securities L.L.C. | | | investor protection violation | 2015 | $916,000 |
| First New York Securities L.L.C. | | | investor protection violation | 2009 | $341,000 |
| First Southwest Company | | | investor protection violation | 2008 | $300,000 |
| First Trust Portfolios L.P | | | investor protection violation | 2004 | $118,680 |
| First Union Brokerage Services, Inc. | Wells Fargo | financial services | investor protection violation | 2001 | $32,500 |
| First Union Securities, Inc. | Wells Fargo | financial services | investor protection violation | 2000 | $350,000 |
| Firstrade Securities, Inc. | | | anti-money-laundering deficiencies | 2013 | $300,000 |
| Fleet Securities, Inc. | | | investor protection violation | 2001 | $50,000 |
| Fleet Securities, Inc. | | | investor protection violation | 2001 | $40,000 |
| Fox & Company Investments Inc. | | | investor protection violation | 2009 | $45,000 |
| Friedman, Billings, Ramsey & Co., Inc. | Arlington Asset Investment Corp. | financial services | investor protection violation | 2008 | $50,000 |
| Friedman, Billings, Ramsey & Co., Inc. | Arlington Asset Investment Corp. | financial services | investor protection violation | 2006 | $4,000,000 |
| FSC Securities Corp. | | | investor protection violation | 2005 | $2,400,000 |
| FSC Securities Corporation | | | investor protection violation | 2009 | $15,000 |
| FTB Advisors, Inc. | | | investor protection violation | 2016 | $250,000 |
| FutureTrade Securities, L.L.C | | | investor protection violation | 2004 | $35,000 |
| Garden State Securities, Inc. | | | investor protection violation | 2011 | $300,000 |
| Gary Goldberg & Co., Inc | | | investor protection violation | 2009 | $19,500 |
| Georgeson Securities Corporation | | | investor protection violation | 2016 | $650,000 |
| Gerard Klauer Mattison & Co., Inc. | | | investor protection violation | 2001 | $10,000 |
| Goldman Sachs | Goldman Sachs | financial services | investor protection violation | 2012 | $683,997 |
| Goldman Sachs Execution & Clearing, L.P. | Goldman Sachs | financial services | investor protection violation | 2015 | $1,800,000 |
| Goldman Sachs Execution & Clearing, L.P. | Goldman Sachs | financial services | investor protection violation | 2014 | $800,000 |
| Goldman, Sachs & Co. | Goldman Sachs | financial services | investor protection violation | 2014 | $5,000,000 |
| Goldman, Sachs & Co. | Goldman Sachs | financial services | investor protection violation | 2014 | $1,000,000 |
| Goldman, Sachs & Co. | Goldman Sachs | financial services | investor protection violation | 2012 | (*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $11,000,000 |
| Goldman, Sachs & Co. | Goldman Sachs | financial services | investor protection violation | 2010 | $650,000 |
| Goldman, Sachs & Co. | Goldman Sachs | financial services | investor protection violation | 2005 | $140,000 |
| Goldman, Sachs & Co. | Goldman Sachs | financial services | investor protection violation | 2005 | $125,000 |
| Goldman, Sachs & Co. | Goldman Sachs | financial services | investor protection violation | 2004 | $5,000,000 |
| Goldman, Sachs & Co. | Goldman Sachs | financial services | investor protection violation | 2002 | (*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $1,650,000 |
| Green Street Advisors | | | investor protection violation | 2005 | $150,000 |
| Guggenheim Securities, LLC | | | investor protection violation | 2012 | $800,000 |
| GunnAllen Financial, Inc. | | | investor protection violation | 2009 | $6,000 |
| GunnAllen Financial, Inc. | | | investor protection violation | 2008 | $750,000 |
| H&R Block Financial Advisors, Inc. | H&R Block | financial services | investor protection violation | 2010 | $200,000 |
| H&R Block Financial Advisors, Inc. | H&R Block | financial services | investor protection violation | 2004 | $825,000 |
| H. Beck, Inc. | | | investor protection violation | 2015 | $425,000 |
| H. Beck, Inc. | | | investor protection violation | 2009 | $140,000 |
| H.D. Vest Investment Services | | | investor protection violation | 2005 | $4,015,000 |
| Hantz Financial Services, Inc. | | | investor protection violation | 2005 | $675,000 |
| Harris Investor Services, Inc. | | | investor protection violation | 2008 | $150,000 |
| Herzog, Heine, Geduld, Inc. | | | investor protection violation | 2001 | $18,000 |
| Herzog, Heine, Geduld, Inc. | | | investor protection violation | 2001 | $40,000 |
| Hold Brothers On-Line Investment Services, LLC | | | investor protection violation | 2012 | $3,400,000 |
| Hornblower & Weeks, Inc. | | | investor protection violation | 2002 | $100,000 |
| Hornor, Townsend & Kent, Inc. | | | investor protection violation | 2005 | $325,000 |
| HSBC Brokerage | HSBC | financial services | investor protection violation | 2007 | $250,000 |
| HSBC Securities (USA) | HSBC | financial services | investor protection violation | 2010 | $1,500,000 |
| HSBC Securities (USA) Inc. | HSBC | financial services | investor protection violation | 2010 | $375,000 |
| ICAP Corporates LLC | CME Group | financial services | investor protection violation | 2009 | $2,800,000 |
| IFC Holdings, Inc. d/b/a INVEST Financial Corporation | | | investor protection violation | 2005 | $1,520,000 |
| IFMG Securities | | | investor protection violation | 2009 | $450,000 |
| Index Securities, LLC | | | investor protection violation | 2004 | $11,000 |
| 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 |
| Infinex Investments, Inc. | | | investor protection violation | 2015 | $259,627 |
| ING America Insurance Holdings Inc. | Voya Financial | financial services | investor protection violation | 2006 | $7,000,000 |
| ING Barings LLC | | | investor protection violation | 2001 | $20,000 |
| ING Financial Partners, Inc. | Voya Financial | financial services | investor protection violation | 2004 | $200,000 |
| ING Funds Distributor | Voya Financial | financial services | investor protection violation | 2005 | $1,500,000 |
| ING Groep N.V. | Voya Financial | financial services | investor protection violation | 2013 | $1,200,000 |
| Instinet, LLC | | | investor protection violation | 2018 | $1,575,000 |
| Instinet, LLC and INET ATS, Inc. | | | investor protection violation | 2005 | $1,475,000 |
| Interactive Brokers LLC | Interactive Brokers Group | financial services | anti-money-laundering deficiencies | 2020 | $15,000,000 |
| Interactive Brokers LLC | Interactive Brokers Group | financial services | investor protection violation | 2018 | $5,500,000 |
| Interactive Brokers LLC | Interactive Brokers Group | financial services | investor protection violation | 2017 | $450,000 |
| Interactive Brokers, L.L.C. | Interactive Brokers Group | financial services | investor protection violation | 2002 | $230,000 |
