| Ameritas Investment Corp. | Ameritas Mutual Holding Company | financial services | investor protection violation | 2009 | $100,000 |
| UBS Financial Services, Inc. | UBS | financial services | investor protection violation | 2009 | $100,000 |
| Pruco Securities | Prudential Financial | financial services | investor protection violation | 2008 | $100,000 |
| Piper Jaffray & Co. | Piper Sandler | financial services | investor protection violation | 2008 | $100,000 |
| Northwestern Mutual Investment Services, LLC | Northwestern Mutual | financial services | investor protection violation | 2007 | $100,000 |
| AllianceBernstein Investments, Inc. | Equitable Holdings | financial services | investor protection violation | 2007 | $100,000 |
| Morgan Stanley DW Inc. | Morgan Stanley | financial services | investor protection violation | 2006 | $100,000 |
| Berean Capital Incorporated | | | investor protection violation | 2006 | $100,000 |
| First Avantus Securities, Inc. | | | investor protection violation | 2005 | $100,000 |
| SunTrust Capital Markets, Inc. | Truist Financial | financial services | investor protection violation | 2005 | $100,000 |
| SunAmerica Securities, Inc. | American International Group | financial services | investor protection violation | 2004 | $100,000 |
| National Planning Corp. | | | investor protection violation | 2004 | $100,000 |
| SII Investments, Inc. | | | investor protection violation | 2004 | $100,000 |
| David Lerner Assoc. | | | investor protection violation | 2004 | $100,000 |
| Hornblower & Weeks, Inc. | | | investor protection violation | 2002 | $100,000 |
| CUNA Brokerage Services, Inc. | CUNA Mutual | financial services | investor protection violation | 2001 | $100,000 |
| Kemper Distributors, Inc. | Kemper | financial services | investor protection violation | 2000 | $100,000 |
| Prudential Securities, Inc. | Wells Fargo | financial services | investor protection violation | 2000 | $100,000 |
| Cresap, Inc. | | | investor protection violation | 2004 | $99,458 |
| Merrill Lynch, Pierce, Fenner & Smith, Inc. | Bank of America | financial services | investor protection violation | 2000 | $97,000 |
| Banc of America Investment Services, Inc. | Bank of America | financial services | investor protection violation | 2005 | $90,000 |
| Raymond James & Associates, Inc. | Raymond James Financial | financial services | investor protection violation | 2005 | $90,000 |
| E-Trade Securities | Morgan Stanley | financial services | investor protection violation | 2001 | $90,000 |
| National Securities Corporation | | | investor protection violation | 2005 | $85,000 |
| Spear, Leeds & Kellogg, L.P. | Goldman Sachs | financial services | investor protection violation | 2004 | $75,000 |
| M.H. Meyerson, & Co., Inc. | | | investor protection violation | 2002 | $75,000 |
| NDB Capital Markets, LP | | | investor protection violation | 2001 | $75,000 |
| Momentum Securities, LLC | | | investor protection violation | 2001 | $75,000 |
| Asensio & Company, Inc. | | | investor protection violation | 2000 | $75,000 |
| Botta Trading, LLC | | | investor protection violation | 2000 | $75,000 |
| SWS Financial Services | | | investor protection violation | 2009 | $70,000 |
| Schwab Capital Markets, L.P. | UBS | financial services | investor protection violation | 2004 | $70,000 |
| SWS Financial Services | | | investor protection violation | 2004 | $66,468 |
| Lehman Brothers, Inc. | | | investor protection violation | 2001 | $65,000 |
| Ramius Securities L.L.C. | | | investor protection violation | 2001 | $61,000 |
| Charles Schwab & Co, Inc. | Charles Schwab Corp. | financial services | investor protection violation | 2004 | $60,869 |
| Salomon Whitney LLC | | | investor protection violation | 2011 | $60,000 |
| Leonard & Company | | | investor protection violation | 2009 | $60,000 |
| Brinker Capital Securities, Inc. | | | investor protection violation | 2005 | $60,000 |
| Chase Investment Services Corp. | JPMorgan Chase | financial services | investor protection violation | 2005 | $60,000 |
| Citigroup Global Markets Inc. | Citigroup | financial services | investor protection violation | 2005 | $60,000 |
| Securities America, Inc. | Reverence Capital Partners | private equity (including portfolio companies) | investor protection violation | 2009 | $55,000 |
| PNC Capital Markets LLC | PNC Financial Services | financial services | investor protection violation | 2016 | $50,000 |
| SIGMA Financial Corporation | | | investor protection violation | 2009 | $50,000 |
