| Summit Trading, Inc. | | | investor protection violation | 2001 | $20,000 |
| E-TRADE Securities, Inc. | Morgan Stanley | financial services | investor protection violation | 2000 | $20,000 |
| E-TRADE Securities, Inc. | Morgan Stanley | financial services | investor protection violation | 2000 | $20,000 |
| Gary Goldberg & Co., Inc | | | investor protection violation | 2009 | $19,500 |
| Aegis Capital Corp. | | | investor protection violation | 2001 | $19,000 |
| Herzog, Heine, Geduld, Inc. | | | investor protection violation | 2001 | $18,000 |
| Donnelly & Co., Inc. | | | investor protection violation | 2000 | $17,500 |
| Prudential Equity Group, LLC | Prudential Financial | financial services | investor protection violation | 2004 | $17,306 |
| Scottrade, Inc. | Charles Schwab Corp. | financial services | investor protection violation | 2004 | $16,000 |
| FSC Securities Corporation | | | investor protection violation | 2009 | $15,000 |
| Lincoln Investment Planning, Inc. | | | investor protection violation | 2009 | $15,000 |
| Delta Asset Management Company, L.L.C. | | | investor protection violation | 2004 | $15,000 |
| Deutsche Bank Securities, Inc. | Deutsche Bank | financial services | investor protection violation | 2004 | $15,000 |
| Merrill Lynch, Pierce, Fenner & Smith, Inc. | Bank of America | financial services | investor protection violation | 2001 | $15,000 |
| Penson Financial Services, Inc. | | | investor protection violation | 2001 | $15,000 |
| Allmerica Investments, Inc. | | | investor protection violation | 2001 | $15,000 |
| Access Securities, Inc. | | | investor protection violation | 2001 | $14,000 |
| Torrey Pines Securities, Inc. | | | investor protection violation | 2001 | $14,000 |
| LaSalle St. Securities, L.L.C. | | | investor protection violation | 2000 | $13,000 |
| Doyle, Miles & Co., L.L.C. | | | investor protection violation | 2004 | $12,500 |
| Quantlab Securities, L.P. | | | investor protection violation | 2004 | $12,500 |
| BNY Brokerage, Inc. | | | investor protection violation | 2004 | $12,000 |
| Schwab Capital Markets | UBS | financial services | investor protection violation | 2001 | $12,000 |
| Index Securities, LLC | | | investor protection violation | 2004 | $11,000 |
| Spelman & Co. | | | investor protection violation | 2009 | $10,000 |
| Tejas Securities Group, Inc. | | | investor protection violation | 2005 | $10,000 |
| UBS International Inc. | UBS | financial services | investor protection violation | 2005 | $10,000 |
| Mid-Atlantic Capital Corporation | | | investor protection violation | 2004 | $10,000 |
| Options Trading Associates, LLC | | | investor protection violation | 2004 | $10,000 |
| Transcend Capital, LP | | | investor protection violation | 2004 | $10,000 |
| UBS Securities, L.L.C. | UBS | financial services | investor protection violation | 2004 | $10,000 |
| Gerard Klauer Mattison & Co., Inc. | | | investor protection violation | 2001 | $10,000 |
| BancBoston Robertson Stephens | | | investor protection violation | 2001 | $10,000 |
| J.P. Morgan Securities, Inc. | JPMorgan Chase | financial services | investor protection violation | 2001 | $10,000 |
| Spear, Leeds & Kellogg | Goldman Sachs | financial services | investor protection violation | 2001 | $10,000 |
| Chase Securities, Inc. | JPMorgan Chase | financial services | investor protection violation | 2001 | $10,000 |
| Ramius Securities LLC | | | investor protection violation | 2001 | $10,000 |
| Prudential Securities, Inc. | Wells Fargo | financial services | investor protection violation | 2001 | $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 |
