New York

The Securities Fraud Lawyers at Greco & Greco, P.C. regularly represent New York 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 New York, including New York City, Manhattan, Hempstead, Brookhaven, Islip, Oyster Bay, Buffalo, Babylon, Rochester, and Syracuse.

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 four New York cities: Albany, Buffalo, Syracuse, and New York.

The New York Office of the Attorney General, Investor Protection Bureau, located near Wall Street in Manhattan, regulates the sales of securities in the state of New York. Its website provides information on state securities Statutes and Rules, and information on how to file a complaint.

Common Legal Claims by investors against their financial advisors in New York 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.

1. Whenever the attorney-general shall believe from evidence satisfactory to him that any person, partnership, corporation, company, trust or association has engaged in, is engaged or is about to engage in any of the practices or transactions heretofore referred to as and declared to be fraudulent practices, he may bring an action in the name and on behalf of the people of the state of New York against such person, partnership, corporation, company, trust or association, and any other person or persons theretofore concerned in or in any way participating in or about to participate in such fraudulent practices, to enjoin such person, partnership, corporation, company, trust or association and such other person or persons from continuing such fraudulent practices or engaging therein or doing any act or acts in furtherance thereof or, if the attorney-general should believe from such evidence that such person, partnership, corporation, company, trust or association actually has or is engaged in any such fraudulent practice, he may include in such action an application to enjoin permanently such person, partnership, corporation, company, trust or association, and such other person or persons as may have been or may be concerned with or in any way participating in such fraudulent practice, from selling or offering for sale to the public within this state, as principal, broker or agent, or otherwise, any securities issued or to be issued. In said action an order or a judgment may be entered awarding the relief applied for or so much thereof as the court may deem proper. Upon a showing by the attorney-general in his application for a permanent injunction hereunder that the defendant named in the action or an officer thereof has refused to be sworn or to be examined or to answer a material question or to produce a book or paper relevant to the inquiry when duly ordered so to do by the officer or judge duly conducting an inquiry into the subject matter forming the basis of the application for such injunction, such refusal shall be prima facie proof that such defendant is or has been engaged in fraudulent practices as set forth in such application and a permanent injunction may issue from the supreme court without any further showing by the attorney-general. In such an action, the court may award to the plaintiff a sum not in excess of two thousand dollars as an additional allowance.
2. Upon a showing by the attorney-general in an application for an injunction that any person engaged in the purchase, sale, offer to purchase or sell, issuance, exchange, promotion, negotiation, advertisement or distribution within this state of any security or securities, either as principal, partner, officer, agent, employee or otherwise, has ever been convicted by a court of competent jurisdiction in any state or country of any felony; or of any other criminal offense by any such court, whether or not constituting a felony, involving securities, the supreme court after a hearing may issue a permanent injunction awarding the relief applied for, or so much thereof as the court may deem proper, against such person shown to have been so convicted, in the form and manner provided for in subdivision one of this section in case of one who actually has or is engaged in any fraudulent practice.
3. Upon a showing by the attorney general that a fraudulent practice as defined by this article has occurred, he may include in an action under this article an application to direct restitution of any moneys or property obtained directly or indirectly by any such fraudulent practice.

A B WONG CAPITAL LLC
10 CATHERINE SLIP 15H, NEW YORK, NY 10038
Mailing Address: P.O.BOX 479, NEW YORK, NY 10272

A&F FINANCIAL SECURITIES, INC.
6901 JERICHO TURNPIKE, SUITE 217, SYOSSET, NY 11791

A. P. SECURITIES, INC.
15 WATERVIEW DR, CENTERPORT, NY 11721
Mailing Address: P. O. BOX 434, CENTERPORT, NY 11721

A. R. SCHMEIDLER & CO., INC.
500 FIFTH AVENUE, NEW YORK, NY 10110-1405

A.B. WATLEY DIRECT, INC.
50 BROAD STREET, SUITE 1614, NEW YORK, NY 10004
Mailing Address: 50 BROAD STREET, SUITE 1614, NEW YORK, NY 10004

