| Providential Securities, Inc. | | | investor protection violation | 2000 | $115,000 |
| Morgan Stanley & Co. Inc. | Morgan Stanley | financial services | investor protection violation | 2000 | $200,000 |
| Asensio & Company, Inc. | | | investor protection violation | 2000 | $75,000 |
| Merrill Lynch, Pierce, Fenner & Smith, Inc. | Bank of America | financial services | investor protection violation | 2000 | $97,000 |
| E-TRADE Securities, Inc. | Morgan Stanley | financial services | investor protection violation | 2000 | $20,000 |
| 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 |
| John Nuveen & Co., Inc. | TIAA | financial services | investor protection violation | 2000 | $6,630,000 |
| Peacock, Hislop, Staley & Given, Inc. | | | investor protection violation | 2000 | $539,117 |
| Scott & Stringfellow, Inc. | | | investor protection violation | 2000 | $393,263 |
| First Union Securities, Inc. | Wells Fargo | financial services | investor protection violation | 2000 | $350,000 |
| Botta Trading, LLC | | | investor protection violation | 2000 | $75,000 |
| J. P. Morgan Securities Inc. | JPMorgan Chase | financial services | investor protection violation | 2000 | $200,000 |
| Kemper Distributors, Inc. | Kemper | financial services | investor protection violation | 2000 | $100,000 |
| E-TRADE Securities, Inc. | Morgan Stanley | financial services | investor protection violation | 2000 | $20,000 |
| Wheat First Securities Inc. | | | investor protection violation | 2000 | $7,730,000 |
| A.G. Edwards & Sons, Inc. | Wells Fargo | financial services | investor protection violation | 2000 | $5,890,000 |
| Raymond James & Associates Inc. | Raymond James Financial | financial services | investor protection violation | 2000 | $3,410,000 |
| CS First Boston Corp. | UBS | financial services | investor protection violation | 2000 | $1,240,000 |
| Piper Jaffray Inc. | Piper Sandler | financial services | investor protection violation | 2000 | $933,000 |
| J.C. Bradford & Co. | | | investor protection violation | 2000 | $536,000 |
| Southwest Securities Inc. | Hilltop Holdings | financial services | investor protection violation | 2000 | $500,000 |
| Prudential Securities, Inc. | Wells Fargo | financial services | investor protection violation | 2000 | $100,000 |
| 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 |
| Morgan Stanley & Co., Inc. | Morgan Stanley | financial services | investor protection violation | 2000 | $495,000 |
| CUNA Brokerage Services, Inc. | CUNA Mutual | financial services | investor protection violation | 2001 | $100,000 |
| 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 |
| Prudential Securities Incorporated | Wells Fargo | financial services | 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 |
| J.P. Morgan Securities, Inc. | JPMorgan Chase | financial services | 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 |
| Schwab Capital Markets | UBS | financial services | investor protection violation | 2001 | $12,000 |
| Spear, Leeds & Kellogg | Goldman Sachs | financial services | investor protection violation | 2001 | $10,000 |
| 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 |
| Ramius Securities L.L.C. | | | investor protection violation | 2001 | $61,000 |
| Torrey Pines Securities, Inc. | | | investor protection violation | 2001 | $14,000 |
| E-Trade Securities | Morgan Stanley | financial services | investor protection violation | 2001 | $90,000 |
| 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 |
| Banc of America Securities LLC | Bank of America | financial services | investor protection violation | 2001 | $40,000 |
| Credit Suisse First Boston Corporation | UBS | financial services | investor protection violation | 2001 | $25,000 |
| ING Barings LLC | | | investor protection violation | 2001 | $20,000 |
| Merrill Lynch, Pierce, Fenner & Smith, Inc. | Bank of America | financial services | investor protection violation | 2001 | $15,000 |
| Penson Financial Services, Inc. | | | investor protection violation | 2001 | $15,000 |
| Chase Securities, Inc. | JPMorgan Chase | financial services | investor protection violation | 2001 | $10,000 |
| 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 |
| Josephthal & Co., Inc. | Oppenheimer Holdings | financial services | investor protection violation | 2001 | $2,300,000 |
| Stifel, Nicolaus & Company, Inc. | Stifel Financial | financial services | investor protection violation | 2001 | $225,000 |
| Banc One Capital Markets, Inc. | | | investor protection violation | 2001 | $1,800,000 |
| Prudential Securities, Inc. | Wells Fargo | financial services | investor protection violation | 2001 | $10,000 |
| First Union Brokerage Services, Inc. | Wells Fargo | financial services | investor protection violation | 2001 | $32,500 |
| 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 |
| American Express Financial Advisors Inc. | Ameriprise Financial | financial services | investor protection violation | 2002 | $350,000 |
| Deutsche Bank Securities Inc. | Deutsche Bank | financial services | investor protection violation | 2002 | (*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $1,650,000 |
| Goldman, Sachs & Co. | Goldman Sachs | financial services | investor protection violation | 2002 | (*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $1,650,000 |
| Morgan Stanley & Co. Incorporated | Morgan Stanley | financial services | investor protection violation | 2002 | (*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $1,650,000 |
| Salomon Smith Barney Inc. | Morgan Stanley | financial services | investor protection violation | 2002 | (*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $1,650,000 |
| U.S. Bancorp Piper Jaffray Inc. | Piper Sandler | financial services | investor protection violation | 2002 | (*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $1,650,000 |
| 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 |
| Salomon Smith Barney | Morgan Stanley | financial services | investor protection violation | 2002 | $5,000,000 |
| U.S. Bancorp Piper Jaffray | Piper Sandler | financial services | investor protection violation | 2002 | $250,000 |
| Hornblower & Weeks, Inc. | | | investor protection violation | 2002 | $100,000 |
| M.H. Meyerson, & Co., Inc. | | | investor protection violation | 2002 | $75,000 |
| Interactive Brokers, L.L.C. | Interactive Brokers Group | financial services | investor protection violation | 2002 | $230,000 |
| Credit Suisse First Boston Corporation | UBS | financial services | investor protection violation | 2002 | (*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $50,000,000 |
| Tower Square Securities | | | investor protection violation | 2002 | $4,500,000 |
| Worldco, LLC | | | investor protection violation | 2002 | $175,000 |
| Knight Securities L.P. | Virtu Financial | financial services | investor protection violation | 2002 | $1,500,000 |
| Metropolitan Investment Securities, Inc. | | | investor protection violation | 2003 | $4,300,000 |
| Morgan Stanley DW Inc. | Morgan Stanley | financial services | 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. $50,000,000 |
| Wells Investment Securities, Inc. | | | investor protection violation | 2003 | $150,000 |
| Morgan Stanley DW Inc. | Morgan Stanley | financial services | investor protection violation | 2003 | $2,000,000 |
| Altegris Investments, Inc. | | | investor protection violation | 2003 | $175,000 |
| J.P. Morgan Securities, Inc. | JPMorgan Chase | financial services | investor protection violation | 2003 | $6,000,000 |
| 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 |
