Florida

The Securities Fraud Lawyers at Greco & Greco, P.C. represent Florida residents in disputes with their financial advisors and Securities salespersons, involving claims of suitability, violations of FINRA Rules, negligence, fraud, misrepresentation, ponzi schemes, breach of fiduciary duty, professional malpractice, and other claims. Please contact Scott Greco for a free attorney consultation about your case. We serve clients from all areas of Florida, including Jacksonville, Miami, Tampa, Orlando, St. Petersburg, Hialeah, Port St. Lucie, Tallahassee, Cape Coral, Fort Lauderdale, Pembroke Pines, Hollywood, Miramar, Gainesville, Coral Springs, Lehigh Acres, and Clearwater.

If an individual investor has a dispute with a FINRA brokerage firm or stock broker, he/she most likely will have to arbitrate through FINRA's Dispute Resolution system. FINRA Arbitration holds arbitration hearings in five Florida cities: Miami, Boca Raton, Jacksonville, Tampa, and Orlando.

The Florida Office of Financial Regulation, Division of Securities, regulates the sales of Securities in the state of Florida. It has offices in Tallahassee, Orlando, West Palm Beach, Miami and Tampa. Its website provides information on state Securities Statutes and Rules, and information on how to file a complaint.

Florida's Securities and Investor Protection Act is similar to many states' Acts with regard to providing for civil liability for the commission of Securities fraud in the sale of Securities (including untrue statements of material fact or omissions of material fact). The statute provides for rescission (or damages if the investor no longer owns the security), reasonable attorney's fees, and interest.

Common Legal Claims by investors against their financial advisors in Florida are:

1. Suitability. Prior to recommending the purchase of specific Investments or a specific investment strategy to a customer, a stock broker is required to determine that the Investments are suitable to that particular investor. A suitability determination is based upon many different factors such as age, investment objectives, risk tolerance, employment situation, needs, income, assets, and investment experience. If an advisor’s recommendations of unsuitable Investments result in the investor incurring significant losses, that investor may have a suitability claim against the broker and his/her firm.
2. Churning. Churning occurs when a broker exercises control over an account and allows the broker's interest in making commissions to override the investor's interests in the account. When a broker makes a buy or sell recommendation for an account, that broker should have the investor's best interests based on their investment objectives in mind. If the broker makes excessive buy and sell recommendations for the purposes of generating commissions for the broker by each buy and sell, that broker is engaged in churning the account. Excessive turnover in the assets of the account and/or a high cost to equity percentage are often a sign of churning.
3. Unauthorized Trading. Generally, an investor can have two kinds of an account, non-discretionary and discretionary. In a typical non-discretionary account, the broker must consult with and obtain the consent of the customer prior to making a trade in the account. Unauthorized trading occurs when a broker makes trades in a non-discretionary account without the consent of the customer.
4. Securities Fraud. Most of the claims in this list are subsets of Securities fraud which is employing a device, scheme, or artifice to defraud, or obtaining money by means of untrue statements of material facts and failure to state material facts in violation of state blue sky / Securities laws or federal law (Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5). If a broker makes false statements to an investor or fails to advise the investor of certain important facts, the investor may be able to recover losses incurred resulting from this fraud.
5. Margin Disputes. Margin trading involves borrowing money from the brokerage firm to purchase Securities greater in value than the equity in an investor's account. Due to the risky nature of trading on the margin, disputes with brokers often arise as a result of significant losses. If a broker trades on the margin without the knowledge or consent of the investor, the investor may be able to recover the losses resulting from the fraud.
6. Ponzi Scheme Investment Scams. Ponzi schemes generally involve promises of high returns by salespersons over short periods of time, but in reality result in stealing from Peter to pay Paul. Because returns to investors in ponzi schemes are often paid out of new investment monies from new investors, the scheme will ultimately fall apart when the new investors dry up, leaving all investors often holding a worthless investment. Financial Advisors and their brokerage firms who sell ponzi scheme fraudulent Investments may be found liable for selling unsuitable Investments, Securities fraud, sale of unregistered Securities, failure to supervise, and other legal violations.
7. Failure to Supervise Broker. FINRA firms have a duty to supervise their registered brokers, and their failure to do so may form the basis of various legal claims against them. FINRA Rule 3110 states: Each member shall establish and maintain a system to supervise the activities of each registered representative, registered principal, and other associated person that is reasonably designed to achieve compliance with applicable Securities laws and regulations, and with applicable FINRA Rules. Final responsibility for proper supervision shall rest with the member.

Examples of legal grounds for liability of Broker-Dealers in these situations include:

• Under tort and agency law, principals can be found liable for the acts of their agents even if they are entirely innocent and have received no benefit from the transaction;
• A broker's Broker-Dealer can also be found liable as a control person of that broker under state and federal Securities laws; and
• Claims can be pursued in arbitration based on violations of FINRA rules including Rules related to supervision, suitability, and outside business activities.