A.C.R. SECURITIES, INC.
687 PARK LANE, CEDARHURST, NY 11516

A.J. PACE & CO., INC.
39 BROADWAY, SUITE 3300, NEW YORK, NY 10006
Mailing Address: 39 BROADWAY, SUITE 3300, NEW YORK, NY 10006

A.J. SLOANE & COMPANY, LLC
623 FIFTH AVENUE, 28TH FLOOR, NEW YORK, NY 10022

A.K. CAPITAL, LLC
445 PARK AVENUE, 9TH FLOOR, NEW YORK, NY 10022
Mailing Address: 445 PARK AVENUE 9TH FLOOR, NEW YORK, NY 10022

ABACUS INTERNATIONAL CAPITAL CORP.
181 CANAL STREET-2ND FLOOR, NEW YORK, NY 10013
Mailing Address: 181 CANAL STREET - 2ND FLOOR, NEW YORK, NY 10013

ABBEY CAPITAL (US) LLC
330 MADISON AVE, SUITE 623, NEW YORK, NY 10017-5001

ABEL/NOSER CORP.
ONE BATTERY PARK PLAZA, 6TH FLOOR, NEW YORK, NY 10004

ABG SUNDAL COLLIER INC.
535 MADISON AVENUE, NEW YORK, NY 10022-4212

ABN AMRO SECURITIES (USA) LLC
100 PARK AVENUE, 17 FLOOR, NEW YORK, NY 10017-5516

ABRAMSON FINANCIAL, LLC
1633 BROADWAY, NINTH FLOOR, NEW YORK, NY 10019

ACADEMY SECURITIES, INC.
445 HAMILTON AVENUE, SUITE 1102, WHITE PLAINS, NY 10601

ACCRUED EQUITIES INC.
150 BROADHOLLOW RD, SUITE PH 02, MELVILLE, NY 11747

ACGM, INC.
590 MADISON AVENUE, 41ST FLOOR, SUITE 4103, NEW YORK, NY 10022

ACHELOUS PARTNERS, LLC
THE CHRYSLER BUILDING, 405 LEXINGTON AVENUE, 7TH FLOOR, NEW YORK CITY, NY 10174-0002

ACN SECURITIES INC.
100 PARK AVENUE - SUITE 1600, NEW YORK, NY 10017

ADIRONDACK TRADING GROUP LLC
2123 MAIN STREET, NEW WOODSTOCK, NY 13122

ADVANCED EQUITIES SERVICES CORP.
C/O ACCOUNTING & COMPLIANCE INTERNATIONAL, 40 WALL STREET SUITE 1704, NEW YORK, NY 10005
Mailing Address: 130 BROAD BROOK ROAD, BEDFORD HILLS, NY 10507

