| 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 |
| National Securities Corporation | | | investor protection violation | 2009 | $25,000 |
| Gary Goldberg & Co., Inc | | | investor protection violation | 2009 | $19,500 |
| FSC Securities Corporation | | | investor protection violation | 2009 | $15,000 |
| Lincoln Investment Planning, Inc. | | | investor protection violation | 2009 | $15,000 |
| Spelman & Co. | | | investor protection violation | 2009 | $10,000 |
| Stephen L. Falk & Associates, Inc. | | | investor protection violation | 2009 | $7,500 |
| First Midwest Securities, Inc. | | | investor protection violation | 2009 | $7,000 |
| GunnAllen Financial, Inc. | | | investor protection violation | 2009 | $6,000 |
| Advantage Capital Corporation | | | investor protection violation | 2009 | $5,000 |
| Financial West Group | | | investor protection violation | 2009 | $5,000 |
| First New York Securities L.L.C. | | | investor protection violation | 2009 | $341,000 |
| Robert W. Baird & Co. | | | investor protection violation | 2009 | $934,510 |
| Leonard & Co. | | | investor protection violation | 2009 | $225,000 |
| J.P. Turner & Company, LLC | | | investor protection violation | 2008 | $250,000 |
| City National Securities | | | investor protection violation | 2008 | $315,000 |
| Harris Investor Services, Inc. | | | investor protection violation | 2008 | $150,000 |
| Banorte Securities International, Ltd. | | | investor protection violation | 2008 | $1,100,000 |
| First Southwest Company | | | investor protection violation | 2008 | $300,000 |
| WaMu Investments, Inc. | | | investor protection violation | 2008 | $250,000 |
| GunnAllen Financial, Inc. | | | investor protection violation | 2008 | $750,000 |
| American Fund Distributors | | | investor protection violation | 2008 | $5,000,000 |
| SMH Capital Inc. | | | investor protection violation | 2008 | $450,000 |
| Broadpoint Capital, Inc. | | | investor protection violation | 2008 | $200,000 |
| Lehman Brothers, Inc. | | | investor protection violation | 2008 | $200,000 |
| Needham & Company, LLC | | | investor protection violation | 2008 | $200,000 |
| Robert W. Baird & Co., Inc. | | | investor protection violation | 2008 | $200,000 |
| Leerink Swann & Company, Inc. | | | investor protection violation | 2008 | $150,000 |
| JMP Securities, LLC | | | investor protection violation | 2008 | $50,000 |
| Pacific Crest Securities, Inc. | | | investor protection violation | 2008 | $50,000 |
| Rafferty Capital Markets, LLC | | | investor protection violation | 2007 | $409,605 |
| Scudder Distributors, Inc. | | | investor protection violation | 2007 | $425,000 |
| EKN Financial Services Inc. | | | investor protection violation | 2006 | $200,000 |
| McLaughlin, Piven and Vogel Securities Inc. | | | investor protection violation | 2006 | $50,000 |
| American Funds Distributors Inc. | | | investor protection violation | 2006 | $5,000,000 |
| Trillium Trading LLC | | | investor protection violation | 2006 | $225,000 |
| Schonfeld & Company LLC | | | investor protection violation | 2006 | $175,000 |
| LaSalle Street Securities, Inc. | | | investor protection violation | 2006 | $200,000 |
| Boston Capital Securities, Inc. | | | investor protection violation | 2006 | $1,200,000 |
| David Lerner Associates, Inc. | | | investor protection violation | 2006 | $400,000 |
| Diversified Investors Securities Corp. | | | investor protection violation | 2006 | $2,250,000 |
| Berean Capital Incorporated | | | investor protection violation | 2006 | $100,000 |
| Linsco/Private Ledger Corporation | | | investor protection violation | 2005 | $2,400,000 |