Obviously, this list is by no means comprehensive and all of the legal requirements of the above claims stated are not completely set out. This web site is not intended to give legal advice or create an attorney-client relationship. Please contact our Securities lawyers for a free consultation if you believe your financial advisor broker may be liable under one of the above claims, or for other wrongful conduct.

The Florida Securities and Investor Protection Act, Section 517.211, states as follows:

Remedies available in cases of unlawful sale.—

• (1) Every sale made in violation of either s. 517.07 or s. 517.12(1), (4), (5), (9), (11), (13), (16), or (18) may be rescinded at the election of the purchaser, except a sale made in violation of the provisions of s. 517.1202(3) relating to a renewal of a branch office notification shall not be subject to this section, and a sale made in violation of the provisions of s. 517.12(13) relating to filing a change of address amendment shall not be subject to this section. Each person making the sale and every director, officer, partner, or agent of or for the seller, if the director, officer, partner, or agent has personally participated or aided in making the sale, is jointly and severally liable to the purchaser in an action for rescission, if the purchaser still owns the security, or for damages, if the purchaser has sold the security. No purchaser otherwise entitled will have the benefit of this subsection who has refused or failed, within 30 days of receipt, to accept an offer made in writing by the seller, if the purchaser has not sold the security, to take back the security in question and to refund the full amount paid by the purchaser or, if the purchaser has sold the security, to pay the purchaser an amount equal to the difference between the amount paid for the security and the amount received by the purchaser on the sale of the security, together, in either case, with interest on the full amount paid for the security by the purchaser at the legal rate, pursuant to s. 55.03, for the period from the date of payment by the purchaser to the date of repayment, less the amount of any income received by the purchaser on the security.
• (2) Any person purchasing or selling a security in violation of s. 517.301, and every director, officer, partner, or agent of or for the purchaser or seller, if the director, officer, partner, or agent has personally participated or aided in making the sale or purchase, is jointly and severally liable to the person selling the security to or purchasing the security from such person in an action for rescission, if the plaintiff still owns the security, or for damages, if the plaintiff has sold the security.
• (3) In an action for rescission:
  • (a) A purchaser may recover the consideration paid for the security or investment, plus interest thereon at the legal rate, less the amount of any income received by the purchaser on the security or investment upon tender of the security or investment.
  • (b) A seller may recover the security upon tender of the consideration paid for the security, plus interest at the legal rate, less the amount of any income received by the defendant on the security.
• (4) In an action for damages brought by a purchaser of a security or investment, the plaintiff shall recover an amount equal to the difference between:
  • (a) The consideration paid for the security or investment, plus interest thereon at the legal rate from the date of purchase; and
  • (b) The value of the security or investment at the time it was disposed of by the plaintiff, plus the amount of any income received on the security or investment by the plaintiff.
• (5) In an action for damages brought by a seller of a security, the plaintiff shall recover an amount equal to the difference between:
  • (a) The value of the security at the time of the complaint, plus the amount of any income received by the defendant on the security; and
  • (b) The consideration received for the security, plus interest at the legal rate from the date of sale.
• (6) In any action brought under this section, including an appeal, the court shall award reasonable attorneys' fees to the prevailing party unless the court finds that the award of such fees would be unjust.

• 1st Bridgehouse Securities, LLC
  9881 SW 131 Street, Miami, FL 33176
  
• 1st Discount Brokerage, Inc.
  420 South State Road 7, Suite 114, Welllington, FL 33414
  Mailing Address: 420 South State Road 7, Suite 114, Wellington, FL 33414
• 1st Munich CapitaL, LLC
  Herzogstr. 60, Munich, D-80803 Germany
  Mailing Address: 1499 W Palmetto Park Road, Suite 250, Boca Raton, FL 33486
• ACP Securities, LLC
  444 Brickell Avenue, Suite 928, Miami, FL 33131
• Activa Capital Markets, Inc.
  1110 Brickell Avenue, Suite 902, Miami, FL 33131
• Akar Capital Management, Inc.
  8551 W. Sunrise Blvd. #102A, Plantation, FL 33322
  Mailing Address: 8551 W. Sunrise Blvd #102A, Plantation, FL 33322
• Allegiant Securities L.L.C.
  100 N. Biscayne Blvd., Suite 2106, Miami, FL 33132
  
• Allegro Securities LLC
  3 W 57TH ST, FL 10, New York, NY 10019
  
• Allen & Company of Florida, Inc.
  1401 South Florida Avenue, Lakeland, FL 33803
  Mailing Address: P.O. BOX 387, Lakeland, FL 33802
  
