| Morgan Stanley & Co. | Morgan Stanley | financial services | investor protection violation | 2005 | $2,650,000 |
| J.P. Morgan Securities, Inc. | JPMorgan Chase | financial services | investor protection violation | 2005 | $150,000 |
| Goldman, Sachs & Co. | Goldman Sachs | financial services | investor protection violation | 2005 | $125,000 |
| AllianceBernstein Investment Research and Management, Inc. | Equitable Holdings | financial services | investor protection violation | 2005 | $3,984,087 |
| Wells Fargo Investments, LLC | Wells Fargo | financial services | investor protection violation | 2005 | $2,970,000 |
| SunAmerica Securities, Inc. | American International Group | financial services | investor protection violation | 2005 | $2,500,000 |
| RBC Dain Rauscher, Inc. | Royal Bank of Canada | financial services | investor protection violation | 2005 | $1,700,000 |
| AXA Advisors, LLC | Equitable Holdings | financial services | investor protection violation | 2005 | $900,000 |
| SunTrust Capital Markets, Inc. | Truist Financial | financial services | investor protection violation | 2005 | $100,000 |
| Waddell & Reed, Inc. | Macquarie | financial services | investor protection violation | 2005 | (*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $16,000,000 |
| Raymond James & Associates, Inc. and Raymond James Financial Services, Inc. | Raymond James Financial | financial services | investor protection violation | 2005 | $888,000 |
| Thomas Weisel Partners | Stifel Financial | financial services | investor protection violation | 2005 | $1,750,000 |
| Jefferson Pilot Variable Corporation | Lincoln National | financial services | investor protection violation | 2005 | $688,697 |
| Citigroup Global Markets, Inc. | Citigroup | financial services | investor protection violation | 2005 | $6,250,000 |
| American Express Financial Advisors | Ameriprise Financial | financial services | investor protection violation | 2005 | $13,000,000 |
| Chase Investment Services | JPMorgan Chase | financial services | investor protection violation | 2005 | $2,000,000 |
| Spear, Leeds & Kellogg, L.P | Goldman Sachs | financial services | investor protection violation | 2005 | $1,000,000 |
| Piper Jaffray & Co. | Piper Sandler | financial services | investor protection violation | 2005 | $275,000 |
| Scottrade, Inc. | Charles Schwab Corp. | financial services | investor protection violation | 2005 | $250,000 |
| Banc One Securities Corporation | JPMorgan Chase | financial services | investor protection violation | 2005 | $400,000 |
| H&R Block Financial Advisors, Inc. | H&R Block | financial services | investor protection violation | 2004 | $825,000 |
| Knight Securities, L.P. | Virtu Financial | financial services | investor protection violation | 2004 | $12,500,000 |
| Citigroup Global Markets, Inc. | Citigroup | financial services | investor protection violation | 2004 | $275,000 |
| Morgan Stanley DW Inc | Morgan Stanley | financial services | investor protection violation | 2004 | $336,510 |
| Merrill Lynch, Pierce, Fenner & Smith, Inc. | Bank of America | financial services | investor protection violation | 2004 | $1,600,000 |
| American Express Financial Advisors Inc. | Ameriprise Financial | financial services | investor protection violation | 2004 | $700,000 |
| Wachovia Securities LLC | Wells Fargo | financial services | investor protection violation | 2004 | $650,000 |
| Prudential Equity Group LLC | Prudential Financial | financial services | investor protection violation | 2004 | $550,000 |
| Raymond James Financial Services Inc. | Raymond James Financial | financial services | investor protection violation | 2004 | $400,000 |
| Metropolitan Life Insurance Co. | MetLife | financial services | investor protection violation | 2004 | $375,000 |
| NYLife Securities, Inc. | New York Life Insurance | financial services | investor protection violation | 2004 | $350,000 |
| Edward Jones & Co., LP | Jones Financial | financial services | investor protection violation | 2004 | $300,000 |
| Chase Investment Services Corp. | JPMorgan Chase | financial services | investor protection violation | 2004 | $250,000 |
| AXA Advisors, LLC | Equitable Holdings | financial services | investor protection violation | 2004 | $250,000 |
| MML Investor Services, Inc. | Massachusetts Mutual Life Insurance | financial services | investor protection violation | 2004 | $250,000 |
| Banc of America Investment Services Inc. | Bank of America | financial services | investor protection violation | 2004 | $200,000 |
| ING Financial Partners, Inc. | Voya Financial | financial services | investor protection violation | 2004 | $200,000 |
| New England Securities | MetLife | financial services | investor protection violation | 2004 | $200,000 |
| Allstate Financial Services LLC | Allstate | financial services | investor protection violation | 2004 | $150,000 |
| RBC Dain Rauscher, Inc. | Royal Bank of Canada | financial services | investor protection violation | 2004 | $150,000 |
| Wells Fargo Investments, LLC | Wells Fargo | financial services | investor protection violation | 2004 | $150,000 |
| World Group Securities, Inc. | Aegon | financial services | investor protection violation | 2004 | $150,000 |
| Jefferson Pilot Securities Corporation | Lincoln National | financial services | investor protection violation | 2004 | $125,000 |
| SunAmerica Securities, Inc. | American International Group | financial services | investor protection violation | 2004 | $100,000 |
