| Choice Investments, Inc. | | | investor protection violation | 2000 | $27,000 |
| Morgan Stanley & Co., Inc. | Morgan Stanley | financial services | investor protection violation | 2000 | $495,000 |
| Robinhood Financial LLC | Robinhood Markets | financial services | investor protection violation | 2021 | $69,600,000 |
| Merrill Lynch, Pierce, Fenner & Smith, Inc. | Bank of America | financial services | investor protection violation | 2021 | $11,650,000 |
| Aegis Capital Corp. | | | investor protection violation | 2021 | $2,800,000 |
| Credit Suisse Securities | UBS | financial services | investor protection violation | 2022 | $9,000,000 |
| Merrill Lynch, Pierce, Fenner & Smith, Inc. | Bank of America | financial services | investor protection violation | 2022 | $15,200,000 |
| Wefunder Portal LLC | | | investor protection violation | 2022 | $1,400,000 |
| StartEngine Capital LLC | | | investor protection violation | 2022 | $350,000 |
| UBS Securities LLC | UBS | financial services | investor protection violation | 2022 | $2,500,000 |
| BofA Securities, Inc. | Bank of America | financial services | investor protection violation | 2022 | $5,000,000 |
| 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 |
| BofA Securities, Inc. | Bank of America | financial services | investor protection violation | 2023 | $24,000,000 |
| Morgan Stanley Smith Barney LLC | Morgan Stanley | financial services | investor protection violation | 2024 | $1,600,000 |
| Interactive Brokers LLC | Interactive Brokers Group | financial services | anti-money-laundering deficiencies | 2020 | $15,000,000 |
| BNP Paribas Securities Corp. and BNP Paribas Prime Brokerage, Inc. | BNP Paribas | financial services | anti-money-laundering deficiencies | 2019 | $15,000,000 |
| Morgan Stanley Smith Barney LLC | Morgan Stanley | financial services | anti-money-laundering deficiencies | 2018 | $10,000,000 |
| UBS Financial Services Inc. and UBS Securities LLC | UBS | financial services | anti-money-laundering deficiencies | 2018 | $5,000,000 |
| Industrial and Commercial Bank of China Financial Services LLC | Industrial and Commercial Bank of China | financial services | anti-money-laundering deficiencies | 2018 | $5,300,000 |
| Aegis Capital Corp. | | | anti-money-laundering deficiencies | 2018 | $550,000 |
| Credit Suisse Securities (USA) LLC | UBS | financial services | anti-money-laundering deficiencies | 2016 | $16,500,000 |
| Raymond James & Associates, Inc. and Raymond James Financial Services, Inc. | Raymond James Financial | financial services | anti-money-laundering deficiencies | 2016 | $17,000,000 |
| Wells Fargo Advisors and Wells Fargo Advisors Financial Network | Wells Fargo | financial services | anti-money-laundering deficiencies | 2014 | $1,500,000 |
| Brown Brothers Harriman & Co. | Brown Brothers Harriman | financial services | anti-money-laundering deficiencies | 2014 | $8,000,000 |
| Banorte-Ixe Securities International, Ltd. | | | anti-money-laundering deficiencies | 2014 | $475,000 |
| COR Clearing LLC | | | anti-money-laundering deficiencies | 2013 | $1,000,000 |
| Oppenheimer and Co., Inc. | Oppenheimer Holdings | financial services | anti-money-laundering deficiencies | 2013 | $1,425,000 |
| 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 |
| Penson Financial Services | | | anti-money-laundering deficiencies | 2010 | $450,000 |
| Pinnacle Capital Markets | | | anti-money-laundering deficiencies | 2010 | $300,000 |
| Scottrade | Charles Schwab Corp. | financial services | anti-money-laundering deficiencies | 2009 | $600,000 |
| 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 |
| E-Trade Securities LLC and E-Trade Clearing LLC | Morgan Stanley | financial services | anti-money-laundering deficiencies | 2009 | $1,000,000 |
| 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 | anti-money-laundering deficiencies | 2023 | $6,000,000 |