ADVANCED GLOBAL SECURITES CORP.
445 PARK AVENUE, 9TH FLOOR, NEW YORK, NY 10022

ADVANTAGE GFC LLC
2 WALL STREET, NEW YORK, NY 10005

AEGIS CAPITAL CORP.
810 7TH AVE, 11TH FLOOR, NEW YORK, NY 10019

AEGIS ENERGY ADVISORS CORP.
708 THIRD AVENUE, 6TH FLOOR, NEW YORK, NY 10017-4201

AG BD LLC
245 PARK AVENUE, 26TH FLOOR, NEW YORK, NY 10167-0094

AGM SECURITIES LLC
277 PARK AVENUE, 49TH FLOOR, NEW YORK, NY 10172

AGRICAPITAL SECURITIES INC.
1410 BROADWAY, SUITE 1802, NEW YORK, NY 10018

AKIN BAY COMPANY LLC
780 THIRD AVENUE, NEW YORK, NY 10017

ALBERT FRIED & COMPANY, LLC
45 BROADWAY, 24TH FLOOR, NEW YORK, NY 10006

ALEXANDER CAPITAL, L.P.
100 QUENTIN ROOSEVELT BLVD, SUITE 103, GARDEN CITY, NY 11530

ALFORMA CAPITAL MARKETS, INC.
1270 AVENUE OF THE AMERICAS, SUITE 1805, NEW YORK, NY 10020

ALGO ENGINEERING EXECUTION SERVICES LLC
7 WORLD TRADE CENTER, STE 34F, NEW YORK, NY 10007

ALL FUNDS, INC.
1444 ORANGE TURNPIKE, MONROE, NY 10950-3716
Mailing Address: PO DRAWER H, VALLEY COTTAGE, NY 10989

ALLEGRO SECURITIES LLC
3 W 57TH ST, FL 10, NEW YORK, NY 10019

ALLEN & COMPANY LLC
711 FIFTH AVENUE, NEW YORK, NY 10022

ALLIANCEBERNSTEIN INVESTMENTS, INC.
1345 AVENUE OF THE AMERICAS, NEW YORK, NY 10105-0096

ALLIANZ GLOBAL INVESTORS DISTRIBUTORS LLC
1633 BROADWAY, NEW YORK, NY 10019

ALLY SECURITIES LLC
1177 AVENUE OF THE AMERICAS, 16TH FLOOR, NEW YORK, NY 10036

ALPHASOURCE CAPITAL SECURITIES LLC
32 EAST 57TH STREET, 12TH FLOOR, NEW YORK, NY 10022

ALTERNATIVE ACCESS CAPITAL, LLC
2 WILLIAM STREET, SUITE 402, WHITE PLAINS, NY 10601

ALTERNATIVE ASSET INVESTMENT MANAGEMENT SECURITIES, LLC
99 PARK AVENUE, SUITE 330, NEW YORK, NY 10016
Mailing Address: BOX 5274, ROCKEFELLER STATION, NEW YORK, NY 10185-5274

ALTERNET SECURITIES INC.
380 MADISON AVENUE, 4TH FLOOR, NEW YORK, NY 10017

ALTO SECURITIES, LLC
850 THIRD AVENUE, 16TH FLOOR, NEW YORK, NY 10022

ALVAREZ & MARSAL SECURITIES, LLC
600 LEXINGTON AVE, 6TH FLOOR, NEW YORK, NY 10022
Mailing Address: 600 LEXINGTON AVE, 6TH FLOOR, NEW YORK, NY 10022

ALYSSA LLC
888 7TH AVENUE, 41ST FLOOR, NEW YORK, NY 10106

AMBATA SECURITIES, LLC
370 LEXINGTON AVENUE, 26TH FLOOR, NEW YORK, NY 10017

AMERICA INVEST ONLINE, INC.
97 POWERHOUSE ROAD, SUITE 103, ROSLYN HEIGHTS, NY 11577
Mailing Address: 97 POWERHOUSE ROAD, SUITE 103, ROSLYN HEIGHTS, NY 11577

AMERICAN CAPITAL PARTNERS, LLC
205 OSER AVE., HAUPPAUGE, NY 11788

AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC.
4250 VETERANS MEMORIAL HIGHWAY, 4TH FLOOR EAST, HOLBROOK, NY 11741
Mailing Address: 4250 VETERANS MEMORIAL HWY, 4TH FLOOR EAST, HOLBROOK, NY 11741