• Allen C. Ewing & CO.
  50 North Laura Street, Suite 3625, Jacksonville, FL 32202
  Mailing Address: 50 N Laura Street, Suite 3625, Jacksonville, FL 32202
• America's Choice Equities LLC
  840 US Highway 1, Suite 315, Palm Beach Gardens, FL 33408
• American Municipal Securities, Inc.
  720 Second Ave S., St. Petersburg, FL 33701
  Mailing Address: P.O. Box 11749, St. Petersburg, FL 33733-1749
• Aria Capital Advisors, LLC
  475 Central Avenue, Suite 400, St. Petersburg, FL 33701
• Asg Securities, Inc.
  218 East Commercial Blvd, Suite 208-L, FT. Lauderdale, FL 33308
  Mailing Address: 4737 N. Ocean DR., #213, Lauderdale by the Sea, FL 33308
• Atlas One Financial Group, LLC
  200 South Biscayne Boulevard, Suite 4400, Miami, FL 33131
• Aventura Securities, LLC
  2875 NE 191st Street, Suite 524, Aventura, FL 33180
  Mailing Address: 2875 NE 191st Street, Suite 524, Aventura, FL 33180
• AVM, L.P.
  777 Yamato Road, Suite 300, Boca Raton, FL 33431
• B & T Securities, Inc.
  2799 NW Boca Raton Blvd, Suite 206, Boca Raton, FL 33431
• Bac Florida Investments
  2333 Ponce de Leon Blvd., Suite 700, Coral Gables, FL 33134
  
• Bacher & Co INC
  6B Cay Harbor, Key Largo, FL 33037
  Mailing Address: 24 Dockside Lane, PMB #101, Key Largo, FL 33037
• Balanced Security Planning, Inc.
  16956 Mcgregor Blvd. # 7, Fort Myers, FL 33908
• Banif Securities INC
  1001 Brickell Bay Dr., Suite 2904, Miami, FL 33131
  Mailing Address: 1001 Brickell Bay Dr., Suite 2906, Miami, FL 33131
• Bankers International Securities, Inc.
  11101 Roosevelt Blvd North, 3rd Floor, St. Petersburg, FL 33716-2334
  Mailing Address: 11101 Roosevelt Blvd North, 3rd Floor, St.Petersburg, FL 33716-2334
• Basis Financial, LLC
  3363 NE 163RD Street, Suite 706, N. Miami Beach, FL 33160
• Bayshore Partners, LLC
  401 East Las Olas Boulevard, Suite 1160, Fort Lauderdale, FL 33301
• Beta Capital Management, L.P.
  777 Brickell Avenue, Suite 1201, Miami, FL 33131
• Bg Strategic Advisors LLC
  525 South Flagler Drive, Suite 200, West Palm Beach, FL 33401
• Bianco Financial Inc.
  1691 Michigan Ave. Suite 240, Miami Beach, FL 33139
  Mailing Address: 1691 Michigan Ave. Suite 240, Miami, FL 33139
• Birkelbach & CO.
  8080 Cypress Hollow Court, Ponte Vedra Beach, FL 32082
• Bnp Paribas Investment Services, LLC
  201 S. Biscayne Blvd., Suite 1800, Miami, FL 33131
• Broadspan Securities LLC
  1450 Brickell Avenue, Suite 2620, Miami, FL 33131
• Brookstone Securities, Inc.
  2920 Drane Field Road, Lakeland, FL 33813
  Mailing Address: PO BOX 8087, Lakeland, FL 33802
• Bull & Bear Brokerage Services, Inc.
  6817 Southpoint Parkway, Suite 1003, Jacksonville, FL 32216
• Bulltick Securities, LLC
  701 Brickell Avenue, Suite 2550, Miami, FL 33131
  
• Bulltick, LLC
  Paseo De Los Tamarindos 400, Torre A Piso 23, Col. Bosques De Las Lomas, Mexico D.F., 05120 Mexico
  Mailing Address: 701 Brickell Avenue Suite 2550, Miami, FL 33131
• Calton & Associates, Inc.
  14497 N. Dale Mabry Hwy StE. 215, Tampa, FL 33618
• Capital & Credit International, Inc.
  14600 N.E. 5th Court, Miami, FL 33161
  
• Capital & Estate Management, Inc.
  7143 Mariner Blvd., Sping Hill, FL 34609
• Carnes Capital CorporatioN
  8889 PELICAN BAY Boulevard, Suite 500, Naples, FL 34108-7512
• Cassel Salpeter & CO., LLC
  801 Brickell Avenue, Suite 650, Miami, FL 33131
• Catalyst Financial
  225 N.E. Mizner Blvd., Suite 400, Boca Raton, FL 33432
• CBG Financial Group, Inc.
  2101 NW Corporate Blvd, Suite 402, Boca Raton, FL 33431
• CEA Atlantic Advisors, LLC
  101 East Kennedy Boulevard; Suite 3300, Tampa, FL 33602
• Certigroup, INC
  8302 Gulf Of Mexico Blvd, Marathon, FL 33050
  Mailing Address: 8302 Gulf Of Mexico Blvd., Marathon, FL 33050
• CGI Merchant Capital, LLC
  8400 Northwest 36th Street, Suite 220, Miami, FL 33166
  
