| FOUNDATION BANK | | | banking violation | 2010 | FDIC | $5,000 |
| MERRIMAC SAVINGS BANK | | | banking violation | 2010 | FDIC | $5,000 |
| HIGHLAND COMMUNITY BANK | | | banking violation | 2010 | FDIC | $5,000 |
| COMMERCE BANK | | | banking violation | 2006 | FDIC | $5,000 |
| L&L CPAs, PA | | | accounting fraud or deficiencies | 2017 | PCAOB | $5,000 |
| William T. McCallum CPA, P.C. | | | accounting fraud or deficiencies | 2017 | PCAOB | $5,000 |
| SEJONG LLP | | | accounting fraud or deficiencies | 2017 | PCAOB | $5,000 |
| Donahue Associates LLC | | | accounting fraud or deficiencies | 2016 | PCAOB | $5,000 |
| Stein & Company, LLP | | | accounting fraud or deficiencies | 2015 | PCAOB | $5,000 |
| HDSG & Associates | | | accounting fraud or deficiencies | 2015 | PCAOB | $5,000 |
| Touchstone Funds Group Trust | | | investor protection violation | 2013 | AK-DBS | $5,000 |
| Arbor Capital Management, Inc. | | | investor protection violation | 2013 | AK-DBS | $5,000 |
| McKinley Capital Non-US Small Cap Growth Fund | | | investor protection violation | 2015 | AK-DBS | $5,000 |
| Clean Energy Pathways, Inc. | | | investor protection violation | 2010 | AL-SEC | $5,000 |
| Global Financial Private Capital, LLC | | | investor protection violation | 2014 | AL-SEC | $5,000 |
| Girosol of Kentucky, Corp. | | | investor protection violation | 2008 | AR-SEC | $5,000 |
| Southwestern Union Conference of Seventh-day Adventists | | | investor protection violation | 2008 | AR-SEC | $5,000 |
| Key Financial Corp. | | | investor protection violation | 2009 | AR-SEC | $5,000 |
| PowerOne Corp. | | | investor protection violation | 2014 | AR-SEC | $5,000 |
| Texas Energy Mutual, LLC | | | investor protection violation | 2014 | AR-SEC | $5,000 |
| Crews and Associates, Inc. | | | investor protection violation | 2019 | AR-SEC | $5,000 |
| Solium Financial Services LLC | Morgan Stanley | financial services | investor protection violation | 2019 | AR-SEC | $5,000 |
| Truckville Inc. dba EZ Finance Auto Sales | | | investor protection violation | 2000 | AZ-CC | $5,000 |
| Steven S. Levine Chartered | | | investor protection violation | 2001 | AZ-CC | $5,000 |
| William R. Evans Chartered | | | investor protection violation | 2002 | AZ-CC | $5,000 |
| Beneficial Assistance | | | investor protection violation | 2002 | AZ-CC | $5,000 |
| Estate Conservation Strategies, Inc. | | | investor protection violation | 2002 | AZ-CC | $5,000 |
| Universal FX Incorporated | | | investor protection violation | 2005 | AZ-CC | $5,000 |
| Worldwide Forex, Inc. | | | investor protection violation | 2005 | AZ-CC | $5,000 |
| Centenarios Gold, Inc. | | | investor protection violation | 2005 | AZ-CC | $5,000 |
| WSK Energy, L.L.C. | | | investor protection violation | 2006 | AZ-CC | $5,000 |
| Panama Capital Funding, L.L.C. | | | investor protection violation | 2008 | AZ-CC | $5,000 |
| Sports Dimensions, Inc. | | | investor protection violation | 2010 | AZ-CC | $5,000 |
| Global Trading Partners, LLC | | | investor protection violation | 2010 | AZ-CC | $5,000 |
| La Bella Investments, LLC | | | investor protection violation | 2010 | AZ-CC | $5,000 |
| Sellman Weis Mortgage & Investment Corp. | | | investor protection violation | 2010 | AZ-CC | $5,000 |
| New Rise Investments, L.L.C. and AZ Real Estate Group, L.L.C | | | investor protection violation | 2011 | AZ-CC | $5,000 |
| MT Explorations, LLC | | | investor protection violation | 2012 | AZ-CC | $5,000 |
| Real Estate Monster, LLC | | | investor protection violation | 2013 | AZ-CC | $5,000 |
| Biltmore Wealth Advisors, LLC | | | investor protection violation | 2015 | AZ-CC | $5,000 |
| Priority Wealth Advisors, Inc. | | | investor protection violation | 2020 | AZ-CC | $5,000 |
| Simpson Capital Management, Inc. | | | investor protection violation | 2014 | CA-DFPI | $5,000 |
| WCM Global Wealth, LLC | | | investor protection violation | 2015 | CA-DFPI | $5,000 |
| Harbor Island Wealth Management | | | investor protection violation | 2017 | CA-DFPI | $5,000 |
| Continuum Financial Partners, LLC | | | investor protection violation | 2017 | CA-DFPI | $5,000 |
| Tiburon Research Group, Inc. | | | investor protection violation | 2018 | CA-DFPI | $5,000 |
| Roll-A-Cover, LLC | | | investor protection violation | 2007 | CT-SEC | $5,000 |
| Silver Oak Securities, Inc. | | | investor protection violation | 2009 | CT-SEC | $5,000 |
| Multivend, LLC dba Vendstar | | | investor protection violation | 2009 | CT-SEC | $5,000 |
| CT Equity Partners, LLC | | | investor protection violation | 2009 | CT-SEC | $5,000 |
| Mercer Capital Ltd. | | | investor protection violation | 2010 | CT-SEC | $5,000 |
| Prosper Marketplace, Inc. | Prosper Marketplace | financial services | investor protection violation | 2010 | CT-SEC | $5,000 |
