| Quantlab Securities, L.P. | | | investor protection violation | 2004 | $12,500 |
| Transcend Capital, LP | | | investor protection violation | 2004 | $10,000 |
| National Securities Corp. | | | investor protection violation | 2004 | $600,000 |
| Miller Tabak Roberts Securities, LLC | | | investor protection violation | 2004 | $5,000,000 |
| First Trust Portfolios L.P | | | investor protection violation | 2004 | $118,680 |
| D.A. Davidson & Co. | | | investor protection violation | 2004 | $150,000 |
| National Planning Corp. | | | investor protection violation | 2004 | $100,000 |
| SII Investments, Inc. | | | investor protection violation | 2004 | $100,000 |
| Davenport & Co. LLC | | | investor protection violation | 2004 | $738,000 |
| Nationwide Investment Services Corporation | | | investor protection violation | 2004 | $175,000 |
| David Lerner Assoc. | | | investor protection violation | 2004 | $100,000 |
| Robertson Stephens, Inc. | | | investor protection violation | 2004 | $275,000 |
| Lehman Brothers Inc. | | | investor protection violation | 2004 | $123,882 |
| Cresap, Inc. | | | investor protection violation | 2004 | $99,458 |
| SWS Financial Services | | | investor protection violation | 2004 | $66,468 |
| Kirkpatrick, Pettis, Smith, Polian Inc. | | | investor protection violation | 2004 | $39,935 |
| David Lerner Associates, Inc. | | | investor protection violation | 2004 | $32,711 |
| Brecek & Young Advisors, Inc. | | | investor protection violation | 2004 | $31,224 |
| Worldco LLC | | | investor protection violation | 2004 | $1,500,000 |
| Metropolitan Investment Securities, Inc. | | | investor protection violation | 2003 | $4,300,000 |
| Wells Investment Securities, Inc. | | | investor protection violation | 2003 | $150,000 |
| Altegris Investments, Inc. | | | investor protection violation | 2003 | $175,000 |
| 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 |
| 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 |
| Hornblower & Weeks, Inc. | | | investor protection violation | 2002 | $100,000 |
| M.H. Meyerson, & Co., Inc. | | | investor protection violation | 2002 | $75,000 |
| Tower Square Securities | | | investor protection violation | 2002 | $4,500,000 |
| Worldco, LLC | | | investor protection violation | 2002 | $175,000 |
| 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 |
| 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 |
| 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 |
| 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 |
| 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 |
| Jefferies & Company, Inc. | Jefferies Financial Group | diversified | investor protection violation | 2011 | $1,925,000 |
| Jefferies & Company, Inc. | Jefferies Financial Group | diversified | investor protection violation | 2008 | $50,000 |
| Jefferies & Company, Inc. | Jefferies Financial Group | diversified | investor protection violation | 2006 | $5,500,000 |
| Transamerica Financial Advisors, Inc. | Aegon | financial services | investor protection violation | 2020 | $8,800,000 |
| Wells Fargo Clearing Services, LLC and Wells Fargo Advisors Financial Network, LLC | Wells Fargo | financial services | investor protection violation | 2020 | $2,075,000 |
| Interactive Brokers LLC | Interactive Brokers Group | financial services | anti-money-laundering deficiencies | 2020 | $15,000,000 |
| SG Americas Securities, LLC | Societe Generale | financial services | investor protection violation | 2020 | $1,550,000 |
| Merrill Lynch, Pierce, Fenner & Smith Inc. | Bank of America | financial services | investor protection violation | 2020 | $7,200,000 |
| Stifel, Nicolaus & Company, Incorporated | Stifel Financial | financial services | investor protection violation | 2020 | $3,650,000 |
| Oppenheimer & Co. Inc. | Oppenheimer Holdings | financial services | investor protection violation | 2019 | $4,600,000 |
| Citigroup Global Markets Inc. | Citigroup | financial services | investor protection violation | 2019 | $280,000 |
| J.P. Morgan Securities LLC | JPMorgan Chase | financial services | investor protection violation | 2019 | $280,000 |
| LPL Financial LLC | LPL Financial | financial services | investor protection violation | 2019 | $280,000 |
| Morgan Stanley Smith Barney LLC | Morgan Stanley | financial services | investor protection violation | 2019 | $280,000 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Bank of America | financial services | investor protection violation | 2019 | $280,000 |
| Credit Suisse Securities (USA) LLC | UBS | financial services | investor protection violation | 2019 | $6,500,000 |