• CGIS Securities LLC
  990 Biscayne Blvd, Suite 0-901, Miami, FL 33132
  Mailing Address: 941 Harbor Drive, Key Biscayne, FL 33149
• Champion Capital Corporation
  141 Waterman AvE, Suite 100, Mount Dora, FL 32757
• Chilian Partners, L.P.
  1701 S. Flagler Drive, Suite 1001, West Palm Beach, FL 33401
  Mailing Address: P.O. BOX 2685, Palm Beach, FL 33480
• Clark Nobil & CO.
  2500 E. Hallandale Beach Blvd. #701, Hallandale, FL 33009
  Mailing Address: P.O. BOX 1797, Hallandale, FL 33008-1797
• CNL Securities Corp.
  450 South Orange Avenue, Orlando, FL 32801
  Mailing Address: P.O BOX 4920, Orlando, FL 32802-4920
• Cobalt Capital, Inc.
  210 Wymore Road, Winter Park, FL 32789
• Commonwealth Capital Securities Corp.
  400 Cleveland Street, 7th Floor, Clearwater, FL 33755-4041
• Convergent Securities, LLC
  3535 Galt Ocean Drive, South Suite, Fort Lauderdale, FL 33308
• Cornwall Partners, LLC
  12806 Touchstone Place, Palm Beach Gardens, FL 33418
  Mailing Address: 191 GREAT HILL ROAD, BOX 192, CORNWALL, CT 06753
• CP Capital Securities
  1428 Brickell Avenue, Suite 600, Miami, FL 33131
• Credicorp Securities, Inc.
  121 Alhambra Plaza, Suite 1200, Coral Gables, FL 33134
• Crosstree Capital Securities, LLC
  4301 Anchor Parkway, Suite 450, Tampa, FL 33634
• Dakota Securities International, Inc.
  9211 SW 72 Street Suite 102, Miami, FL 33173
  Mailing Address: 9211 SW 72 Street, Miami, FL 33173
• Dawson James Securities, Inc.
  925 South Federal HighwaY, Suite 600, Boca Raton, FL 33432
• Delaney Equity Group LLC
  1665 Palm Beach Lakes Blvd., Suite 805, West Palm Beach, FL 33401
• Diversified Capital Corporation
  2 Biscayne Boulevard, Suite #1742, Miami, FL 33131
• Double Eagle Securities Of America, Inc.
  6610 N. University Drive, Suite 250, Tamarac, FL 33321
• Downstate Securities Group, Inc.
  259 Indian Rocks Road No., Belleair Bluffs, FL 33770-1729
• E.S. Financial Services, Inc.
  1395 Brickell Ave, Suite 490, Miami, FL 33131
  Mailing Address: 1395 Brickell Ave 4th Floor, Miami, FL 33131
• Eagle Fund Distributors, Inc.
  880 Carillon Parkway, St. Petersburg, FL 33716
• EFG Capital International
  701 Brickell Ave, 9th Floor & Suite 1350, Miami, FL 33131-286
• Equifinancial LLC
  1717 North Bayshore Drive, Suite 217, Miami, FL 33132
• Equity Station, Inc.
  1200 N. Federal Highway, Suite 400, Boca Raton, FL 33432
• Falcon Research, Inc.
  1230 South Myrtle Ave, Suite 401, Clearwater, FL 33756
• First American Capital And Trading Corporation
  1499 W. Palmetto Park Rd, Suite 250, Boca Raton, FL 33486
• First Florida Securities, Inc.
  11660 Night Heron Drive, Naples, FL 34119
• First Integrity Capital Partners Corp.
  330 Clematis Street, #210, West Palm Beach, FL 33401
• First Mutual Planning Corp.
  7370 SO. Oriole Boulevard, Suite 601C, Delray Beach, FL 33446
• Firstrade Securities Inc.
  133-25 37TH Avenue, Flushing, NY 11354
• Florida Atlantic Securities Corp.
  9130 South Dadeland Blvd., Suite 1704, Miami, FL 33156
  
• Florida Investment Advisors
  601 Bayshore Blvd., Suite 960, Tampa, FL 33606
• FMSBONDS, Inc.
  4775 Technology Way, Boca Raton, FL 33431
• Franklin Capital INC
  5263 Cresthaven Blvd-Villa H, West Palm Beach, FL 33415
• A. Repple & Company
  101 Normandy Rd, Casselberry, FL 32707
• G.F. Investment Services, LLC
  2080 Ringling Boulevard, 3rd Floor, Sarasota, FL 34237
• Geoffrey Richards Securities Corp.
  7570 S. Federal HWY, Suite 3, Hypoluxo, FL 33462
• GFG Securities, LLC
  701 Brickell Avenue, Suite 1730, Miami, FL 33131
• Global Investor Services, L.C.
  777 Brickell Ave. -- Suite 1010, Miami, FL 33131
• Global StrategiC Investments, LLC
  701 Brickell Avenue, Suite 1420, Miami, FL 33131
• Golf Host Securities, Inc.
  36750 US HWY 19 N., Palm Harbor, FL 34684
• Grandview Capital, Inc.
  300 S Pine Island Rd, Suite 305, Fort Lauderdale, FL 33324
• Guzman & Company
  101 Aragon Avenue, Coral Gables, FL 33134-5426
• GWN Securities Inc.
  11440 North Jog Road, Palm Beach Gardens, FL 33418-3764
• Halen Capital,INC
  301 South Missouri Avenue, 2nd Floor, Clearwater, FL 33756
  
