| Nutrie, LLC | | | investor protection violation | 2014 | MT-FIN | $5,000 |
| Lawson Financial Corp. | | | investor protection violation | 2015 | MT-FIN | $5,000 |
| Halen Capital | | | investor protection violation | 2017 | MT-FIN | $5,000 |
| The Source | | | investor protection violation | 2020 | NC-SEC | $5,000 |
| Baxter, Banks & Smith Ltd. | | | investor protection violation | 2000 | ND-SEC | $5,000 |
| Bison Capital Inc. | | | investor protection violation | 2001 | ND-SEC | $5,000 |
| BrokerageAmerica Inc. | | | investor protection violation | 2001 | ND-SEC | $5,000 |
| MDVIP Inc. | | | investor protection violation | 2003 | ND-SEC | $5,000 |
| CGF Securities LLC | | | investor protection violation | 2003 | ND-SEC | $5,000 |
| D & M Capital, LLC and Associated Financial Services, Inc. | | | investor protection violation | 2004 | ND-SEC | $5,000 |
| Third Ridge Capital LP | | | investor protection violation | 2005 | ND-SEC | $5,000 |
| U.S. Bancorp Piper Jaffray Inc. | Piper Sandler | financial services | investor protection violation | 2002 | NE-DBF | $5,000 |
| Berthel, Fisher & Company Financial Services, Inc. | Berthel Fisher | financial services | investor protection violation | 2007 | NE-DBF | $5,000 |
| III to I Emerging Market Partners Real Estate Investment Fund I, LP | | | investor protection violation | 2013 | NH-BSR | $5,000 |
| III to I Maritime Partners Cayman I, L.P. | | | investor protection violation | 2013 | NH-BSR | $5,000 |
| ACL Alternative Fund Limited | | | investor protection violation | 2013 | NH-BSR | $5,000 |
| Johnston Capital Partners Fund I L.P. | | | investor protection violation | 2013 | NH-BSR | $5,000 |
| Halliday Financial | | | investor protection violation | 2015 | NH-BSR | $5,000 |
| Profile Club Inc. | | | investor protection violation | 2015 | NH-BSR | $5,000 |
| Blackbook Capital, LLC | | | investor protection violation | 2016 | NH-BSR | $5,000 |
| Hanover Consumer Cooperative Society, Inc. | | | investor protection violation | 2016 | NH-BSR | $5,000 |
| Richard A. Norkun & Associates, LLC | | | investor protection violation | 2017 | NH-BSR | $5,000 |
| Alternative Asset Management Securities, LLC | | | investor protection violation | 2017 | NH-BSR | $5,000 |
| Windsor Street Capital, LP | | | investor protection violation | 2018 | NH-BSR | $5,000 |
| Renaissance Institutional Management | | | investor protection violation | 2018 | NH-BSR | $5,000 |
| Alight Financial Solutions, LLC | | | investor protection violation | 2019 | NH-BSR | $5,000 |
| White Birch Brewing LLC | | | investor protection violation | 2020 | NH-BSR | $5,000 |
| Chinese American Bank | | | banking violation | 2004 | NY-DFS | $5,000 |
| T.S. Phillips Investment Inc. | | | investor protection violation | 2010 | OK-SEC | $5,000 |
| RAF Operating LLC | | | investor protection violation | 2013 | OK-SEC | $5,000 |
| Pentecost Capital Management Inc. | | | investor protection violation | 2015 | OK-SEC | $5,000 |
| E.J. Sterling LLC | | | investor protection violation | 2015 | OK-SEC | $5,000 |
| Wilshire-Pennington Group Inc. | | | investor protection violation | 2019 | OK-SEC | $5,000 |
| American Family Legacy Group LLC | | | investor protection violation | 2019 | OK-SEC | $5,000 |
| Laser Vision Technologies Inc. | | | investor protection violation | 2000 | OR-FIN | $5,000 |
| Prosper Trust | | | investor protection violation | 2000 | OR-FIN | $5,000 |
| Energy Group International Inc. | | | investor protection violation | 2001 | OR-FIN | $5,000 |
| DR Thaut Inc. dba First Security Financial | | | investor protection violation | 2003 | OR-FIN | $5,000 |
| First Liberty Financial | | | investor protection violation | 2005 | OR-FIN | $5,000 |
| Eurotrust LLC | | | banking violation | 2006 | OR-FIN | $5,000 |
| Gigapix Studios Inc. | | | investor protection violation | 2008 | OR-FIN | $5,000 |
| Treasure Heart Financial Counseling | | | investor protection violation | 2011 | OR-FIN | $5,000 |
| Cutler Investment Counsel, LLC | | | investor protection violation | 2011 | OR-FIN | $5,000 |
| Eljay Investment Company | | | investor protection violation | 2012 | OR-FIN | $5,000 |
| Castle Advisers, LLC | | | investor protection violation | 2012 | OR-FIN | $5,000 |
| Freeman Capital Management, LLC | | | investor protection violation | 2012 | OR-FIN | $5,000 |
| Lincoln Highlands Limited Partnership | | | investor protection violation | 2012 | OR-FIN | $5,000 |
| Catalyst Financial Resources, LLC | | | investor protection violation | 2013 | OR-FIN | $5,000 |
| Avalon Investment & Securities Group, Inc. | | | investor protection violation | 2013 | OR-FIN | $5,000 |
| Smith Rock Race Group, LLC | | | investor protection violation | 2014 | OR-FIN | $5,000 |
| Thorne Trading & Investment Management | | | investor protection violation | 2014 | OR-FIN | $5,000 |