| Intersecurities, Inc. | | | investor protection violation | 2009 | $50,000 |
| Friedman, Billings, Ramsey & Co., Inc. | Arlington Asset Investment Corp. | financial services | investor protection violation | 2008 | $50,000 |
| Jefferies & Company, Inc. | Jefferies Financial Group | diversified | investor protection violation | 2008 | $50,000 |
| JMP Securities, LLC | | | investor protection violation | 2008 | $50,000 |
| Pacific Crest Securities, Inc. | | | investor protection violation | 2008 | $50,000 |
| McLaughlin, Piven and Vogel Securities Inc. | | | investor protection violation | 2006 | $50,000 |
| Credit Suisse First Boston, L.L.C. | UBS | financial services | investor protection violation | 2004 | $50,000 |
| Fleet Securities, Inc. | | | investor protection violation | 2001 | $50,000 |
| Askar Corporation | | | investor protection violation | 2011 | $45,000 |
| Fox & Company Investments Inc. | | | investor protection violation | 2009 | $45,000 |
| Alpine Securities Corporation | | | investor protection violation | 2010 | $40,000 |
| CIBC World Markets Corp. | Canadian Imperial Bank of Commerce | financial services | investor protection violation | 2005 | $40,000 |
| 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 |
| Sterling Financial Investment Group | | | investor protection violation | 2002 | $40,000 |
| 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 |
| Kirkpatrick, Pettis, Smith, Polian Inc. | | | investor protection violation | 2004 | $39,935 |
| Wachovia Securities, LLC. | Wells Fargo | financial services | investor protection violation | 2004 | $39,486 |
| Morgan Stanley DW Inc. | Morgan Stanley | financial services | investor protection violation | 2004 | $38,312 |
| Addison Securities, Inc. | | | investor protection violation | 2000 | $37,500 |
| Southwest Securities, Inc. | Hilltop Holdings | financial services | investor protection violation | 2004 | $36,971 |
| Carlin Equities Corporation | | | investor protection violation | 2004 | $35,000 |
| FutureTrade Securities, L.L.C | | | investor protection violation | 2004 | $35,000 |
| Mutual Service Corporation, Inc. | | | investor protection violation | 2001 | $35,000 |
| Cornerstone Securities Corporation | | | investor protection violation | 2001 | $35,000 |
| David Lerner Associates, Inc. | | | investor protection violation | 2004 | $32,711 |
| Chase Investment Services Corp. | JPMorgan Chase | financial services | investor protection violation | 2009 | $32,500 |
| First Union Brokerage Services, Inc. | Wells Fargo | financial services | investor protection violation | 2001 | $32,500 |
| Brecek & Young Advisors, Inc. | | | investor protection violation | 2004 | $31,224 |
| 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 |
| National Financial Services, L.L.C. | | | investor protection violation | 2001 | $30,000 |
| Datek Online Brokerage Services, LLC | | | investor protection violation | 2001 | $30,000 |
| vFinance Investments, Inc. | | | investor protection violation | 2009 | $27,500 |
| Choice Investments, Inc. | | | investor protection violation | 2000 | $27,000 |
| Edward Jones | Jones Financial | financial services | investor protection violation | 2004 | $25,181 |
| Newbridge Securities Corporation | | | investor protection violation | 2011 | $25,000 |
| Equity Station, Inc. | | | investor protection violation | 2010 | $25,000 |
| Investors Capital Corp. | | | investor protection violation | 2009 | $25,000 |
| ProEquities, Inc. | Dai-ichi Life | financial services | investor protection violation | 2009 | $25,000 |
| National Securities Corporation | | | investor protection violation | 2009 | $25,000 |
| Dalton Kent Securities Group, Inc. | | | investor protection violation | 2001 | $25,000 |
| Credit Suisse First Boston Corporation | UBS | financial services | investor protection violation | 2001 | $25,000 |
| Lutheran Brotherhood Securities Corp. | | | investor protection violation | 2001 | $25,000 |
| 1-800DAYTRADE.COM, Inc. | | | investor protection violation | 2000 | $25,000 |
| Olympus Securities, LLC | | | investor protection violation | 2010 | $20,000 |
| Pulse Trading, Inc. | | | investor protection violation | 2004 | $20,000 |
| 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 |
| ING Barings LLC | | | investor protection violation | 2001 | $20,000 |
| CyBerBroker, Inc. | | | investor protection violation | 2001 | $20,000 |
| Summit Trading, Inc. | | | investor protection violation | 2001 | $20,000 |