• Halpern Capital, Inc.
  20900 NE 30TH Ave., Suite 200, Aventura, FL 33180
• Hammerman & Strickland Securities, LLC
  18544 Dale Mabry HWY N, Lutz, FL 33548-7900
• Harbor View Advisors, LLC
  822 A1A North, Suite 200, Ponte Vedra, FL 32082
• HEDGECO Securities, LLC
  400 Clematis Street, Suite 205, West Palm Beach, FL 33401
• Heritage Capital Group, Inc.
  4811 Beach Boulevard, Suite 300, Jacksonville, FL 32207
• High Point Capital Group, Inc.
  400 High Point Drive, Suite 375, Cocoa, FL 32926
  Mailing Address: 400 High Point Drive Suite 375, Cocoa, FL 32926
• Hunter Scott Financial LLC.
  500 Gulfstream Blvd, STE 105, Delray BH, FL 33483
• HWJ Capital Partners II, LLC
  751 Park Of Commerce Drive, Suite 118, Boca Raton, FL 33487
  Mailing Address: 751 Park Of Commerce Drive, Suite118-A, Boca Raton, FL 33487
  
• Hyde Park Capital AdvisorS, LLC
  701 N. Franklin Street, Tampa, FL 33602
• ICD Securities Inc.
  7301 SW 57th Court, Suite 420, Miami, FL 33143
• IDC Securites CORP.
  2103 Coral way, Suite 202, Miami, FL 33145
• INLET Securities, LLC
  233 North Causeway Suite B, New Smyrna Beach, FL 32169
• Integrity Investments, Inc.
  221 Pensacola Road, Venice, FL 34285
• Interbolsa Securities, LLC
  1200 Brickell Avenue, Suite 800, Miami, FL 33131
  
• Intercam Securities, Inc.
  1221 Brickell Avenue, Suite 1070, Miami, FL 33131
• International Assets Advisory, LLC
  300 South Orange Avenue, STE 1100, Orlando, FL 32801
  Mailing Address: 300 South Orange Avenue, Suite 1100, Orlando, FL 32801
• INTL Trading, Inc.
  329 PARK Avenue North, Suite 350, Winter Park, FL 32789
  Mailing Address: 329 PARK Avenue North, Suite 350, Winter Park, FL 32789
• Invest Financial Corporation
  8745 Henderson Road, Suite 300, Tampa, FL 33634
  Mailing Address: 8745 Henderson Road, Suite 300, Tampa, FL 33634
  
• Investacorp, Inc.
  4400 Biscayne Blvd, 11th Floor, Miami, FL 33137
• Investments By Planners, Inc.
  2500 N. Military Trail, Suite 285, Boca Raton, FL 33431-6306
• INVEX, Inc.
  601 Brickell Key Drive, Suite 400, Miami, FL 33131
• ITA Financial Services, LLC
  100 SE 2nd Street, 46th Floor, Miami, FL 33131
• ITAU Europa Securities Inc.
  200 S.Biscayne Blvd., Suite 2200, Miami, FL 33131
• J.W. Cole Financial, Inc.
  6928 W. Linebaugh Ave. STE. 101, Tampa, FL 33625
• JAE Investments, Inc.
  7310 Dover Court, Parkland, FL 33067
• James I. Black & Company
  311 South Florida Avenue, Lakeland, FL 33801
  Mailing Address: P.O. BOX 24838, Lakeland, FL 33802
• JHS Capital Advisors, Inc.
  501 E. Kennedy Blvd, Suite 1400, Tampa, FL 33602
• JVB Financial Group, LLC
  2700 N. Military Trail, Suite 200, Boca Raton, FL 33431
  
• JWH Securities, Inc.
  301 Yamato Road, Suite 2200, Boca Raton, FL 33431-4931
• KAshner Davidson Securities Corporation
  77 South Palm Avenue, Sarasota, FL 34236-7724
• Kendrick Pierce & Co
  511 W. BAY Street, Suite 300, Tampa, FL 33606
  Mailing Address: 511 W. Bay Street, Suite 300, Tampa, FL 33606
  
• Kenneth, Jerome & Co.,Inc.
  147 Columbia Tpke, FlorhaM PK, NJ 07932
  Mailing Address: P.O. BOX 38, Florham PK, NJ 07932-0038
• Kiley Partners, Inc.
  13241 Oakmeade, Palm Beach Gardens, FL 33418
• Kovack Securities Inc.
  6451 N. Federal HWY., Suite 1201, FT. Lauderdale, FL 33308
  
