| Dalton Kent Securities Group, Inc. | | | investor protection violation | 2001 | $25,000 |
| Ramius Securities L.L.C. | | | investor protection violation | 2001 | $61,000 |
| Torrey Pines Securities, Inc. | | | investor protection violation | 2001 | $14,000 |
| NDB Capital Markets, LP | | | investor protection violation | 2001 | $75,000 |
| Lehman Brothers, Inc. | | | investor protection violation | 2001 | $65,000 |
| Fleet Securities, Inc. | | | investor protection violation | 2001 | $40,000 |
| Herzog, Heine, Geduld, Inc. | | | investor protection violation | 2001 | $40,000 |
| ING Barings LLC | | | investor protection violation | 2001 | $20,000 |
| Penson Financial Services, Inc. | | | investor protection violation | 2001 | $15,000 |
| Ramius Securities LLC | | | investor protection violation | 2001 | $10,000 |
| All-Tech Direct, Inc. | | | investor protection violation | 2001 | $250,000 |
| Momentum Securities, LLC | | | investor protection violation | 2001 | $75,000 |
| CyBerBroker, Inc. | | | investor protection violation | 2001 | $20,000 |
| Cornerstone Securities Corporation | | | investor protection violation | 2001 | $35,000 |
| Summit Trading, Inc. | | | investor protection violation | 2001 | $20,000 |
| Banc One Capital Markets, Inc. | | | investor protection violation | 2001 | $1,800,000 |
| Allmerica Investments, Inc. | | | investor protection violation | 2001 | $15,000 |
| Lutheran Brotherhood Securities Corp. | | | investor protection violation | 2001 | $25,000 |
| Datek Online Brokerage Services, LLC | | | investor protection violation | 2001 | $30,000 |
| Providential Securities, Inc. | | | investor protection violation | 2000 | $115,000 |
| Asensio & Company, Inc. | | | investor protection violation | 2000 | $75,000 |
| R.D. White & Co., Inc. | | | investor protection violation | 2000 | $500,000 |
| WMA Securities, Inc. | | | investor protection violation | 2000 | $125,000 |
| Cain Brothers & Company, LLC and SHP Capital Markets, Inc. | | | investor protection violation | 2000 | $1,180,000 |
| First Chicago Capital Markets, Inc. | | | investor protection violation | 2000 | $4,420,000 |
| Peacock, Hislop, Staley & Given, Inc. | | | investor protection violation | 2000 | $539,117 |
| Scott & Stringfellow, Inc. | | | investor protection violation | 2000 | $393,263 |
| Botta Trading, LLC | | | investor protection violation | 2000 | $75,000 |
| Wheat First Securities Inc. | | | investor protection violation | 2000 | $7,730,000 |
| J.C. Bradford & Co. | | | investor protection violation | 2000 | $536,000 |
| 1-800DAYTRADE.COM, Inc. | | | investor protection violation | 2000 | $25,000 |
| Donnelly & Co., Inc. | | | investor protection violation | 2000 | $17,500 |
| LaSalle St. Securities, L.L.C. | | | investor protection violation | 2000 | $13,000 |
| Addison Securities, Inc. | | | investor protection violation | 2000 | $37,500 |
| Choice Investments, Inc. | | | investor protection violation | 2000 | $27,000 |
| Aegis Capital Corp. | | | investor protection violation | 2021 | $2,800,000 |
| Wefunder Portal LLC | | | investor protection violation | 2022 | $1,400,000 |
| StartEngine Capital LLC | | | investor protection violation | 2022 | $350,000 |
| Webull Financial LLC | | | investor protection violation | 2023 | $3,000,000 |
| M1 Finance LLC | | | investor protection violation | 2023 | $1,236,918 |
| Open to the Public Investing, Inc. | | | investor protection violation | 2023 | $528,124 |
| SoFi Securities LLC | | | investor protection violation | 2023 | $698,282 |
| SogoTrade, Inc. | | | investor protection violation | 2023 | $204,767 |