| Business Development Corporation of America | | | investor protection violation | 2016 | OR-FIN | $5,000 |
| CW Group LLC | | | investor protection violation | 2019 | OR-FIN | $5,000 |
| McGervey Wealth Management LLC | | | investor protection violation | 2013 | PA-BKG | $5,000 |
| Bryan Funding Inc. | | | investor protection violation | 2016 | PA-BKG | $5,000 |
| Cobble Creek Group LLC | | | investor protection violation | 2016 | PA-BKG | $5,000 |
| Elish & Elish Inc. | | | investor protection violation | 2017 | PA-BKG | $5,000 |
| A. Neff Associates | | | investor protection violation | 2017 | PA-BKG | $5,000 |
| GJO Financial | | | investor protection violation | 2017 | PA-BKG | $5,000 |
| Apollo18 LLC | | | investor protection violation | 2018 | PA-BKG | $5,000 |
| Iron Valley Wealth Management LLC | | | investor protection violation | 2019 | PA-BKG | $5,000 |
| RCM Securities a/k/a SNC Capital Management Corporation | | | investor protection violation | 2019 | PA-BKG | $5,000 |
| Lincoln Financial Advisors Corp. | Lincoln National | financial services | investor protection violation | 2007 | RI-FIN | $5,000 |
| Hannah Street Consulting Inc. | | | investor protection violation | 2008 | RI-FIN | $5,000 |
| Decision Sciences Corporation | | | investor protection violation | 2009 | SC-SEC | $5,000 |
| Sanco Services Inc. | | | investor protection violation | 2011 | SC-SEC | $5,000 |
| Cannon Operating Company LLC | | | investor protection violation | 2015 | SC-SEC | $5,000 |
| Renaissance Laser LP | | | investor protection violation | 2015 | SC-SEC | $5,000 |
| Cashbox Magazine Inc. | | | investor protection violation | 2015 | SC-SEC | $5,000 |
| Komak Investments LLC | | | investor protection violation | 2015 | SC-SEC | $5,000 |
| Clem Investments | | | investor protection violation | 2018 | SD-INS | $5,000 |
| Quadra Pay Inc. and Quadra Pay Land LLC | | | investor protection violation | 2009 | TN-SEC | $5,000 |
| Keblo Energy LLC | | | investor protection violation | 2013 | TN-SEC | $5,000 |
| The Home Email Business Corp. | | | investor protection violation | 2016 | TN-SEC | $5,000 |
| Beasley & Company | | | investor protection violation | 2017 | TN-SEC | $5,000 |
| Fieldstone Financial Partners LLC | | | investor protection violation | 2017 | TN-SEC | $5,000 |
| Wealth Investors LLC | | | investor protection violation | 2017 | TN-SEC | $5,000 |
| Spectrum Financial Advisors LLC | | | investor protection violation | 2019 | TN-SEC | $5,000 |
| Woodlands Securities Corporation | | | investor protection violation | 2001 | TX-SEC | $5,000 |
| Willingham Asset Management Inc. | | | investor protection violation | 2003 | TX-SEC | $5,000 |
| Laradorbecker Securities Corporation | | | investor protection violation | 2003 | TX-SEC | $5,000 |
| Premier Group Inc. | | | investor protection violation | 2003 | TX-SEC | $5,000 |
| Top of Texas Financial Strategies Inc. | | | investor protection violation | 2003 | TX-SEC | $5,000 |
| Prospera Financial Services Inc. | | | investor protection violation | 2006 | TX-SEC | $5,000 |
| Southwest Texas Capital L.L.C. | | | investor protection violation | 2006 | TX-SEC | $5,000 |
| Sundial Capital Management L.P. | | | investor protection violation | 2006 | TX-SEC | $5,000 |
| Gamboa Capital Management Inc. | | | investor protection violation | 2007 | TX-SEC | $5,000 |
| International Wealth Management Inc. | | | investor protection violation | 2008 | TX-SEC | $5,000 |
| A.G. Edwards & Sons Inc. | Wells Fargo | financial services | investor protection violation | 2008 | TX-SEC | $5,000 |
| LPL Financial Corporation | LPL Financial | financial services | investor protection violation | 2008 | TX-SEC | $5,000 |
| Dorothy of OZ LLC dba Box Office Productions III, LLC | | | investor protection violation | 2009 | TX-SEC | $5,000 |
| Navigant Advisors LLC | | | investor protection violation | 2010 | TX-SEC | $5,000 |
| Sarker Investments LLC | | | investor protection violation | 2010 | TX-SEC | $5,000 |
| Warner Financial Group Inc. | | | investor protection violation | 2013 | TX-SEC | $5,000 |
| Fuller Capital Management | | | investor protection violation | 2016 | TX-SEC | $5,000 |
| Rubicon Investment Management & Analytics LLC | | | investor protection violation | 2016 | TX-SEC | $5,000 |
| PTI Securities & Futures L.P. | | | investor protection violation | 2017 | TX-SEC | $5,000 |
| Grove Capital Management Inc. | | | investor protection violation | 2019 | TX-SEC | $5,000 |
| Frugal Financial Retirement Planning Services, LLC | | | investor protection violation | 2019 | TX-SEC | $5,000 |
| Challenger Wealth Management | | | investor protection violation | 2020 | TX-SEC | $5,000 |
| 21ST. CENTURY TECHNOLOGIES FUNDING | | | investor protection violation | 2001 | VA-SEC | $5,000 |