  Kovitz Securities, LLC
  115 S. Lasalle ST., 27th Floor, Chicago, IL 60603
• KPMG Corporate Finance LLC
  303 East Wacker Drive, Floor 22, Chicago, IL 60601
• Kramer Securities Corporation
  7120 S.W. 95 Street, Miami, FL 33156
  Mailing Address: P.O. Drawer 431456, Miami, FL 33243
• Lafise Securities Corporation
  200 S. Biscayne Blvd, Suite 3550, Miami, FL 33131
• Lampost Capital, L.C.
  7777 W. Glades Road, Suite 213, Boca Raton, FL 33434
• Lane, Berry & CO. International, LLC
  225 Franklin Street, Suite 2200, Boston, MA 02110
  Mailing Address: 880 Carillon Parkway, St. Petersburg, FL 33716
• LCG Capital AdvisorS, LLC
  201 East Kennedy Blvd, Suite 325, Tampa, FL 33602
• Legend Equities Corporation
  4600 East Park Drive, Suite 300, Palm Beach Gardens, FL 33410
• Livingston Monroe Capital GrouP Inc.
  5550 Glades Road, Suite 308, Boca Raton, FL 33431
• Magellan Global Partners Inc.
  2103 Coral way, Suite 202, Miami, FL 33145
• Maitland Securities, Inc.
  1111 Douglas Avenue, Altamonte Springs, FL 32714
• Martinez-Ayme Securities
  9495 Sunset Drive, Suite B275, Miami, FL 33173
• MBS Capital Markets, LLC
  4890 W. Kennedy Blvd., Suite 288, Tampa, FL 33609
• Mcduffie/Morris Financial Group, Inc.
  3 Broadriver Road, Ormond Beach, FL 32174-8744
• Mediterranean Securities Group, LLC
  301 Yamato Road, Suite 4160, Boca Raton, FL 33431
  Mailing Address: 301 Yamato Road, Suite 4160, Boca Raton, FL 33431
• Mercantil Commercebank Investment Services
  220 Alhambra Circle, PH Floor, Coral Gables, FL 33134
• Merrimac Corporate Securities, Inc.
  1185 Spring Centre South Blvd, STE 1060, Altamonte Springs, FL 32714
• Michael Saunders Securities Corp.
  307 S. Orange Avenue, Sarasota, FL 34236
• Money Concepts Capital Corp
  11440 North Jog Road, Palm Beach Gardens, FL 33418
  Mailing Address: 11440 North Jog Road, Palm Beach Gardens, FL 33418-3764
• Mowell Financial Group, Inc.
  407 East Sixth Avenue, Tallahassee, FL 32303-6312
• MSC - BD, LLC
  23150 Fashion Drive, Suite 231, Estero, FL 33928
• Murex Capital, LLC
  2600 DOUGLAS RD., Suite 1010B, Coral Gables, FL 33134
• Mutual Fund Specialists, Inc.
  1531 Aloma Ave, Winter Park, FL 32789
  Mailing Address: P.O. BOX 2767, Winter Park, FL 32790-2767
  
• Mutual Trust Co. Of America Securities
  2963 Gulf To Bay Blvd., Suite #330, Clearwater, FL 33759
  Mailing Address: 2963 Gulf To Bay Boulevard, Suite #330, Clearwater, FL 33759
• Mystockfund Securities, Inc.
  13700 US Highway One, Suite 202E, Juno Beach, FL 33408
• Navaid Financial Services, Inc.
  1522 Locust ST., FL. 2, Philadelphia, PA 19102
• Nelson Ivest Brokerage Services, Inc.
  423 Country Club Drive, Winter Park, FL 32789-2968
• Newbridge Securities Corporation
  1451 Cypress Creek RoaD, Suite 204, FT. Lauderdale, FL 33309
  Mailing Address: 1451 Cypress Creek Road, Suite 204, FT. Lauderdale, FL 33309
• Newport Group Securities, Inc.
  300 International Parkway STE 270, Suite 270, Heathrow, FL 32746-5035
• Noble Financial Capital Markets
  951 Yamato Road, Suite 210, Boca Raton, FL 33431
• NSM Securities, Inc.
  1700 Palm Beach Lakes Blvd, Suite 900, West Palm Beach, FL 33401
  Mailing Address: 1700 Palm Beach Lakes Blvd., Suite 900, West Palm Beach, FL 33401
• Odd Lot Bonds, INC
  18851 N.E. 29 Ave., Suite 721, Aventura, FL 33180
• Old Greenwich Partners, LLC
  3563 Oldfield Lake Court, Jacksonville, FL 32223
  Mailing Address: 11111-70 San Jose Blvd, Box 306, Jacksonville, FL 32223
• Osage Investments, Inc.
  1200 North Federal Highway, Suite 400, Boca Raton, FL 33432
• PAF Securities, LLC
  601 Brickell Key Drive, Suite 604, Miami, FL 33131
• PCE Investment Bankers, Inc.
  200 E. New England Avenue, Suite 400, Winter Park, FL 32789
• Peraza Capital and Investment, LLC
  111 Second Avenue Northeast, Suite 705, Saint Petersburg, FL 33701
• Perigee Securities LP
  1605 Main Street, Suite 709, Sarasota, FL 34236
• PMK Securities & Research, Inc.
  105 E. Atlantic Avenue, Suite 200, Delray Beach, FL 33444
• Pointe Atlantic, Inc
  601 N Lois Avenue, Suite 26, Tampa, FL 33609
  Mailing Address: 9753 North 66TH Street, Suite 200, PINELLAS PARK, FL 33782
• Portfolio Resources Group, Inc.
  800 Brickell Avenue, Suite 903, Miami, FL 33131
• Progress Investments LLC
  701 Brickell Avenue, Suite 2550, Miami, FL 33131
• Quantriver Financial, LLC
  4048 EVANS Avenue, Suite 207, Fort Myers, FL 33901
• R.M. Stark & Co., Inc.
  701 SE 6th Avenue, Suite 203, Delray Beach, FL 33483-5186
  Mailing Address: 701 SE 6TH Avenue, Suite 203, Delray Beach, FL 33483
• Raymond James & Associates, Inc.
  880 Carillon Parkway, St. Petersburg, FL 33716
  Mailing Address: P.O. BOX 12749, St. Petersburg, FL 33733-2749
  
