| Fifth Third Securities, Inc. | Fifth Third Bancorp | financial services | investor protection violation | 2009 | $1,750,000 |
| Fidelity Brokerage Services LLC | Fidelity Investments | financial services | investor protection violation | 2015 | $1,030,000 |
| Fidelity Investments Institutional Services Company, Inc. and Fidelity Distributors Corporation | Fidelity Investments | financial services | investor protection violation | 2007 | $400,000 |
| Fidelity Distributors Corp. et al. | Fidelity Investments | financial services | investor protection violation | 2007 | $3,750,000 |
| AXA Advisors, LLC | Equitable Holdings | financial services | investor protection violation | 2019 | $772,000 |
| AXA Advisors, LLC | Equitable Holdings | financial services | investor protection violation | 2015 | $600,000 |
| AXA Advisors, LLC | Equitable Holdings | financial services | investor protection violation | 2007 | $2,600,000 |
| AllianceBernstein Investments, Inc. | Equitable Holdings | financial services | investor protection violation | 2007 | $100,000 |
| Sanford C. Bernstein & Co. | Equitable Holdings | financial services | investor protection violation | 2006 | $350,000 |
| AllianceBernstein Investment Research and Management, Inc. | Equitable Holdings | financial services | investor protection violation | 2005 | $3,984,087 |
| AXA Advisors, LLC | Equitable Holdings | financial services | investor protection violation | 2005 | $900,000 |
| AXA Advisors, LLC | Equitable Holdings | financial services | investor protection violation | 2004 | $250,000 |
| AXA Advisors, LLC | Equitable Holdings | financial services | investor protection violation | 2004 | $250,000 |
| Deutsche Bank Securities Inc. | Deutsche Bank | financial services | investor protection violation | 2017 | $2,500,000 |
| Deutsche Bank Securities Inc. | Deutsche Bank | financial services | investor protection violation | 2016 | $3,250,000 |
| Deutsche Bank Securities Inc. | Deutsche Bank | financial services | investor protection violation | 2016 | $12,500,000 |
| Deutsche Bank Securities Inc. | Deutsche Bank | financial services | investor protection violation | 2016 | $6,000,000 |
| Deutsche Bank Securities Inc. | Deutsche Bank | financial services | investor protection violation | 2015 | $1,400,000 |
| Deutsche Bank Securities Inc. | Deutsche Bank | financial services | investor protection violation | 2014 | $4,000,000 |
| Deutsche Bank Securities, Inc. | Deutsche Bank | financial services | investor protection violation | 2013 | $6,500,000 |
| Deutsche Bank Securities Inc. | Deutsche Bank | financial services | investor protection violation | 2010 | $7,500,000 |
| Deutsche Bank Securities | Deutsche Bank | financial services | investor protection violation | 2010 | $575,000 |
| Deutsche Bank | Deutsche Bank | financial services | investor protection violation | 2009 | $152,000 |
| Deutsche Bank Securities, Inc., | Deutsche Bank | financial services | investor protection violation | 2008 | $150,000 |
| Deutsche Bank Securities, Inc. | Deutsche Bank | financial services | investor protection violation | 2004 | $15,000 |
| Deutsche Bank Securities, Inc. | Deutsche Bank | financial services | investor protection violation | 2004 | $5,000,000 |
| Deutsche Bank Securities, Inc. | Deutsche Bank | financial services | investor protection violation | 2004 | $5,290,000 |
| Deutsche Bank Securities Inc. | Deutsche Bank | 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 |
| ProEquities, Inc. | Dai-ichi Life | financial services | investor protection violation | 2009 | $25,000 |
| CUNA Brokerage Services, Inc. | CUNA Mutual | financial services | investor protection violation | 2001 | $100,000 |
| Comerica Securities | Comerica | financial services | investor protection violation | 2015 | $347,757 |
| Comerica Securities, Inc. | Comerica | financial services | investor protection violation | 2008 | $750,000 |
| ICAP Corporates LLC | CME Group | financial services | investor protection violation | 2009 | $2,800,000 |
| CCO Investment Services Corp. | Citizens Financial Group | financial services | investor protection violation | 2006 | $850,000 |
