| Worden Capital Management LLC | | | investor protection violation | 2020 | $1,550,000 |
| Lek Securities Corporation | | | investor protection violation | 2019 | $900,000 |
| Summit Brokerage Services, Inc. | | | investor protection violation | 2019 | $880,000 |
| Buckman, Buckman & Reid, Inc. | | | investor protection violation | 2019 | $205,000 |
| TradeStation Securities, Inc. | | | investor protection violation | 2008 | $750,000 |
| Instinet, LLC | | | investor protection violation | 2018 | $1,575,000 |
| Aegis Capital Corp. | | | anti-money-laundering deficiencies | 2018 | $550,000 |
| C.L. King & Associates, Inc. | | | investor protection violation | 2017 | $750,000 |
| Purshe Kaplan Sterling Investments | | | investor protection violation | 2017 | $4,150,000 |
| Georgeson Securities Corporation | | | investor protection violation | 2016 | $650,000 |
| Cetera Advisor Networks LLC | | | investor protection violation | 2016 | $750,000 |
| Cetera Financial Specialists LLC | | | investor protection violation | 2016 | $350,000 |
| First Allied Securities, Inc. | | | investor protection violation | 2016 | $950,000 |
| Summit Brokerage Services, Inc. | | | investor protection violation | 2016 | $500,000 |
| VSR Financial Services, Inc. | | | investor protection violation | 2016 | $400,000 |
| Kestra Investment Services, LLC | | | investor protection violation | 2016 | $475,000 |
| FTB Advisors, Inc. | | | investor protection violation | 2016 | $250,000 |
| Avenir Financial Group | | | investor protection violation | 2016 | $229,000 |
| Stephens Inc. | | | investor protection violation | 2016 | $900,000 |
| Stephens Inc. | | | investor protection violation | 2015 | $150,000 |
| First Allied Securities, Inc. | | | investor protection violation | 2015 | $1,014,647 |
| Cetera Advisors LLC | | | investor protection violation | 2015 | $702,622 |
| Park Avenue Securities LLC | | | investor protection violation | 2015 | $743,255 |
| Commonwealth Financial Network | | | investor protection violation | 2015 | $582,521 |
| Cetera Advisor Networks LLC | | | investor protection violation | 2015 | $301,108 |
| Infinex Investments, Inc. | | | investor protection violation | 2015 | $259,627 |
| The Huntington Investment Company | | | investor protection violation | 2015 | $135,973 |
| StockCross Financial Services, Inc. | | | investor protection violation | 2015 | $800,000 |
| Aegis Capital Corp. | | | investor protection violation | 2015 | $950,000 |
| H. Beck, Inc. | | | investor protection violation | 2015 | $425,000 |
| LaSalle St. Securities, LLC | | | investor protection violation | 2015 | $175,000 |
| J.P. Turner & Company, LLC | | | investor protection violation | 2015 | $100,000 |
| First New York Securities L.L.C. | | | investor protection violation | 2015 | $916,000 |
| Brookville Capital Partners LLC | | | investor protection violation | 2015 | $1,500,000 |
| John Thomas Financial | | | investor protection violation | 2015 | $1,147,288 |
| Monex Securities Inc. | | | investor protection violation | 2014 | $1,275,000 |
| Pershing LLC | | | investor protection violation | 2014 | $3,000,000 |
| Needham & Company LLC | | | investor protection violation | 2014 | $2,500,000 |
| Triad Advisors | | | investor protection violation | 2014 | $1,025,000 |
| Banorte-Ixe Securities International, Ltd. | | | anti-money-laundering deficiencies | 2014 | $475,000 |
| COR Clearing LLC | | | anti-money-laundering deficiencies | 2013 | $1,000,000 |
| J.P. Turner & Company, L.L.C. | | | investor protection violation | 2013 | $707,559 |
| Newedge USA, LLC | | | investor protection violation | 2013 | $9,500,000 |
| StateTrust Investments, Inc. | | | investor protection violation | 2013 | $1,398,000 |
| Atlas One Financial Group, LLC | | | anti-money-laundering deficiencies | 2013 | $350,000 |
| Firstrade Securities, Inc. | | | anti-money-laundering deficiencies | 2013 | $300,000 |
| World Trade Financial Corporation | | | anti-money-laundering deficiencies | 2013 | $250,000 |
| David Lerner Associates, Inc. | | | investor protection violation | 2012 | $14,300,000 |
| Guggenheim Securities, LLC | | | investor protection violation | 2012 | $800,000 |
| Hold Brothers On-Line Investment Services, LLC | | | investor protection violation | 2012 | $3,400,000 |
