| Credit Suisse Securities | UBS | financial services | investor protection violation | 2022 | $9,000,000 |
| Newedge USA, LLC | | | investor protection violation | 2013 | $9,500,000 |
| Morgan Stanley Smith Barney LLC | Morgan Stanley | financial services | anti-money-laundering deficiencies | 2018 | $10,000,000 |
| Ameritrade, Inc. | Charles Schwab Corp. | financial services | investor protection violation | 2004 | $10,000,000 |
| UBS Financial Services, Inc. | UBS | financial services | investor protection violation | 2011 | $10,750,000 |
| Goldman, Sachs & Co. | Goldman Sachs | financial services | investor protection violation | 2012 | (*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $11,000,000 |
| Pruco Securities, LLC | Prudential Financial | financial services | investor protection violation | 2012 | $11,250,000 |
| Citigroup Global Markets Inc. | Citigroup | financial services | investor protection violation | 2017 | $11,500,000 |
| Prudential Equity Group, Inc. and Prudential Investment Management Services LLC | Prudential Financial | financial services | investor protection violation | 2004 | $11,500,000 |
| Merrill Lynch, Pierce, Fenner & Smith, Inc. | Bank of America | financial services | investor protection violation | 2021 | $11,650,000 |
| LPL Financial LLC | LPL Financial | financial services | investor protection violation | 2015 | $11,700,000 |
| LH Ross | | | investor protection violation | 2005 | $11,968,000 |
| UBS Securities LLC | UBS | financial services | investor protection violation | 2011 | $12,000,000 |
| First Command Financial Planning Inc. | | | investor protection violation | 2004 | $12,000,000 |
| Ameriprise Financial Services, Inc. | Ameriprise Financial | financial services | investor protection violation | 2005 | $12,300,000 |
| Deutsche Bank Securities Inc. | Deutsche Bank | financial services | investor protection violation | 2016 | $12,500,000 |
| Morgan Stanley & Co. | Morgan Stanley | financial services | investor protection violation | 2007 | $12,500,000 |
| Knight Securities, L.P. | Virtu Financial | financial services | investor protection violation | 2004 | $12,500,000 |
| American Express Financial Advisors | Ameriprise Financial | financial services | investor protection violation | 2005 | $13,000,000 |
| Morgan Stanley Smith Barney LLC | Morgan Stanley | financial services | investor protection violation | 2017 | $13,030,000 |
| Edward D. Jones & Co., L.P. | Jones Financial | financial services | investor protection violation | 2015 | $13,500,000 |
| Barclays Capital, Inc. | Barclays | financial services | investor protection violation | 2015 | $13,750,000 |
| Merrill Lynch, Pierce, Fenner & Smith | Bank of America | financial services | investor protection violation | 2005 | $14,000,000 |
| 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 |
| David Lerner Associates, Inc. | | | investor protection violation | 2012 | $14,300,000 |
| Interactive Brokers LLC | Interactive Brokers Group | financial services | anti-money-laundering deficiencies | 2020 | $15,000,000 |
| BNP Paribas Securities Corp. and BNP Paribas Prime Brokerage, Inc. | BNP Paribas | financial services | anti-money-laundering deficiencies | 2019 | $15,000,000 |
| Wells Fargo Advisors, LLC and Wells Fargo Advisors Financial Network, LLC | Wells Fargo | financial services | investor protection violation | 2015 | $15,000,000 |
| Citigroup Global Markets, Inc. | Citigroup | financial services | investor protection violation | 2014 | $15,000,000 |
| Citigroup Global Markets, Inc. | Citigroup | financial services | investor protection violation | 2007 | $15,200,000 |
| Merrill Lynch, Pierce, Fenner & Smith, Inc. | Bank of America | financial services | investor protection violation | 2022 | $15,200,000 |
| 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 |
| Securities America, Inc. | Reverence Capital Partners | private equity (including portfolio companies) | investor protection violation | 2006 | $16,300,000 |
| Credit Suisse Securities (USA) LLC | UBS | financial services | anti-money-laundering deficiencies | 2016 | $16,500,000 |
| Raymond James & Associates, Inc. and Raymond James Financial Services, Inc. | Raymond James Financial | financial services | anti-money-laundering deficiencies | 2016 | $17,000,000 |
| Charles Schwab & Company, Inc. | Charles Schwab Corp. | financial services | investor protection violation | 2011 | $18,000,000 |
| UBS Financial Services Incorporated of Puerto Rico | UBS | financial services | investor protection violation | 2015 | $18,500,000 |
| BofA Securities, Inc. | Bank of America | financial services | investor protection violation | 2023 | $24,000,000 |
| MetLife Securities, Inc. | MetLife | financial services | investor protection violation | 2016 | $25,000,000 |
| Merrill Lynch, Pierce, Fenner & Smith, Inc. | Bank of America | financial services | investor protection violation | 2014 | $32,400,000 |
| 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 |
| 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 |
| Robinhood Financial LLC | Robinhood Markets | financial services | investor protection violation | 2021 | $69,600,000 |