AMERITECH ADVISORS
708 THIRD AVENUE, 5TH FLOOR, NEW YORK, NY 10017

AMUNDI DISTRIBUTORS, INC.
1301 AVENUE OF THE AMERICAS, 38TH FL., NEW YORK, NY 10019

AMUR ADVISORS LLC
12 EAST 49TH STREET, 40TH FLOOR, NEW YORK, NY 10017

ANCHIN CAPITAL ADVISORS LLC
1375 BROADWAY, 18TH FLOOR, NEW YORK, NY 10018

ANCHOR ASSET MANAGEMENT LLC
267 FIFTH AVE., SUITE 800, NEW YORK, NY 10016

ANDREW GARRETT INC.
140 EAST 45TH STREET, 11TH FLOOR, NEW YORK, NY 10017

ANUBIS SECURITIES LLC
717 FIFTH AVENUE, 18TH FLOOR, NEW YORK, NY 10022

ANZ SECURITIES, INC.
277 PARK AVENUE, FLOOR 31, NEW YORK, NY 10172-0003

AON BENFIELD SECURITIES, INC.
200 EAST RANDOLPH STREET, CHICAGO, IL 60601

APB FINANCIAL GROUP, LLC
17 STATE ST. - SUITE 1650, NEW YORK, NY 10004

APOLLO GLOBAL SECURITIES, LLC
9 WEST 57TH STREET, 48TH FL, NEW YORK, NY 10019-2701

AQUA SECURITIES L.P.
110 EAST 59TH STREET, NEW YORK, NY 10022

AQUILA DISTRIBUTORS, INC.
380 MADISON AVENUE #2300, NEW YORK, NY 10017
Mailing Address: 380 MADISON AVENUE, SUITE 2300, NEW YORK, NY 10017

ARCADIA SECURITIES, LLC
720 FIFTH AVE, 10TH FL, NEW YORK, NY 10019
Mailing Address: 720 FIFTH AVE, 10TH FLOOR, NEW YORK, NY 10019

ARDOUR CAPITAL INVESTMENTS, LLC
350 5TH AVENUE, SUITE 3018, NEW YORK, NY 10118

ARJENT LLC
570 LEXINGTON AVENUE, 22ND FLOOR, NEW YORK, NY 10022

ARMONK CAPITAL SECURITIES LLC
16 ROSE HILL DRIVE, ARMONK, NY 10504

ARROW INVESTMENTS, INC.
3010 WESTCHESTER AVENUE, SUITE 203, PURCHASE, NY 10577

ARTIO GLOBAL INSTITUTIONAL SERVICES LLC
330 MADISON AVENUE, FLOOR 12A, NEW YORK, NY 10017-5035

ASANTE PARTNERS LLC
641 LEXINGTON AVENUE, 30TH FLOOR, NEW YORK, NY 10022

ASHMORE INVESTMENT MANAGEMENT (US) CORPORATION
122 E. 42ND ST, STE 5005, NEW YORK, NY 10168

ASPERION GROUP LLC
152 WEST 57TH STREET, 18TH FLOOR, NEW YORK, NY 10019

AST INVESTOR SERVICES LLC
110 WALL STREET, 5TH FLOOR, NEW YORK, NY 10005
Mailing Address: 6201 15TH AVENUE, BROOKLYN, NY 11219

ASTORIA CAPITAL MARKETS, INC.
30-08 36TH STREET, LONG ISLAND CITY, NY 11103

ATLANTIC STATE PARTNERS, LLC
7 AVON ROAD, LARCHMONT, NY 10538-1420

ATLAS STRATEGIC ADVISORS, LLC
140 EAST 45TH STREET, NEW YORK, NY 10017

ATM USA, LLC
39 BROADWAY, SUITE 3300, NEW YORK, NY 10006

AUERBACH GRAYSON & COMPANY LLC
25W 45TH STREET SUITE 16, NEW YORK, NY 10036
Mailing Address: 25W 45TH STREET SUITE 16, NEW YORK, NY 10036

AUFHAUSER SECURITIES, INC.
112 WEST 56TH STREET, NEW YORK, NY 10019-3841

AURIGA USA, LLC
546 5TH AVENUE, 9TH FLOOR, NEW YORK, NY 10036-5000

AURORA CAPITAL LLC
17 PARK AVENUE, #201, NEW YORK, NY 10016

AUTOMATED EQUITY FINANCE MARKETS, INC.
529 5TH AVENUE, 14TH FL., NEW YORK, NY 10017

AVALON SECURITIES, LTD.
1375 BROADWAY, NEW YORK, NY 10018
Mailing Address: 1375 BRODWAY, NEW YORK, NY 10018

AVATAR CAPITAL GROUP LLC
7 WORLD TRADE CENTER, 32ND FLOOR, NEW YORK, NY 10007

AVENDUS CAPITAL, INC.
100 PARK AVENUE, 16TH FLOOR, NEW YORK, NY 10017

AVILA CAPITAL MARKETS, INC.
150 EAST 52ND STREET, SUITE 32002, NEW YORK, NY 10022

AXA ADVISORS, LLC
1290 AVENUE OF THE AMERICAS, NEW YORK, NY 10104
Mailing Address: 1290 AVENUE OF THE AMERICAS, 12TH FLOOR, NEW YORK, NY 10104

