| SoFi Securities LLC | | | investor protection violation | 2023 | $698,282 |
| Workman Securities Corp. | | | investor protection violation | 2011 | $700,000 |
| Piper Jaffray & Co. | Piper Sandler | financial services | investor protection violation | 2010 | $700,000 |
| Pacific Cornerstone Capital | | | investor protection violation | 2009 | $700,000 |
| SunTrust Investment Services, Inc. | Truist Financial | financial services | investor protection violation | 2008 | $700,000 |
| American Express Financial Advisors Inc. | Ameriprise Financial | financial services | investor protection violation | 2004 | $700,000 |
| Sentinel Financial Services Company | | | investor protection violation | 2004 | $700,000 |
| Cetera Advisors LLC | | | investor protection violation | 2015 | $702,622 |
| J.P. Turner & Company, L.L.C. | | | investor protection violation | 2013 | $707,559 |
| Citigroup Global Markets, Inc. | Citigroup | financial services | investor protection violation | 2012 | $725,000 |
| First Allied Securities, Inc. | | | investor protection violation | 2005 | $734,500 |
| Davenport & Co. LLC | | | investor protection violation | 2004 | $738,000 |
| Park Avenue Securities LLC | | | investor protection violation | 2015 | $743,255 |
| TradeStation Securities, Inc. | | | investor protection violation | 2008 | $750,000 |
| C.L. King & Associates, Inc. | | | investor protection violation | 2017 | $750,000 |
| LPL Financial LLC | LPL Financial | financial services | investor protection violation | 2016 | $750,000 |
| Cetera Advisor Networks LLC | | | investor protection violation | 2016 | $750,000 |
| Ameriprise Financial Services, Inc. | Ameriprise Financial | financial services | investor protection violation | 2013 | $750,000 |
| Comerica Securities, Inc. | Comerica | financial services | investor protection violation | 2008 | $750,000 |
| GunnAllen Financial, Inc. | | | investor protection violation | 2008 | $750,000 |
| Securities America, Inc. | Reverence Capital Partners | private equity (including portfolio companies) | investor protection violation | 2015 | $752,686 |
| Credit Suisse First Boston LLC | UBS | financial services | investor protection violation | 2004 | $770,000 |
| AXA Advisors, LLC | Equitable Holdings | financial services | investor protection violation | 2019 | $772,000 |
| Berthel Fisher & Company Financial Services, Inc. | Berthel Fisher | financial services | investor protection violation | 2014 | $775,000 |
| Sentra Securities Corporation and Spelman & Co., Inc. | | | investor protection violation | 2005 | $780,000 |
| J.P. Morgan Securities LLC | JPMorgan Chase | financial services | investor protection violation | 2017 | $800,000 |
| StockCross Financial Services, Inc. | | | investor protection violation | 2015 | $800,000 |
| Goldman Sachs Execution & Clearing, L.P. | Goldman Sachs | financial services | investor protection violation | 2014 | $800,000 |
| Guggenheim Securities, LLC | | | investor protection violation | 2012 | $800,000 |
| Morgan Stanley & Co., Inc. | Morgan Stanley | financial services | investor protection violation | 2010 | $800,000 |
| Oppenheimer & Co. Inc. | Oppenheimer Holdings | financial services | investor protection violation | 2006 | $800,000 |
| SG Cowen, LLC | Toronto-Dominion Bank | financial services | investor protection violation | 2004 | $800,000 |
| Morgan Stanley | Morgan Stanley | financial services | investor protection violation | 2012 | $817,754 |
| H&R Block Financial Advisors, Inc. | H&R Block | financial services | investor protection violation | 2004 | $825,000 |
| Ameriprise Financial Services, Inc. | Ameriprise Financial | financial services | investor protection violation | 2016 | $850,000 |
| CCO Investment Services Corp. | Citizens Financial Group | financial services | investor protection violation | 2006 | $850,000 |
| Summit Brokerage Services, Inc. | | | investor protection violation | 2019 | $880,000 |
| Raymond James & Associates, Inc. and Raymond James Financial Services, Inc. | Raymond James Financial | financial services | investor protection violation | 2005 | $888,000 |
| Lek Securities Corporation | | | investor protection violation | 2019 | $900,000 |
| E-Trade Securities LLC | Morgan Stanley | financial services | investor protection violation | 2016 | $900,000 |
| Stephens Inc. | | | investor protection violation | 2016 | $900,000 |
| Edward D. Jones & Co., L.P. | Jones Financial | financial services | investor protection violation | 2009 | $900,000 |
| AXA Advisors, LLC | Equitable Holdings | financial services | investor protection violation | 2005 | $900,000 |
| First New York Securities L.L.C. | | | investor protection violation | 2015 | $916,000 |
| Oppenheimer & Co., Inc. | Oppenheimer Holdings | financial services | investor protection violation | 2013 | $921,000 |
| Piper Jaffray Inc. | Piper Sandler | financial services | investor protection violation | 2000 | $933,000 |
| Robert W. Baird & Co. | | | investor protection violation | 2009 | $934,510 |
| First Allied Securities, Inc. | | | investor protection violation | 2016 | $950,000 |
| Prudential Annuities Distributors, Inc. | Prudential Financial | financial services | investor protection violation | 2016 | $950,000 |
| Aegis Capital Corp. | | | investor protection violation | 2015 | $950,000 |
| LPL Financial LLC | LPL Financial | financial services | investor protection violation | 2014 | $950,000 |
| Lincoln Financial Advisors Corporation | Lincoln National | financial services | investor protection violation | 2005 | $950,000 |
