| Linsco/Private Ledger Corporation | | | investor protection violation | 2005 | $2,400,000 |
| First Avantus Securities, Inc. | | | investor protection violation | 2005 | $100,000 |
| National Securities Corporation | | | investor protection violation | 2005 | $85,000 |
| First Clearing Corporation | | | investor protection violation | 2005 | $110,000 |
| DebtTraders, Inc. | | | investor protection violation | 2005 | $120,000 |
| Green Street Advisors | | | investor protection violation | 2005 | $150,000 |
| Instinet, LLC and INET ATS, Inc. | | | investor protection violation | 2005 | $1,475,000 |
| IFC Holdings, Inc. d/b/a INVEST Financial Corporation | | | investor protection violation | 2005 | $1,520,000 |
| Commonwealth Financial Network | | | investor protection violation | 2005 | $1,400,000 |
| National Planning Corporation Inc. | | | investor protection violation | 2005 | $1,308,000 |
| Mutual Service Corporation | | | investor protection violation | 2005 | $1,300,000 |
| SII Investments, Inc. | | | investor protection violation | 2005 | $658,500 |
| Lord Abbett Distributor, LLC | | | investor protection violation | 2005 | $255,000 |
| First Allied Securities, Inc. | | | investor protection violation | 2005 | $734,500 |
| David Lerner Associates, Inc. | | | investor protection violation | 2005 | $115,000 |
| Hantz Financial Services, Inc. | | | investor protection violation | 2005 | $675,000 |
| Hornor, Townsend & Kent, Inc. | | | investor protection violation | 2005 | $325,000 |
| Stephens, Inc. | | | investor protection violation | 2005 | $110,000 |
| Stone & Youngberg, LLC | | | investor protection violation | 2005 | $110,000 |
| Brinker Capital Securities, Inc. | | | investor protection violation | 2005 | $60,000 |
| Emmet & Co., Inc. | | | investor protection violation | 2005 | $40,000 |
| Loop Capital Markets, LLC | | | investor protection violation | 2005 | $40,000 |
| Popular Securities, Inc. | | | investor protection violation | 2005 | $40,000 |
| BOSC, Inc. | | | investor protection violation | 2005 | $30,000 |
| Pershing LLC | | | investor protection violation | 2005 | $30,000 |
| Prager, Sealy & Co., LLC | | | investor protection violation | 2005 | $30,000 |
| Tejas Securities Group, Inc. | | | investor protection violation | 2005 | $10,000 |
| H.D. Vest Investment Services | | | investor protection violation | 2005 | $4,015,000 |
| Linsco/Private Ledger Corp. | | | investor protection violation | 2005 | $3,602,398 |
| FSC Securities Corp. | | | investor protection violation | 2005 | $2,400,000 |
| McDonald Investments Inc. | | | investor protection violation | 2005 | $1,500,000 |
| Sentra Securities Corporation and Spelman & Co., Inc. | | | investor protection violation | 2005 | $780,000 |
| Advantage Capital Corp. | | | investor protection violation | 2005 | $450,000 |
| Advest, Inc. | | | investor protection violation | 2005 | $286,415 |
| Quick & Reilly, Inc. | | | investor protection violation | 2005 | $570,000 |
| LH Ross | | | investor protection violation | 2005 | $11,968,000 |
| Yankee Financial Group, Inc. | | | investor protection violation | 2005 | $3,800,000 |
| First Command Financial Planning Inc. | | | investor protection violation | 2004 | $12,000,000 |
| Sigma Financial Corporation | | | investor protection violation | 2004 | $135,000 |
| LINSCO/Private Ledger Corp. | | | investor protection violation | 2004 | $450,000 |
| PFS Investments, Inc. | | | investor protection violation | 2004 | $450,000 |
| WM Financial Services, Inc. | | | investor protection violation | 2004 | $350,000 |
| J.P. Turner & Company, LLC | | | investor protection violation | 2004 | $185,000 |
| Financial Network Investment Corp. | | | investor protection violation | 2004 | $185,000 |
| Farmers Financial Solutions LLC | | | investor protection violation | 2004 | $125,000 |
| InterSecurities, Inc. | | | investor protection violation | 2004 | $125,000 |
| J.J.B. Hilliard, W.L. Lyons Inc. | | | investor protection violation | 2004 | $125,000 |
| Quick & Reilly, Inc. | | | investor protection violation | 2004 | $125,000 |
| Sentinel Financial Services Company | | | investor protection violation | 2004 | $700,000 |
| BNY Brokerage, Inc. | | | investor protection violation | 2004 | $12,000 |
| Carlin Equities Corporation | | | investor protection violation | 2004 | $35,000 |