AXA DISTRIBUTORS, LLC
1290 AVENUE OF THE AMERICAS, NEW YORK, NY 10104
Mailing Address: 1290 AVENUE OF THE AMERICAS, 11TH FLOOR, NEW YORK, NY 10104

AXIOM CAPITAL MANAGEMENT, INC.
780 THIRD AVENUE, 43RD FLOOR, NEW YORK, NY 10017-2024

AXIS THOUGHT CAPITAL, LLC
708 THIRD AVENUE, SUITE 500, NEW YORK, NY 10017

BALLISTA SECURITIES, LLC
875 THIRD AVENUE, 29TH FLOOR, NEW YORK, NY 10022

BANC OF AMERICA SPECIALIST, INC.
14 WALL STREET, 21ST FLOOR, NEW YORK, NY 10005

BANCA IMI SECURITIES CORP.
1 WILLIAM STREET, NEW YORK, NY 10004

BANCO DO BRASIL SECURITIES LLC
535 MADISON AVENUE, 34TH FLOOR, NEW YORK, NY 10022

BANCO VOTORANTIM SECURITIES, INC.
126 EAST 56TH STREET, 9TH FLOOR, SUITE 920, NEW YORK, NY 10022-3613

BANESTO SECURITIES, INC.
730 FIFTH AVENUE, SUITE 701, NEW YORK, NY 10019

BANNOCKBURN PARTNERS, LLC
30 BROAD STREET 35TH FLOOR, NEW YORK, NY 10004
Mailing Address: C/O FRANZESE 9 SHIRRA AVE, STATEN ISLAND, NY 10314

BANORTE-IXE SECURITIES INTERNATIONAL, LTD.
540 MADISON AVENUE, 36TH FLOOR, NEW YORK, NY 10022

BARCLAY INVESTMENTS, INC.
254 WEST 54TH STREET, 16TH FLOOR, NEW YORK, NY 10019

BARCLAYS CAPITAL INC.
745 7TH AVENUE, NEW YORK, NY 10019

BARNETT & PARTNERS ADVISORS, LLC
1350 AVENUE OF THE AMERICAS, SUITE 2900, NEW YORK, NY 10019

BARON CAPITAL, INC.
767 FIFTH AVENUE, 49TH FLOOR, NEW YORK, NY 10153

BARRETT SECURITIES INC.
777 THIRD AVENUE, 17TH FLOOR, NEW YORK, NY 10017

BASIC CAPITAL ADVISORS, LLC
120 W 15TH STREET, #3-L, NEW YORK, NY 10011

BAY CREST PARTNERS, LLC
40 WALL STREET, 45TH FLOOR, NEW YORK, NY 10005

BBVA SECURITIES INC.
1345 AVENUE OF THE AMERICAS 45TH FLOOR, NEW YORK, NY 10105-0302
Mailing Address: 1345 AVENUE OF THE AMERICAS, 45TH FLOOR, NEW YORK, NY 10105-0302

BCMS CAPITAL ADVISORS LLC
30 BROAD ST., 29TH FLOOR, NEW YORK, NY 10004
Mailing Address: 30 BROAD ST., 29TH FLOOR, NEW YORK, NY 10004

