| 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 |
| First Avantus Securities, Inc. | | | investor protection violation | 2005 | $100,000 |
| National Securities Corporation | | | investor protection violation | 2005 | $85,000 |
| First Clearing Corporation | | | investor protection violation | 2005 | $110,000 |
| DebtTraders, Inc. | | | investor protection violation | 2005 | $120,000 |
| Green Street Advisors | | | investor protection violation | 2005 | $150,000 |
| Instinet, LLC and INET ATS, Inc. | | | investor protection violation | 2005 | $1,475,000 |
| IFC Holdings, Inc. d/b/a INVEST Financial Corporation | | | investor protection violation | 2005 | $1,520,000 |
| Commonwealth Financial Network | | | investor protection violation | 2005 | $1,400,000 |
| National Planning Corporation Inc. | | | investor protection violation | 2005 | $1,308,000 |
| Mutual Service Corporation | | | investor protection violation | 2005 | $1,300,000 |
| SII Investments, Inc. | | | investor protection violation | 2005 | $658,500 |
| Lord Abbett Distributor, LLC | | | investor protection violation | 2005 | $255,000 |
| First Allied Securities, Inc. | | | investor protection violation | 2005 | $734,500 |
| David Lerner Associates, Inc. | | | investor protection violation | 2005 | $115,000 |
| Hantz Financial Services, Inc. | | | investor protection violation | 2005 | $675,000 |
| Hornor, Townsend & Kent, Inc. | | | investor protection violation | 2005 | $325,000 |
| Stephens, Inc. | | | investor protection violation | 2005 | $110,000 |
| Stone & Youngberg, LLC | | | investor protection violation | 2005 | $110,000 |
| Brinker Capital Securities, Inc. | | | investor protection violation | 2005 | $60,000 |
| Emmet & Co., Inc. | | | investor protection violation | 2005 | $40,000 |
| Loop Capital Markets, LLC | | | investor protection violation | 2005 | $40,000 |
| Popular Securities, Inc. | | | investor protection violation | 2005 | $40,000 |
| BOSC, Inc. | | | investor protection violation | 2005 | $30,000 |
| Pershing LLC | | | investor protection violation | 2005 | $30,000 |
| Prager, Sealy & Co., LLC | | | investor protection violation | 2005 | $30,000 |
| Tejas Securities Group, Inc. | | | investor protection violation | 2005 | $10,000 |
| H.D. Vest Investment Services | | | investor protection violation | 2005 | $4,015,000 |
| Linsco/Private Ledger Corp. | | | investor protection violation | 2005 | $3,602,398 |
| FSC Securities Corp. | | | investor protection violation | 2005 | $2,400,000 |
| McDonald Investments Inc. | | | investor protection violation | 2005 | $1,500,000 |
| Sentra Securities Corporation and Spelman & Co., Inc. | | | investor protection violation | 2005 | $780,000 |
| Advantage Capital Corp. | | | investor protection violation | 2005 | $450,000 |
| Advest, Inc. | | | investor protection violation | 2005 | $286,415 |
| Quick & Reilly, Inc. | | | investor protection violation | 2005 | $570,000 |
| LH Ross | | | investor protection violation | 2005 | $11,968,000 |
| Yankee Financial Group, Inc. | | | investor protection violation | 2005 | $3,800,000 |
| First Command Financial Planning Inc. | | | investor protection violation | 2004 | $12,000,000 |
| Sigma Financial Corporation | | | investor protection violation | 2004 | $135,000 |
| LINSCO/Private Ledger Corp. | | | investor protection violation | 2004 | $450,000 |
| PFS Investments, Inc. | | | investor protection violation | 2004 | $450,000 |
| WM Financial Services, Inc. | | | investor protection violation | 2004 | $350,000 |
| J.P. Turner & Company, LLC | | | investor protection violation | 2004 | $185,000 |
| Financial Network Investment Corp. | | | investor protection violation | 2004 | $185,000 |
| Farmers Financial Solutions LLC | | | investor protection violation | 2004 | $125,000 |
| InterSecurities, Inc. | | | investor protection violation | 2004 | $125,000 |
| J.J.B. Hilliard, W.L. Lyons Inc. | | | investor protection violation | 2004 | $125,000 |
| Quick & Reilly, Inc. | | | investor protection violation | 2004 | $125,000 |
| Sentinel Financial Services Company | | | investor protection violation | 2004 | $700,000 |
| BNY Brokerage, Inc. | | | investor protection violation | 2004 | $12,000 |
| Carlin Equities Corporation | | | investor protection violation | 2004 | $35,000 |
| Delta Asset Management Company, L.L.C. | | | investor protection violation | 2004 | $15,000 |
| Doyle, Miles & Co., L.L.C. | | | investor protection violation | 2004 | $12,500 |
| FutureTrade Securities, L.L.C | | | investor protection violation | 2004 | $35,000 |
| Index Securities, LLC | | | investor protection violation | 2004 | $11,000 |
| Mid-Atlantic Capital Corporation | | | investor protection violation | 2004 | $10,000 |
| Options Trading Associates, LLC | | | investor protection violation | 2004 | $10,000 |
| Pulse Trading, Inc. | | | investor protection violation | 2004 | $20,000 |
| Quantlab Securities, L.P. | | | investor protection violation | 2004 | $12,500 |
