| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Bank of America | financial services | investor protection violation | 2014 | $2,440,000 |
| Merrill Lynch, Pierce, Fenner & Smith Inc. | Bank of America | financial services | investor protection violation | 2014 | $4,000,000 |
| Merrill Lynch | Bank of America | financial services | investor protection violation | 2014 | $6,000,000 |
| Merrill Lynch, Pierce, Fenner & Smith, Inc. | Bank of America | financial services | investor protection violation | 2014 | $32,400,000 |
| Merrill Lynch, Pierce, Fenner & Smith, Inc. | Bank of America | financial services | investor protection violation | 2014 | $1,000,000 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Bank of America | financial services | investor protection violation | 2013 | $2,000,000 |
| Merrill Lynch, Pierce, Fenner & Smith Inc. | Bank of America | financial services | investor protection violation | 2013 | $1,373,000 |
| Merrill Lynch | Bank of America | financial services | investor protection violation | 2012 | $1,074,200 |
| Merrill Lynch, Pierce, Fenner & Smith Inc. | Bank of America | financial services | investor protection violation | 2012 | $500,000 |
| Merrill Lynch, Pierce, Fenner & Smith, Inc. | Bank of America | financial services | investor protection violation | 2012 | $2,800,000 |
| Merrill Lynch, Pierce, Fenner & Smith | Bank of America | financial services | investor protection violation | 2012 | $1,000,000 |
| Merrill Lynch, Pierce, Fenner & Smith Inc. | Bank of America | financial services | investor protection violation | 2011 | $1,000,000 |
| Merrill Lynch | Bank of America | financial services | investor protection violation | 2011 | $3,000,000 |
| Merrill Lynch | Bank of America | financial services | investor protection violation | 2010 | $2,500,000 |
| Merrill Lynch, Pierce, Fenner & Smith, Inc. | Bank of America | financial services | investor protection violation | 2009 | $150,000 |
| Merrill Lynch | Bank of America | financial services | investor protection violation | 2008 | $250,000 |
| Merrill Lynch, Pierce, Fenner & Smith, Inc. | Bank of America | financial services | investor protection violation | 2008 | $200,000 |
| Banc of America Investment Services Inc. | Bank of America | financial services | anti-money-laundering deficiencies | 2007 | $3,000,000 |
| Merrill Lynch, Pierce, Fenner & Smith Inc. | Bank of America | financial services | investor protection violation | 2006 | $5,000,000 |
| Merrill Lynch, Pierce, Fenner & Smith | Bank of America | financial services | investor protection violation | 2005 | $14,000,000 |
| Banc of America Investment Services, Inc. | Bank of America | financial services | investor protection violation | 2005 | $90,000 |
| Merrill Lynch, Pierce, Fenner & Smith, Inc. | Bank of America | financial services | investor protection violation | 2004 | $1,600,000 |
| Banc of America Investment Services Inc. | Bank of America | financial services | investor protection violation | 2004 | $200,000 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Bank of America | financial services | investor protection violation | 2004 | $250,000 |
| Merrill Lynch, Pierce, Fenner & Smith Inc. | Bank of America | financial services | investor protection violation | 2004 | $109,527 |
| Banc of America Securities LLC | Bank of America | financial services | investor protection violation | 2001 | $40,000 |
| Merrill Lynch, Pierce, Fenner & Smith, Inc. | Bank of America | financial services | investor protection violation | 2001 | $15,000 |
| Merrill Lynch, Pierce, Fenner & Smith, Inc. | Bank of America | financial services | investor protection violation | 2000 | $97,000 |
| Merrill Lynch, Pierce, Fenner & Smith, Inc. | Bank of America | financial services | investor protection violation | 2021 | $11,650,000 |
| Merrill Lynch, Pierce, Fenner & Smith, Inc. | Bank of America | financial services | investor protection violation | 2022 | $15,200,000 |
| BofA Securities, Inc. | Bank of America | financial services | investor protection violation | 2022 | $5,000,000 |
| Merrill Lynch, Pierce, Fenner & Smith Inc. | Bank of America | financial services | anti-money-laundering deficiencies | 2023 | $6,000,000 |
| BofA Securities, Inc. | Bank of America | financial services | investor protection violation | 2023 | $24,000,000 |
| Santander Securities LLC | Banco Santander | financial services | investor protection violation | 2015 | $6,421,000 |
| Santander Securities of Puerto Rico | Banco Santander | financial services | investor protection violation | 2011 | $2,000,000 |
| NEXT Financial Group, Inc. | Atria Wealth Solutions | financial services | investor protection violation | 2011 | $2,050,000 |
| NEXT Financial Group, Inc. | Atria Wealth Solutions | financial services | investor protection violation | 2009 | $1,000,000 |
| 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 |
| Ameritas Investment Corp. | Ameritas Mutual Holding Company | financial services | investor protection violation | 2015 | $278,544 |
| Ameritas Investment Corp. | Ameritas Mutual Holding Company | financial services | investor protection violation | 2009 | $100,000 |
| Ameriprise Financial Services, Inc. | Ameriprise Financial | financial services | investor protection violation | 2016 | $850,000 |
| Ameriprise Financial Services, Inc. | Ameriprise Financial | financial services | investor protection violation | 2013 | $750,000 |
| Ameriprise Financial Services, Inc. | Ameriprise Financial | financial services | investor protection violation | 2005 | $12,300,000 |
| Ameriprise Financial Services, Inc. | Ameriprise Financial | financial services | investor protection violation | 2005 | $1,250,000 |
| American Express Financial Advisors | Ameriprise Financial | financial services | investor protection violation | 2005 | $13,000,000 |
| American Express Financial Advisors Inc. | Ameriprise Financial | financial services | investor protection violation | 2004 | $700,000 |
| American Express Financial Advisors, Inc. | Ameriprise Financial | financial services | investor protection violation | 2004 | $300,000 |
| American Express Financial Advisors Inc. | Ameriprise Financial | financial services | investor protection violation | 2002 | $350,000 |
| VALIC Financial Advisors, Inc. | American International Group | financial services | investor protection violation | 2016 | $1,750,000 |
| SunAmerica Securities, Inc. | American International Group | financial services | investor protection violation | 2009 | $300,000 |
| SunAmerica Securities, Inc. | American International Group | financial services | investor protection violation | 2005 | $2,500,000 |
| SunAmerica Securities, Inc. | American International Group | financial services | investor protection violation | 2004 | $100,000 |
| Allstate Financial Services LLC | Allstate | financial services | investor protection violation | 2004 | $150,000 |
| USAllianz Securities | Allianz | financial services | investor protection violation | 2006 | $5,000,000 |
| Transamerica Financial Advisors, Inc. | Aegon | financial services | investor protection violation | 2020 | $8,800,000 |
| World Group Securities, Inc. | Aegon | financial services | investor protection violation | 2004 | $150,000 |
| ABN AMRO Incorporated | ABN AMRO | financial services | investor protection violation | 2005 | $220,000 |
| 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 |