BCS PLACEMENTS, LLC
71 MURRAY STREET, NO. 8, NEW YORK, NY 10007

BEDROK SECURITIES LLC
555 THEODORE FREMD AVENUE, C-301, RYE, NY 10580

BEECH HILL SECURITIES, INC.
880 3RD AVENUE 16TH FLOOR, NEW YORK, NY 10022-4730

BEEKMAN SECURITIES, INC.
750 THIRD AVENUE, NEW YORK, NY 10017

BEIGE GROUP, LLC
5 PENN PLAZA, NEW YORK, NY 10001

BELLE HAVEN INVESTMENTS, L.P.
1133 WESTCHESTER AVE., SUITE 221, WHITE PLAINS, NY 10604

BELMONT CAPITAL
115 EAST 57TH STREET, NEW YORK, NY 10022

BENDIGO SECURITIES, LLC
241 CENTRE STREET, 6TH FLOOR, SUITE 7, NEW YORK, NY 10013

BENEDETTO, GARTLAND & COMPANY, INC.
1180 AVENUE OF THE AMERICAS, 16TH FLOOR, NEW YORK, NY 10036

BENJAMIN & JEROLD BROKERAGE I, LLC
55 BROAD STREET, 28 FLOOR, NEW YORK, NY 10004
Mailing Address: 55 BROAD STREET, 28TH FLOOR, NEW YORK, NY 10004

BENJAMIN SECURITIES, INC.
378 SOUTH OYSTER BAY ROAD, HICKSVILLE, NY 11801-3509

BENTLEY SECURITIES CORPORATION
360 LEXINGTON AVENUE, 3RD FLOOR, NEW YORK, NY 10017
Mailing Address: 360 LEXINGTON AVENUE, 3RD FLOOR, NEW YORK, NY 10017

BERCHWOOD PARTNERS LLC
717 FIFTH AVENUE, 14TH FLOOR, NEW YORK, NY 10022

BERENSON & COMPANY, LLC
667 MADISON AVENUE- 4TH FLOOR, 667 MADISON AVENUE, NEW YORK, NY 10021
Mailing Address: 667 MADISON AVENUE-4TH FLOOR, NEW YORK, NY 10021

BERKSHIRE CAPITAL SECURITIES LLC
535 MADISON AVENUE, 19TH FLOOR, NEW YORK, NY 10022-4212
Mailing Address: 535 MADISON AVENUE, 19TH FLOOR, NEW YORK, NY 10022-4212

BERNARD HEROLD & CO., INC.
805 3RD AVENUE, NEW YORK, NY 10022-7513
Mailing Address: 805 3RD AVENUE, 18TH FLOOR, NEW YORK, NY 10022-7513

BESSEMER INVESTOR SERVICES, INC.
630 FIFTH AVENUE - 37TH FLOOR, NEW YORK, NY 10111-0333

BETTERMENT SECURITIES
70 E. 55TH STREET, 17 FLOOR, NEW YORK, NY 10022

BEXIL SECURITIES LLC
11 HANOVER SQUARE, NEW YORK, NY 10005

BGC FINANCIAL, L.P.
ONE SEAPORT PLAZA, 19TH FLOOR, NEW YORK, NY 10038

BIDS TRADING L.P.
111 BROADWAY, SUITE 1603, NEW YORK, NY 10006

BISHOP, ROSEN & CO., INC.
100 BROADWAY, NEW YORK, NY 10005

BISMARCK CAPITAL, LLC
745 FIFTH AVENUE, 31ST FLOOR, NEW YORK, NY 10151

BLACKBOOK CAPITAL LLC
420 LEXINGTON AVENUE, SUITE 2525, NEW YORK, NY 10170

BLACKROCK CAPITAL MARKETS, LLC
55 EAST 52ND STREET, NEW YORK, NY 10055
Mailing Address: 55 EAST 52ND STREET, NEW YORK, NY 10055

BLACKROCK INVESTMENTS, LLC
55 EAST 52ND STREET, NEW YORK, NY 10055
Mailing Address: 40 EAST 52ND STREET, NEW YORK, NY 10022

BLACKSTONE ADVISORY PARTNERS L.P.
345 PARK AVENUE, NEW YORK, NY 10154-0191

BLAYLOCK ROBERT VAN, LLC
600 LEXINGTON AVENUE, 3RD FLOOR, NEW YORK, NY 10022
Mailing Address: 600 LEXINGTON AVENUE, 3RD FLOOR, NEW YORK, NY 10022