| Citigroup Global Markets Inc. | Citigroup | financial services | investor protection violation | 2019 | $280,000 |
| Citigroup Global Markets Inc. | Citigroup | financial services | investor protection violation | 2019 | $1,250,000 |
| Citigroup Global Markets Inc. | Citigroup | financial services | investor protection violation | 2017 | $11,500,000 |
| Citigroup Global Markets Inc. | Citigroup | financial services | investor protection violation | 2017 | $1,000,000 |
| Citigroup Global Markets Inc. | Citigroup | financial services | investor protection violation | 2014 | $5,000,000 |
| Citigroup Global Markets, Inc. | Citigroup | financial services | investor protection violation | 2014 | $15,000,000 |
| Citigroup Global Markets Inc. | Citigroup | financial services | investor protection violation | 2014 | $2,488,000 |
| Citigroup Global Markets Inc. | Citigroup | financial services | investor protection violation | 2014 | $1,097,000 |
| Citigroup | Citigroup | financial services | investor protection violation | 2012 | $1,279,106 |
| Citigroup Global Markets, Inc. | Citigroup | financial services | investor protection violation | 2012 | $3,500,000 |
| Citigroup Global Markets, Inc | Citigroup | financial services | investor protection violation | 2012 | $2,741,489 |
| Citigroup Global Markets, Inc. | Citigroup | financial services | investor protection violation | 2012 | $725,000 |
| Citigroup Global Markets, Inc. | Citigroup | financial services | investor protection violation | 2011 | $500,000 |
| Citigroup Global Markets Inc. | Citigroup | financial services | investor protection violation | 2010 | $1,500,000 |
| Citigroup Global Markets, Inc. | Citigroup | financial services | investor protection violation | 2010 | $650,000 |
| Citigroup Global Markets Inc. | Citigroup | financial services | investor protection violation | 2009 | $600,000 |
| Citigroup Global Markets | Citigroup | financial services | investor protection violation | 2009 | $425,000 |
| Citigroup Global Markets | Citigroup | financial services | investor protection violation | 2009 | $2,000,000 |
| Citigroup Global Markets, Inc. | Citigroup | financial services | investor protection violation | 2008 | $300,000 |
| Citigroup Global Markets, Inc. | Citigroup | financial services | investor protection violation | 2007 | $15,200,000 |
| Citigroup Global Markets Inc. | Citigroup | financial services | investor protection violation | 2006 | $1,115,000 |
| Citigroup Global Markets, Inc. | Citigroup | financial services | investor protection violation | 2006 | $350,000 |
| Citigroup Global Markets Inc. | Citigroup | financial services | investor protection violation | 2005 | $60,000 |
| Citigroup Global Markets, Inc. | Citigroup | financial services | investor protection violation | 2005 | $6,250,000 |
| Citigroup Global Markets, Inc. | Citigroup | financial services | investor protection violation | 2004 | $275,000 |
| Citigroup Global Markets, Inc. | Citigroup | financial services | investor protection violation | 2004 | $250,000 |
| Citigroup Global Markets Inc. | Citigroup | financial services | investor protection violation | 2004 | $5,000,000 |
| Citigroup Global Markets, Inc. | Citigroup | financial services | investor protection violation | 2004 | $250,000 |
| Scottrade, Inc. | Charles Schwab Corp. | financial services | investor protection violation | 2015 | $2,600,000 |
| Charles Schwab & Co. | Charles Schwab Corp. | financial services | investor protection violation | 2015 | $2,000,000 |
| Scottrade, Inc. | Charles Schwab Corp. | financial services | investor protection violation | 2015 | $300,000 |
| Charles Schwab & Co., Inc. | Charles Schwab Corp. | financial services | investor protection violation | 2014 | $500,000 |
| TD Ameritrade Clearing, Inc. | Charles Schwab Corp. | financial services | investor protection violation | 2013 | $1,150,000 |
| Charles Schwab & Company | Charles Schwab Corp. | financial services | investor protection violation | 2013 | $500,000 |
| Charles Schwab & Company, Inc. | Charles Schwab Corp. | financial services | investor protection violation | 2011 | $18,000,000 |