| Fifth Third Securities, Inc. | Fifth Third Bancorp | financial services | investor protection violation | 2015 | $963,534 |
| Citigroup Global Markets Inc. | Citigroup | financial services | investor protection violation | 2017 | $1,000,000 |
| Barclays Capital Inc. | Barclays | financial services | investor protection violation | 2014 | $1,000,000 |
| Goldman, Sachs & Co. | Goldman Sachs | financial services | investor protection violation | 2014 | $1,000,000 |
| Merrill Lynch, Pierce, Fenner & Smith, Inc. | Bank of America | financial services | investor protection violation | 2014 | $1,000,000 |
| COR Clearing LLC | | | anti-money-laundering deficiencies | 2013 | $1,000,000 |
| Merrill Lynch, Pierce, Fenner & Smith | Bank of America | financial services | investor protection violation | 2012 | $1,000,000 |
| Merrill Lynch, Pierce, Fenner & Smith Inc. | Bank of America | financial services | investor protection violation | 2011 | $1,000,000 |
| Wells Fargo Advisors, LLC | Wells Fargo | financial services | investor protection violation | 2011 | $1,000,000 |
| Trillium Brokerage Services, LLC | | | investor protection violation | 2010 | $1,000,000 |
| NEXT Financial Group, Inc. | Atria Wealth Solutions | financial services | investor protection violation | 2009 | $1,000,000 |
| Raymond James & Associates, Inc. | Raymond James Financial | financial services | investor protection violation | 2009 | $1,000,000 |
| RD Capital Group | | | investor protection violation | 2009 | $1,000,000 |
| E-Trade Securities LLC and E-Trade Clearing LLC | Morgan Stanley | financial services | anti-money-laundering deficiencies | 2009 | $1,000,000 |
| UBS Financial Services, Inc. | UBS | financial services | investor protection violation | 2008 | $1,000,000 |
| Oppenheimer & Co. Inc. | Oppenheimer Holdings | financial services | investor protection violation | 2007 | $1,000,000 |
| Spear, Leeds & Kellogg, L.P | Goldman Sachs | financial services | investor protection violation | 2005 | $1,000,000 |
| Fiero Brothers, Inc. | | | investor protection violation | 2002 | $1,000,000 |
| Legacy Trading Co., LLC | | | investor protection violation | 2009 | $1,007,035 |
| First Allied Securities, Inc. | | | investor protection violation | 2015 | $1,014,647 |
| Triad Advisors | | | investor protection violation | 2014 | $1,025,000 |
| Stifel Financial Corporation | Stifel Financial | financial services | investor protection violation | 2014 | $1,025,000 |
| Fidelity Brokerage Services LLC | Fidelity Investments | financial services | investor protection violation | 2015 | $1,030,000 |
| Prudential Securities | Wells Fargo | financial services | investor protection violation | 2008 | $1,050,000 |
| Merrill Lynch | Bank of America | financial services | investor protection violation | 2012 | $1,074,200 |
| Citigroup Global Markets Inc. | Citigroup | financial services | investor protection violation | 2014 | $1,097,000 |
| J.P. Morgan Securities LLC | JPMorgan Chase | financial services | investor protection violation | 2019 | $1,100,000 |
| Wachovia Securities, LLC and First Clearing, LLC | Wells Fargo | financial services | investor protection violation | 2009 | $1,100,000 |
| Banorte Securities International, Ltd. | | | investor protection violation | 2008 | $1,100,000 |
| American General Securities, Inc. | Reverence Capital Partners | private equity (including portfolio companies) | investor protection violation | 2006 | $1,100,000 |
| Citigroup Global Markets Inc. | Citigroup | financial services | investor protection violation | 2006 | $1,115,000 |
| John Thomas Financial | | | investor protection violation | 2015 | $1,147,288 |
| TD Ameritrade Clearing, Inc. | Charles Schwab Corp. | financial services | investor protection violation | 2013 | $1,150,000 |
| RBC Dain Rauscher, Inc. | Royal Bank of Canada | financial services | investor protection violation | 2005 | $1,158,000 |
| Cain Brothers & Company, LLC and SHP Capital Markets, Inc. | | | investor protection violation | 2000 | $1,180,000 |
| Morgan Stanley Smith Barney LLC and Morgan Stanley & Co. LLC | Morgan Stanley | financial services | investor protection violation | 2013 | $1,188,000 |
| Janney Montgomery Scott, LLC | Penn Mutual | financial services | investor protection violation | 2015 | $1,200,000 |
| ING Groep N.V. | Voya Financial | financial services | investor protection violation | 2013 | $1,200,000 |
| MetLife Securities, Inc. | MetLife | financial services | investor protection violation | 2009 | $1,200,000 |
| Boston Capital Securities, Inc. | | | investor protection violation | 2006 | $1,200,000 |
| Ladenburg Thalmann & Co. | Reverence Capital Partners | private equity (including portfolio companies) | investor protection violation | 2005 | $1,200,000 |
| M1 Finance LLC | | | investor protection violation | 2023 | $1,236,918 |
| CS First Boston Corp. | UBS | financial services | investor protection violation | 2000 | $1,240,000 |
| Citi International Financial Services LLC | | | investor protection violation | 2012 | $1,248,000 |
| Robinhood Financial, LLC | Robinhood Markets | financial services | investor protection violation | 2019 | $1,250,000 |
| Citigroup Global Markets Inc. | Citigroup | financial services | investor protection violation | 2019 | $1,250,000 |
| J.P. Morgan Securities, LLC | JPMorgan Chase | financial services | investor protection violation | 2017 | $1,250,000 |
| Ameriprise Financial Services, Inc. | Ameriprise Financial | financial services | investor protection violation | 2005 | $1,250,000 |
| Monex Securities Inc. | | | investor protection violation | 2014 | $1,275,000 |