BLOCK ORDERS EXECUTION, LLC
450 SEVENTH AVENUE, 25TH FLOOR, NEW YORK, NY 10123

BLOOMBERG TRADEBOOK LLC
731 LEXINGTON AVENUE, NEW YORK, NY 10022

BLUE CAPITAL SECURITIES, INC.
29 BROADWAY, SUITE 1508, NEW YORK, NY 10006

BLUE POINT SECURITIES INC.
C/O ACCOUNTING & COMPLIANCE INTERNATIONAL, 40 WALL STREET - SUITE 1704, NEW YORK, NY 10005

BLUE VASE SECURITIES, LLC
8 LIVINGSTON STREET, SUITE 10, RHINEBECK, NY 12572

BMO CAPITAL MARKETS CORP.
3 TIMES SQUARE, NEW YORK, NY 10036

BMO NESBITT BURNS TRADING CORP. S.A.
3 TIMES SQUARE, NEW YORK, NY 10036
BNY CONVERGEX EXECUTION SOLUTIONS LLC
1633 BROADWAY, 48TH FLOOR, NEW YORK, NY 10019

BNY MELLON CAPITAL MARKETS, LLC
32 OLD SLIP, 15TH FLOOR, NEW YORK, NY 10286

BOC INTERNATIONAL (USA) INC.
1270 AVE. OF THE AMERICAS - RM. 202, NEW YORK, NY 10020
Mailing Address: 1270 AVE. OF THE AMERICAS- RM 202, NEW YORK, NY 10020

BODELL OVERCASH ANDERSON & CO., INC.
FENTON BUILDING, SUITE 200, JAMESTOWN, NY 14701
Mailing Address: FENTON BUILDING, SUITE 200, PO BOX 1237, JAMESTOWN, NY 14702-1237

BOHICA SECURITIES LLC
39 BROADWAY, SUITE 3300, NEW YORK, NY 10006

BONDDESK TRADING LLC
777 THIRD AVE., FLOOR 14, NEW YORK, NY 10017

BONDS.COM, INC.
529 FIFTH AVENUE, 8TH FLOOR, NEW YORK, NY 10017

BOUCHEY & ASSOCIATES, INC.
19 KEMPTON PL. - APT. 8, SARATOGA SPRINGS, NY 12866
Mailing Address: 19 KEMPTON PL. - APT. 8, SARATOGA SPRINGS, NY 12866

BOWERS SECURITIES INC.
C/O ACCOUNTING & COMPLIANCE INTERNATIONAL, 40 WALL STREET - SUITE 1704, NEW YORK, NY 10005

BOWNE PARK CAPITAL, INC.
170-06 CROCHERON AVENUE, 3F, FLUSHING, NY 11358-2265

BRADESCO SECURITIES, INC.
450 PARK AVENUE, 32ND FLOOR, NEW YORK, NY 10022

BRADLEY WOODS & CO. LTD.
805 THIRD AVE, 18TH FL., NEW YORK, NY 10022

BRANT POINT CAPITAL, LLC
712 FIFTH AVE., 45TH FL., NEW YORK, NY 10019
Mailing Address: 712 FIFTH AVE., 45TH FLOOR, NEW YORK, NY 10019

BRAVER STERN SECURITIES LLC
725 FIFTH AVENUE, 22ND FLOOR, NEW YORK, NY 10022

BREAN MURRAY, CARRET & CO., LLC.
570 LEXINGTON AVENUE, 11TH FLOOR, NEW YORK, NY 10022

BREN VENTURES LLC
590 MADISON AVENUE, 26TH FLOOR, NEW YORK, NY 10022

BRENDAN E. CRYAN AND COMPANY, L.L.C.
2 RECTOR STREET, 15TH FLOOR, NEW YORK, NY 10006

BREVAN HOWARD US LLC
590 MADISON AVENUE, FIFTH FLOOR, NEW YORK, NY 10022
Mailing Address: 590 MADISON AVENUE, NINTH FLOOR, NEW YORK, NY 10022