| Rodman & Renshaw LLC | | | investor protection violation | 2012 | $315,000 |
| Brookstone Securities | | | investor protection violation | 2012 | $2,600,000 |
| Citi International Financial Services LLC | | | investor protection violation | 2012 | $1,248,000 |
| Investors Capital Corporation | | | investor protection violation | 2011 | $400,000 |
| Garden State Securities, Inc. | | | investor protection violation | 2011 | $300,000 |
| Capital Financial Services | | | investor protection violation | 2011 | $200,000 |
| National Securities Corporation | | | investor protection violation | 2011 | $175,000 |
| Equity Services, Inc. | | | investor protection violation | 2011 | $214,000 |
| Newbridge Securities Corporation | | | investor protection violation | 2011 | $25,000 |
| Wells Investment Securities, Inc. | | | investor protection violation | 2011 | $300,000 |
| Pointe Capital, Inc. | | | investor protection violation | 2011 | $300,000 |
| John Thomas Financial | | | investor protection violation | 2011 | $275,000 |
| First Midwest Securities, Inc. | | | investor protection violation | 2011 | $150,000 |
| A&F Financial Securities, Inc. | | | investor protection violation | 2011 | $125,000 |
| Salomon Whitney LLC | | | investor protection violation | 2011 | $60,000 |
| Workman Securities Corp. | | | investor protection violation | 2011 | $700,000 |
| Askar Corporation | | | investor protection violation | 2011 | $45,000 |
| Trillium Brokerage Services, LLC | | | investor protection violation | 2010 | $1,000,000 |
| Phoenix Derivatives Group, LLC | | | investor protection violation | 2010 | $3,000,000 |
| National Financial Services | | | investor protection violation | 2010 | $350,000 |
| Westpark Capital, Inc. | | | investor protection violation | 2010 | $400,000 |
| Fagenson & Co., Inc. | | | investor protection violation | 2010 | $165,000 |
| Alpine Securities Corporation | | | investor protection violation | 2010 | $40,000 |
| Equity Station, Inc. | | | investor protection violation | 2010 | $25,000 |
| Olympus Securities, LLC | | | investor protection violation | 2010 | $20,000 |
| D.A. Davidson & Co. | | | investor protection violation | 2010 | $375,000 |
| Penson Financial Services | | | anti-money-laundering deficiencies | 2010 | $450,000 |
| Pinnacle Capital Markets | | | anti-money-laundering deficiencies | 2010 | $300,000 |
| Pacific Cornerstone Capital | | | investor protection violation | 2009 | $700,000 |
| Terra Nova Financial, LLC | | | investor protection violation | 2009 | $400,000 |
| City Securities Corporation | | | investor protection violation | 2009 | $250,000 |
| Legacy Trading Co., LLC | | | investor protection violation | 2009 | $1,007,035 |
| IFMG Securities | | | investor protection violation | 2009 | $450,000 |
| J.P. Turner & Co. | | | anti-money-laundering deficiencies | 2009 | $525,000 |
| Park Financial Group, Inc. | | | anti-money-laundering deficiencies | 2009 | $400,000 |
| Legent Clearing, LLC | | | anti-money-laundering deficiencies | 2009 | $350,000 |
| Mutual Service Corporation | | | investor protection violation | 2009 | $1,500,000 |
| RD Capital Group | | | investor protection violation | 2009 | $1,000,000 |
| NatCity Investments, Inc. | | | investor protection violation | 2009 | $300,000 |
| M&I Financial Advisors, Inc. | | | investor protection violation | 2009 | $150,000 |
| Centaurus Financial, Inc. | | | investor protection violation | 2009 | $175,000 |
| J.J.B. Hilliard, W.L. Lyons Inc. | | | investor protection violation | 2009 | $500,000 |
| Multi-Financial Securities Corporation | | | investor protection violation | 2009 | $150,000 |
| H. Beck, Inc. | | | investor protection violation | 2009 | $140,000 |
| SWS Financial Services | | | investor protection violation | 2009 | $70,000 |
| Leonard & Company | | | investor protection violation | 2009 | $60,000 |
| SIGMA Financial Corporation | | | investor protection violation | 2009 | $50,000 |
| Intersecurities, Inc. | | | investor protection violation | 2009 | $50,000 |
| Fox & Company Investments Inc. | | | investor protection violation | 2009 | $45,000 |
| vFinance Investments, Inc. | | | investor protection violation | 2009 | $27,500 |
| Investors Capital Corp. | | | investor protection violation | 2009 | $25,000 |