| Delta Asset Management Company, L.L.C. | | | investor protection violation | 2004 | $15,000 |
| Doyle, Miles & Co., L.L.C. | | | investor protection violation | 2004 | $12,500 |
| FutureTrade Securities, L.L.C | | | investor protection violation | 2004 | $35,000 |
| Index Securities, LLC | | | investor protection violation | 2004 | $11,000 |
| Mid-Atlantic Capital Corporation | | | investor protection violation | 2004 | $10,000 |
| Options Trading Associates, LLC | | | investor protection violation | 2004 | $10,000 |
| Pulse Trading, Inc. | | | investor protection violation | 2004 | $20,000 |
| Quantlab Securities, L.P. | | | investor protection violation | 2004 | $12,500 |
| Transcend Capital, LP | | | investor protection violation | 2004 | $10,000 |
| National Securities Corp. | | | investor protection violation | 2004 | $600,000 |
| Miller Tabak Roberts Securities, LLC | | | investor protection violation | 2004 | $5,000,000 |
| First Trust Portfolios L.P | | | investor protection violation | 2004 | $118,680 |
| D.A. Davidson & Co. | | | investor protection violation | 2004 | $150,000 |
| National Planning Corp. | | | investor protection violation | 2004 | $100,000 |
| SII Investments, Inc. | | | investor protection violation | 2004 | $100,000 |
| Davenport & Co. LLC | | | investor protection violation | 2004 | $738,000 |
| Nationwide Investment Services Corporation | | | investor protection violation | 2004 | $175,000 |
| David Lerner Assoc. | | | investor protection violation | 2004 | $100,000 |
| Robertson Stephens, Inc. | | | investor protection violation | 2004 | $275,000 |
| Lehman Brothers Inc. | | | investor protection violation | 2004 | $123,882 |
| Cresap, Inc. | | | investor protection violation | 2004 | $99,458 |
| SWS Financial Services | | | investor protection violation | 2004 | $66,468 |
| Kirkpatrick, Pettis, Smith, Polian Inc. | | | investor protection violation | 2004 | $39,935 |
| David Lerner Associates, Inc. | | | investor protection violation | 2004 | $32,711 |
| Brecek & Young Advisors, Inc. | | | investor protection violation | 2004 | $31,224 |
| Worldco LLC | | | investor protection violation | 2004 | $1,500,000 |
| Metropolitan Investment Securities, Inc. | | | investor protection violation | 2003 | $4,300,000 |
| Wells Investment Securities, Inc. | | | investor protection violation | 2003 | $150,000 |
| Altegris Investments, Inc. | | | investor protection violation | 2003 | $175,000 |
| Robertson Stephens, Inc. | | | investor protection violation | 2003 | (*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $14,000,000 |
| Fiero Brothers, Inc. | | | investor protection violation | 2002 | $1,000,000 |
| Sterling Financial Investment Group | | | investor protection violation | 2002 | $40,000 |
| Swift Trade Securities USA, Inc. | | | investor protection violation | 2002 | $101,000 |
| Hornblower & Weeks, Inc. | | | investor protection violation | 2002 | $100,000 |
| M.H. Meyerson, & Co., Inc. | | | investor protection violation | 2002 | $75,000 |
| Tower Square Securities | | | investor protection violation | 2002 | $4,500,000 |
| Worldco, LLC | | | investor protection violation | 2002 | $175,000 |
| Mutual Service Corporation, Inc. | | | investor protection violation | 2001 | $35,000 |
| National Financial Services, L.L.C. | | | investor protection violation | 2001 | $30,000 |
| Windsor Capital Advisors, Inc. | | | investor protection violation | 2001 | $20,000 |
| Pershing Trading Company, L.P. | | | investor protection violation | 2001 | $20,000 |
| Gerard Klauer Mattison & Co., Inc. | | | investor protection violation | 2001 | $10,000 |
| BancBoston Robertson Stephens | | | investor protection violation | 2001 | $10,000 |
| Ko Securities, Inc. | | | investor protection violation | 2001 | $162,450 |
| Fleet Securities, Inc. | | | investor protection violation | 2001 | $50,000 |
| NDB Capital Markets LP | | | investor protection violation | 2001 | $250,000 |
| Herzog, Heine, Geduld, Inc. | | | investor protection violation | 2001 | $18,000 |
| Access Securities, Inc. | | | investor protection violation | 2001 | $14,000 |
| Aegis Capital Corp. | | | investor protection violation | 2001 | $19,000 |
| Dalton Kent Securities Group, Inc. | | | investor protection violation | 2001 | $25,000 |