BRIGHTON SECURITIES CORP.
1703 MONROE AVENUE, ROCHESTER, NY 14618-1487

BRILL SECURITIES, INC.
152 W 57TH STREET, 16TH FLOOR, NEW YORK, NY 10019

BRIMBERG & CO.
666 5TH AVENUE, 15TH FLOOR, NEW YORK, NY 10103

BRINSON PATRICK SECURITIES CORPORATION
1515 BROADWAY, 11TH FLOOR, NEW YORK, NY 10036

BRISTOL FINANCIAL SERVICES, INC
255 EXECUTIVE DRIVE, SUITE 209, PLAINVIEW, NY 11803

BRISTOL INVESTMENT GROUP, INC.
110 EAST 59TH STREET, 22TH FL., NEW YORK, NY 10022

BRITTANY CAPITAL GROUP, INC.
666 FIFTH AVENUE, 26TH FLOOR, NEW YORK, NY 10103

BROADBAND CAPITAL MANAGEMENT, LLC
712 FIFTH AVENUE, 22ND FLOOR, NEW YORK, NY 10019

BROADWAY DIRECT INVESTMENTS, LLC
ONE PENN PLAZA, SUITE 4615, NEW YORK, NY 10119

BROCK SECURITIES LLC
622 THIRD AVENUE, FLOOR 12, NEW YORK, NY 10017

BROKERAGESELECT
364 WEST 117TH STREET, SUITE 5A, NEW YORK, NY 10026

BROOKFIELD PRIVATE ADVISORS LLC
3 WORLD FINANCIAL CENTER, 200 VESEY STREET, 11TH FLOOR, NEW YORK, NY 10281-1021

BROOKS, HOUGHTON SECURITIES, INC.
444 MADISON AVENUE, 25TH FLOOR, NEW YORK, NY 10022

BROOKVILLE CAPITAL PARTNERS
384 RXR PLAZA, UNIONDALE, NY 11556

BROWN BROTHERS HARRIMAN & CO.
140 BROADWAY, NEW YORK, NY 10005

BROWNSTONE INVESTMENT GROUP, LLC
655 THIRD AVENUE, 23RD FLOOR, NEW YORK, NY 10017

BRUDERMAN BROTHERS, INC.
64 BIRCH HILL RD, LOCUST VALLEY, NY 11560

BRYAN GARNIER SECURITIES, LLC
16TH FLOOR, 750 LEXINGTON AVENUE, NEW YORK, NY 10022

BRYANT PARK CAPITAL, INC.
489 FIFTH AVENUE, 27TH FLOOR, NEW YORK, NY 10017

BSG MARKETS LLC
712 FIFTH AVENUE, NEW YORK, NY 10019

BTG PACTUAL US CAPITAL CORP.
601 LEXINGTON AVENUE, 57TH FLOOR, NEW YORK, NY 10022-6831
Mailing Address: 601 LEXINGTON AVENUE, NEW YORK, NY 10022-6831

BTMU SECURITIES, INC.
1251 AVENUE OF THE AMERICAS, 12TH FLOOR, NEW YORK, NY 10020

BUCK KWASHA SECURITIES LLC
245 PARK AVENUE, 23RD FLOOR, NEW YORK, NY 10167-0002

BUCKRAM SECURITIES LTD
21 CEDAR SWAMP ROAD, SUITE 4, GLEN COVE, NY 11542

BULLARO SECURITIES CORP.
25-19 STEINWAY STREET, ASTORIA, NY 11103

BURKE & QUICK PARTNERS LLC
333 EARLE OVINGTON BLVD, SUITE 230, UNIONDALE, NY 11553

BURNHAM HILL PARTNERS LLC
C/O DAVID MACK, 501 MADISON AVENUE, SUITE 501, NEW YORK, NY 10022

BURNHAM SECURITIES INC.
1325 AVENUE OF THE AMERICAS, 26TH FLOOR, NEW YORK, NY 10019
Mailing Address: 1325 AVENUE OF THE AMERICAS, 26TH FLOOR, NEW YORK, NY 10019

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