• Raymond James Financial Services, Inc.
  880 Carillon Parkway, St. Petersburg, FL 33716
• Republic Securities of America,Inc.
  600 E. Colonial Dr. #100, Orlando, FL 32803
  Mailing Address: 600 East Colonial Drive, Suite 100, Orlando, FL 32803
• Revere Securities Corp.
  3200 N. Military Trail, STE. 215, Boca Raton, FL 33431
• Rogan & Associates, Inc.
  200 9th Avenue. North, Suite 150, Safety Harbor, FL 34695-3500
• RSG Capital Corp.
  7499 West Atlantic Avenue, Suite 208, Delray Beach, FL 33446
• Sabadell Securities USA, Inc.
  1111 Brickell Avenue, 30TH Floor, Miami, FL 33131
  
• Saddlebrook Investments, Inc.
  5700 Saddlebrook Way, Wesley Chapel, FL 33543-4499
• Saxis Group, LLC.
  636 7th Avenue North, Saint Petersburg, FL 33701
  Mailing Address: 17 STATE ST, 11TH Floor, MAILBOX 101, New York, NY 10004
• Schlitt Investor Services, Inc.
  1717 Indian River Blvd-STE 300, Vero Beach, FL 32960-0867
• Seacoast Investor Services, Inc.
  704 SW Port St Lucie Blvd, Port ST Lucie, FL 34953
• Securities Research, Inc.
  3055 Cardinal Drive, Suite 104, Vero Beach, FL 32963
• SFI International, LLC
  10575 Stonebridge Blvd., Boca Raton, FL 33498
• Shay Financial Services, Inc.
  1000 Brickell Ave, Suite 500, Miami, FL 33131
• Shearson Financial Services, LLC
  7000 W. Palmetto Park Road, Suite 306, Boca Raton, FL 33433
• Shelter Bay Securities, LLC
  8942 Shenendoah Circle, Naples, FL 34113
• Singer Xenos Securities, CORP.
  800 Douglas Road, Suite 900, Coral Gables, FL 33134-3187
• Skyway Advisors, LLC
  100 North Tampa Street, Suite 3550, Tampa, FL 33602
• Slavic Investment Corporation
  1075 Broken Sound Parkway NW, Suite 100, Boca Raton, FL 33487-3540
• Solowey & CO.
  6801 S.W. 101 Street, Miami, FL 33156
  Mailing Address: P. O. BOX 566060, Miami, FL 33256-6060
• Southern Trust Securities, Inc.
  145 Almeria Avenue, Coral Gables, FL 33134
• Souza Barros Securities, Inc
  1221 Brickell Avenue, Suite 1120, Miami, FL 33131
• Sovereign-American Securities, Inc.
  1016 Collier Center Way STE 100, Naples, FL 34110
• Spartan Securities Group, LTD.
  15500 Roosevelt Blvd, Suite 303, Clearwater, FL 33760
• Specialty Finance Group, LLC
  2505 South Ocean Boulevard, Suite 212, Palm Beach, FL 33480
• Stanchart Securities International, Inc.
  1111 Brickell Avenue, 16TH Floor, Miami, FL 33131
  Mailing Address: 1095 Avenue of the Americas, New York, NY 10036
• Statetrust Investments Inc.
  800 Brickell Avenue - Suite 100, Miami, FL 33131
• Sterling Enterprises Group, Inc.
  6827 First Avenue South, St. Petersburg, FL 33707
  Mailing Address: 138 107TH Avenue Suite 335, Treasure Island, FL 33706
• Stratstone Securities, LLC
  2100 West Cypress Creek Rd., FT. Lauderdale, FL 33309
  Mailing Address: 2100 WEST CYPRESS CREEK RD., FT. Lauderdale, FL 33309
• Summit Brokerage Services, Inc.
  595 S. Federal Highway, Suite 500, Boca Raton, FL 33432
  Mailing Address: 595 South Federal Highway, Suite 500, Boca Raton, FL 33432
• TCT Securities & Derivatives, LLC
  1110 Brickell Avenue, Suite 509, Miami, FL 33131
• TFG Equities, Inc.
  6111 Broken Sound Parkway, NW, Suite 150, Boca Raton, FL 33487
  Mailing Address: 6111 Broken Sound Parkway, Suite 150, Boca Raton, FL 33487
• The Carney Group, Incorporated
  135 S.E. 5th Avenue, Suite 202, Delray Beach, FL 33483
  