| Scottrade, Inc. | Charles Schwab Corp. | financial services | investor protection violation | 2010 | $200,000 |
| Scottrade | Charles Schwab Corp. | financial services | anti-money-laundering deficiencies | 2009 | $600,000 |
| Scottrade, Inc. | Charles Schwab Corp. | financial services | investor protection violation | 2005 | $250,000 |
| Scottrade, Inc. | Charles Schwab Corp. | financial services | investor protection violation | 2004 | $16,000 |
| Charles Schwab & Co, Inc. | Charles Schwab Corp. | financial services | investor protection violation | 2004 | $60,869 |
| Ameritrade, Inc. | Charles Schwab Corp. | financial services | investor protection violation | 2004 | $10,000,000 |
| Cantor Fitzgerald & Co. | Cantor Fitzgerald | financial services | investor protection violation | 2019 | $2,000,000 |
| Cantor Fitzgerald & Co. | Cantor Fitzgerald | financial services | investor protection violation | 2015 | $7,300,000 |
| CIBC World Markets Corp. | Canadian Imperial Bank of Commerce | financial services | investor protection violation | 2008 | $350,000 |
| CIBC World Markets Corp. | Canadian Imperial Bank of Commerce | financial services | investor protection violation | 2008 | $200,000 |
| CIBC World Markets Corp. | Canadian Imperial Bank of Commerce | financial services | investor protection violation | 2005 | $40,000 |
| Brown Brothers Harriman & Co. | Brown Brothers Harriman | financial services | anti-money-laundering deficiencies | 2014 | $8,000,000 |
| BNP Paribas Securities Corp. and BNP Paribas Prime Brokerage, Inc. | BNP Paribas | financial services | anti-money-laundering deficiencies | 2019 | $15,000,000 |
| State Street Research Investment Services, Inc. | BlackRock | financial services | investor protection violation | 2004 | $1,500,000 |
| Berthel Fisher & Company Financial Services, Inc. | Berthel Fisher | financial services | investor protection violation | 2014 | $775,000 |
| Barclays Capital Inc. | Barclays | financial services | investor protection violation | 2016 | $1,300,000 |
| Barclays Capital, Inc. | Barclays | financial services | investor protection violation | 2015 | $13,750,000 |
| Barclays Capital Inc. | Barclays | financial services | investor protection violation | 2014 | $5,000,000 |
| Barclays Capital Inc. | Barclays | financial services | investor protection violation | 2014 | $1,000,000 |
| Barclays Capital Inc. | Barclays | financial services | investor protection violation | 2013 | $3,750,000 |
| Barclays Capital Inc. | Barclays | financial services | investor protection violation | 2011 | $3,000,000 |
| BNY Mellon Capital Markets, LLC | Bank of New York Mellon | financial services | investor protection violation | 2008 | $250,000 |
| BMO Capital Markets Corp. | Bank of Montreal | financial services | investor protection violation | 2008 | $150,000 |
| Merrill Lynch, Pierce, Fenner & Smith Inc. | Bank of America | financial services | investor protection violation | 2020 | $7,200,000 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Bank of America | financial services | investor protection violation | 2019 | $280,000 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Bank of America | financial services | investor protection violation | 2019 | $4,000,000 |
| Merrill Lynch, Pierce, Fenner & Smith Inc. | Bank of America | financial services | securities issuance or trading violation | 2018 | $5,990,530 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Bank of America | financial services | investor protection violation | 2017 | $1,400,000 |
| Merrill Lynch, Pierce, Fenner & Smith Inc. | Bank of America | financial services | investor protection violation | 2016 | $7,030,000 |
| Merrill Lynch, Pierce, Fenner and Smith Inc. | Bank of America | financial services | investor protection violation | 2016 | $2,800,000 |
| Merrill Lynch, Pierce, Fenner & Smith, Inc. | Bank of America | financial services | investor protection violation | 2016 | $5,000,000 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Bank of America | financial services | investor protection violation | 2014 | $2,440,000 |