| Citigroup Global Markets, Inc. | Citigroup | financial services | investor protection violation | 2004 | $250,000 |
| Credit Suisse First Boston, L.L.C. | UBS | financial services | investor protection violation | 2004 | $50,000 |
| Deutsche Bank Securities, Inc. | Deutsche Bank | financial services | investor protection violation | 2004 | $15,000 |
| Schwab Capital Markets, L.P. | UBS | financial services | investor protection violation | 2004 | $70,000 |
| Scottrade, Inc. | Charles Schwab Corp. | financial services | investor protection violation | 2004 | $16,000 |
| Spear, Leeds & Kellogg, L.P. | Goldman Sachs | financial services | investor protection violation | 2004 | $75,000 |
| UBS Securities, L.L.C. | UBS | financial services | investor protection violation | 2004 | $10,000 |
| SG Cowen, LLC | Toronto-Dominion Bank | financial services | investor protection violation | 2004 | $800,000 |
| Morgan Stanley DW Inc. | Morgan Stanley | financial services | investor protection violation | 2004 | $2,200,000 |
| Goldman, Sachs & Co. | Goldman Sachs | financial services | investor protection violation | 2004 | $5,000,000 |
| Deutsche Bank Securities, Inc. | Deutsche Bank | financial services | investor protection violation | 2004 | $5,000,000 |
| Citigroup Global Markets Inc. | Citigroup | financial services | investor protection violation | 2004 | $5,000,000 |
| Citigroup Global Markets, Inc. | Citigroup | financial services | investor protection violation | 2004 | $250,000 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Bank of America | financial services | investor protection violation | 2004 | $250,000 |
| Morgan Stanley DW Inc. | Morgan Stanley | financial services | investor protection violation | 2004 | $250,000 |
| Piper Jaffray & Co. | Piper Sandler | financial services | investor protection violation | 2004 | $2,400,000 |
| Charles Schwab & Co, Inc. | Charles Schwab Corp. | financial services | investor protection violation | 2004 | $60,869 |
| Edward Jones | Jones Financial | financial services | investor protection violation | 2004 | $25,181 |
| Merrill Lynch, Pierce, Fenner & Smith Inc. | Bank of America | financial services | investor protection violation | 2004 | $109,527 |
| Morgan Stanley DW Inc. | Morgan Stanley | financial services | investor protection violation | 2004 | $38,312 |
| Prudential Equity Group, LLC | Prudential Financial | financial services | investor protection violation | 2004 | $17,306 |
| UBS Financial Services Inc. | UBS | financial services | investor protection violation | 2004 | $200,666 |
| Wachovia Securities, LLC. | Wells Fargo | financial services | investor protection violation | 2004 | $39,486 |
| TD Waterhouse Investor Services, Inc. | Toronto-Dominion Bank | financial services | investor protection violation | 2004 | $150,000 |
| Stifel Nicolaus & Company | Stifel Financial | financial services | investor protection violation | 2004 | $125,000 |
| American Express Financial Advisors, Inc. | Ameriprise Financial | financial services | investor protection violation | 2004 | $300,000 |
| Bear, Stearns & Co. Inc. | JPMorgan Chase | financial services | investor protection violation | 2004 | $4,950,000 |
| Deutsche Bank Securities, Inc. | Deutsche Bank | financial services | investor protection violation | 2004 | $5,290,000 |
| Morgan Stanley & Co. Inc. | Morgan Stanley | financial services | investor protection violation | 2004 | $5,390,000 |
| Ameritrade, Inc. | Charles Schwab Corp. | financial services | investor protection violation | 2004 | $10,000,000 |
| AXA Advisors, LLC | Equitable Holdings | financial services | investor protection violation | 2004 | $250,000 |
| State Street Research Investment Services, Inc. | BlackRock | financial services | investor protection violation | 2004 | $1,500,000 |
| Bear, Stearns & Co. Inc. | JPMorgan Chase | financial services | investor protection violation | 2004 | $280,469 |
| Southwest Securities, Inc. | Hilltop Holdings | financial services | investor protection violation | 2004 | $36,971 |
| Credit Suisse First Boston LLC | UBS | financial services | investor protection violation | 2004 | $770,000 |
| Prudential Equity Group, Inc. and Prudential Investment Management Services LLC | Prudential Financial | financial services | investor protection violation | 2004 | $11,500,000 |
| 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 |
| Morgan Stanley DW Inc. | Morgan Stanley | financial services | investor protection violation | 2003 | $2,000,000 |
| J.P. Morgan Securities, Inc. | JPMorgan Chase | financial services | investor protection violation | 2003 | $6,000,000 |
| 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 |
| 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 |
| 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 |
| Knight Securities L.P. | Virtu Financial | financial services | investor protection violation | 2002 | $1,500,000 |
| CUNA Brokerage Services, Inc. | CUNA Mutual | financial services | investor protection violation | 2001 | $100,000 |
| Prudential Securities Incorporated | Wells Fargo | financial services | investor protection violation | 2001 | $20,000 |
| J.P. Morgan Securities, Inc. | JPMorgan Chase | financial services | investor protection violation | 2001 | $10,000 |
| 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 |
| E-Trade Securities | Morgan Stanley | financial services | investor protection violation | 2001 | $90,000 |
| Banc of America Securities LLC | Bank of America | financial services | investor protection violation | 2001 | $40,000 |