| Spear Capital Management, Inc. | | | investor protection violation | 2011 | CT-SEC | $5,000 |
| Brookville Capital Partners | | | investor protection violation | 2012 | CT-SEC | $5,000 |
| Columbus Advisory Group, Ltd. | | | investor protection violation | 2014 | CT-SEC | $5,000 |
| First Connecticut Capital, LLC | | | investor protection violation | 2015 | CT-SEC | $5,000 |
| David Lerner Associates, Inc. | | | investor protection violation | 2016 | CT-SEC | $5,000 |
| Evans Technology Holding Co. | | | investor protection violation | 2018 | CT-SEC | $5,000 |
| Empire Wine & Liquor Superstore CT, LLC | | | investor protection violation | 2018 | CT-SEC | $5,000 |
| Blaine Capital, LLC | | | investor protection violation | 2018 | CT-SEC | $5,000 |
| Blackboard, Inc. | | | investor protection violation | 2004 | DC-DISB | $5,000 |
| J.P. Morgan Securities LLC | JPMorgan Chase | financial services | investor protection violation | 2018 | DC-DISB | $5,000 |
| Miller Johnson Steichen Kinnard, Inc. | | | investor protection violation | 2005 | DE-SEC | $5,000 |
| Condor and Eagle, Inc., Contact Generation, Inc. and TCI | | | investor protection violation | 2000 | FL-OFR | $5,000 |
| The Providence Group dba The Providence Investment Club | | | investor protection violation | 2001 | FL-OFR | $5,000 |
| Trinity Investment Club Ltd. | | | investor protection violation | 2001 | FL-OFR | $5,000 |
| Sterling Associates | | | investor protection violation | 2002 | FL-OFR | $5,000 |
| C.J.M. Planning Corp. | | | investor protection violation | 2002 | FL-OFR | $5,000 |
| Rushmore Securities Corp. | | | investor protection violation | 2002 | FL-OFR | $5,000 |
| ICMA-RC Services, LLC | | | investor protection violation | 2002 | FL-OFR | $5,000 |
| International Securities Corp. | | | investor protection violation | 2002 | FL-OFR | $5,000 |
| Triad Advisors, Inc. | | | investor protection violation | 2002 | FL-OFR | $5,000 |
| PRS Latam, LLC | | | investor protection violation | 2003 | FL-OFR | $5,000 |
| Veravest Investments, Inc. | | | investor protection violation | 2003 | FL-OFR | $5,000 |
| ProEquities, Inc. | Dai-ichi Life | financial services | investor protection violation | 2004 | FL-OFR | $5,000 |
| PFS Investments, Inc. | | | investor protection violation | 2006 | FL-OFR | $5,000 |
| Sine Capital, Inc. | | | investor protection violation | 2016 | FL-OFR | $5,000 |
| Investment Planning, LLC | | | investor protection violation | 2017 | GA-SEC | $5,000 |
| CSG Wealth Management | | | investor protection violation | 2018 | GA-SEC | $5,000 |
| Blazer Financial Advisors, Inc. | | | investor protection violation | 2019 | GA-SEC | $5,000 |
| Power Supplies & Equipment Ltd. | | | investor protection violation | 2020 | GA-SEC | $5,000 |
| Morgan Sterling Currency Exchange, Inc. | | | investor protection violation | 2001 | ID-SEC | $5,000 |
| Lost Rivers Hospital District dba Lost Rivers Medical Center | | | investor protection violation | 2003 | ID-SEC | $5,000 |
| Multi-Financial Securities Corp. | | | investor protection violation | 2004 | ID-SEC | $5,000 |
| John Thomas Financial | | | investor protection violation | 2009 | ID-SEC | $5,000 |
| Strategic Capital Alternatives, LLC | | | investor protection violation | 2012 | ID-SEC | $5,000 |
| Beacon Rock Investment Advisors, LLC | | | investor protection violation | 2013 | ID-SEC | $5,000 |
| SeaQuest Holdings LLC | | | investor protection violation | 2017 | ID-SEC | $5,000 |
| Russ Trading Inc. and Cactus Partners LP | | | investor protection violation | 2017 | ID-SEC | $5,000 |
| Polite and Company | | | investor protection violation | 2003 | IL-SEC | $5,000 |
| High Tech Financial Products aka EBD Consulting, Inc. | | | investor protection violation | 2004 | IL-SEC | $5,000 |
| Janney Montgomery Scott LLC | Penn Mutual | financial services | investor protection violation | 2004 | IL-SEC | $5,000 |
| G.D. Castillo M.D. Ltd. Profit Sharing Plan | | | investor protection violation | 2005 | IL-SEC | $5,000 |
| Stralem & Company, Inc. | | | investor protection violation | 2006 | IL-SEC | $5,000 |
| Z Touch Systems, Inc. | | | investor protection violation | 2006 | IL-SEC | $5,000 |
| SilverShore Investment Group | | | investor protection violation | 2009 | IL-SEC | $5,000 |
| Ghetzler Aero-Power Corp. | | | investor protection violation | 2010 | IL-SEC | $5,000 |
| Tax Recovery Team | | | investor protection violation | 2011 | IL-SEC | $5,000 |
| Fran Span Global, LLC et al. | | | investor protection violation | 2011 | IL-SEC | $5,000 |
| Government Benefit Advisors, LLC | | | investor protection violation | 2015 | IL-SEC | $5,000 |
| Elite Group Financial, LLC | | | investor protection violation | 2015 | IL-SEC | $5,000 |