• The Carson Medlin Company
  4100 West Kennedy Blvd., Suite 305, Tampa, FL 33609-2290
• The Pennsylvania Group, Incorporated
  4445 North A1A, Suite 222, Vero Beach, FL 32963
• Timothy Partners, LTD.
  1055 Maitland Center Commons, Maitland, FL 32751
• TRADE-PMR Inc.
  1015 NW 56th Terrace, Gainesville, FL 32605
  Mailing Address: P.O. BOX 358230, Gainesville, FL 32635-8230
  
• Tradeking
  888 E. Las Olas Blvd, Suite 300, Fort Lauderdale, FL 33301
  
• Tradespot Markets Inc.
  13900 SW 24th Street, Davie, FL 33325
  
• Tradestation Securities, Inc.
  8050 SW 10TH Street, Suite 2000, Plantation, FL 33324
  Mailing Address: 8050 SW 10TH Street, Suite 2000, Plantation, FL 33324
• Tradewire Securities LLC
  1441 Brickell Avenue, Suite 1210, Miami, FL 33131
• Tradingscreen Brokerage Services LLC
  30 Irving PL, FL 4, New York, NY 10003
• Transam Securities, Inc.
  1111 Douglas Avenue, Altamonte Springs, FL 32714
  
• Transamerica Financial Advisors, INC
  570 Carillon Parkway, St. Petersburg, FL 33716-1202
  Mailing Address: P.O. BOX 9053, Clearwater, FL 33758-9053
• Triago
  499 Park Avenue, Suite 2001, New York, NY 10022
  Mailing Address: 499 Park Ave, FL 20, New York, NY 10022-1231
• Ultralat Capital Markets, Inc.
  801 Brickell Avenue, Suite 1060, Miami, FL 33131
  Mailing Address: 801 Brickell Avenue, Miami, FL 33131
• United Capital Markets, Inc.
  240 Crandon Blvd., Suite 167, Key Biscayne, FL 33149
• United Security Corporation
  4400 Biscayne Blvd, Suite 950, Miami, FL 33137
  Mailing Address: 4400 Biscayne Blvd., Miami, FL 33137
• Valor Financial Securities LLC
  521 West Central Avenue, Winter Haven, FL 33880
• Variant Trading Institutional Group, Inc.
  225 N.E. Mizner Boulevard, Suite 730, Boca Raton, FL 33432
  
• Vasiliou & Company, Inc.
  1000 SO. Pointe Drive, Miami Beach, FL 33139
• VCG Securities, LLC
  407 S.E. 1st Street, Delray Beach, FL 33483
• Vectorglobal WMG
  801 Brickell Avenue, Suite 2500, Miami, FL 33131
• Venecredit Securities, Inc.
  1111 Brickell Avenue, Suite 1575, Miami, FL 33131
  Mailing Address: 1111 Brickell Avenue, Suite 1575, Miami, FL 33131
• Vfinance Investments, INC
  1200 N. Federal Highway, Suite 400, Boca Raton, FL 33432
• Viewtrade Securities, Inc.
  7280 W. Palmetto PARK RD., 105, Boca Raton, FL 33433
• Vogue Capital Management LLC
  18911 Collins Avenue, #1201, Sunny Isles Beach, FL 33160-2389
• WALL Street Money Center Corp.
  2385 Executive Center Dr., Suite #100, Boca Raton, FL 33431
  Mailing Address: 2385 Executive Center Drive, Suite #100, Boca Raton, FL 33431
• Weiss Capital Securities, Inc.
  15430 Endeavour Drive, Jupiter, FL 33478
• Welcome Life Securities, LLC
  6001 Broken Sound Parkway, Suite 320-A, Boca Raton, FL 33487
• Young, Stovall and Company
  9627 S. Dixie HWY-STE 101, Miami, FL 33156