| 21ST. CENTURY TECHNOLOGIES FUNDING | | | investor protection violation | 2001 | VA-SEC | $5,000 |
| 21ST. CENTURY TECHNOLOGIES LLC | | | investor protection violation | 2001 | VA-SEC | $5,000 |
| ADVANTAGE REAL ESTATE MANAGEMENT LLC | | | investor protection violation | 2001 | VA-SEC | $5,000 |
| BRIGHT COVE SECURITIES INC. | | | investor protection violation | 2001 | VA-SEC | $5,000 |
| ADVANTAGE REAL ESTATE LPS | | | investor protection violation | 2001 | VA-SEC | $5,000 |
| CORNERSTONE MINISTRIES | | | investor protection violation | 2007 | VA-SEC | $5,000 |
| Wealth Matters, Inc. | | | investor protection violation | 2009 | VA-SEC | $5,000 |
| TECSEC, INC. | | | investor protection violation | 2011 | VA-SEC | $5,000 |
| URBAN BAR-B-QUE COMPANY | | | investor protection violation | 2014 | VA-SEC | $5,000 |
| Sherri's Fun Foods, Inc. d/b/a Sherri's Crab Cakes | | | investor protection violation | 2015 | VA-SEC | $5,000 |
| BLUE LIGHTNING ENTERPRISES INC. | | | investor protection violation | 2015 | VA-SEC | $5,000 |
| PAWS & REMEMBER LLC | | | investor protection violation | 2017 | VA-SEC | $5,000 |
| AMAZING FINISH, LLC | | | investor protection violation | 2017 | VA-SEC | $5,000 |
| BRIDGETOWN FRAGRANCES, INC. | | | investor protection violation | 2017 | VA-SEC | $5,000 |
| SNC Capital Management Corporation d/b/a RCM Securities | | | investor protection violation | 2020 | VA-SEC | $5,000 |
| Next Financial Group, Inc. | Atria Wealth Solutions | financial services | investor protection violation | 2020 | VA-SEC | $5,000 |
| Masters United 12 LLC et al. | | | investor protection violation | 2018 | WA-FIN | $5,000 |
| Saves, Inc. | | | investor protection violation | 2015 | WA-FIN | $5,000 |
| Pioneer Property Group, LLC and Queen's Court Building, LLC | | | investor protection violation | 2010 | WA-FIN | $5,000 |
| Energy Automation Systems, Inc. | | | investor protection violation | 2010 | WA-FIN | $5,000 |
| James F. Reitan CFP LLC | | | investor protection violation | 2008 | WA-FIN | $5,000 |
| Wortham Oil & Gas Enterprises, LLC | | | investor protection violation | 2008 | WA-FIN | $5,000 |
| Wortham Oil & Gas | | | investor protection violation | 2008 | WA-FIN | $5,000 |
| WOGE/WOG Ellison Well #1 Joint Venture | | | investor protection violation | 2008 | WA-FIN | $5,000 |
| CMHCEH, LLC | | | investor protection violation | 2008 | WA-FIN | $5,000 |
| Chum Chum Game Company | | | investor protection violation | 2007 | WA-FIN | $5,000 |
| Chesterfield Mortgage Investors, Inc. | | | investor protection violation | 2007 | WA-FIN | $5,000 |
| Great Plains Financial, LLC | | | investor protection violation | 2007 | WA-FIN | $5,000 |
| American Fiber Green Products, Inc. | | | investor protection violation | 2008 | WA-FIN | $5,000 |
| Ensentech, Inc. and Hydro-Clean Fuel Systems, Inc. | | | investor protection violation | 2006 | WA-FIN | $5,000 |
| Pacific Coast Investment Company | | | investor protection violation | 2005 | WA-FIN | $5,000 |
| Newcastle Escrow Corporation | | | investor protection violation | 2005 | WA-FIN | $5,000 |
| Lilac City Closing & Escrow LLC | | | investor protection violation | 2004 | WA-FIN | $5,000 |
| Success Concepts Enterprises, Inc. and World Business Consultants, Inc. | | | investor protection violation | 2003 | WA-FIN | $5,000 |
| Preferred Funding, Inc. | | | investor protection violation | 2001 | WA-FIN | $5,000 |
| Dreambuilder Investments, LLC | | | investor protection violation | 2019 | WI-FIN | $5,000 |
| The Prudential Investment Portfolios, Inc. | | | investor protection violation | 2007 | WI-FIN | $5,000 |
| Randomwalk Innovations, LLC | | | investor protection violation | 2020 | SC-SEC | $5,000 |
| Bright Light Capital Advisor, Inc. | | | investor protection violation | 2020 | CA-DFPI | $5,000 |
| Benzer Franchising, LLC | | | investor protection violation | 2020 | CA-DFPI | $5,000 |
| Sportball Systems USA, LLC | | | investor protection violation | 2020 | CA-DFPI | $5,000 |
| The Hansbury Group, LLC | | | investor protection violation | 2020 | CT-BKG | $5,000 |
| Quint Wealth Management, Inc. | | | investor protection violation | 2020 | CT-BKG | $5,000 |
| Wealth Management of Kentucky Inc. | | | investor protection violation | 2020 | KY-FIN | $5,000 |
| Kelcas Corporation et al. | | | investor protection violation | 2020 | KY-FIN | $5,000 |
| DMK Advisor Group, Inc. | | | investor protection violation | 2020 | MO-SEC | $5,000 |
| DAI Securities LLC | | | investor protection violation | 2020 | NH-BSR | $5,000 |
| AEI Net Lease Portfolio XIII DST | | | investor protection violation | 2020 | NH-BSR | $5,000 |
| Signal Capital Management LLC | | | investor protection violation | 2020 | WA-SEC | $5,000 |
| Tactical Wealth Management LLC | | | investor protection violation | 2020 | KY-FIN | $5,000 |
| E*Trade Securities LLC | Morgan Stanley | financial services | investor protection violation | 2021 | NH-BSR | $5,000 |
| Advantage Capital Corporation | | | investor protection violation | 2009 | FINRA | $5,000 |
| Financial West Group | | | investor protection violation | 2009 | FINRA | $5,000 |
| The Hansbury Group, LLC | | | investor protection violation | 2020 | CT-SEC | $5,000 |
| Quint Wealth Management, Inc. | | | investor protection violation | 2020 | CT-SEC | $5,000 |
| Region Home Buyers, LLC | | | investor protection violation | 2021 | IN-SEC | $5,000 |
| MS Chamberlain Partners, Inc. et al. | | | investor protection violation | 2021 | NJ-BOS | $5,000 |
| Cunningham Energy, LLC | | | investor protection violation | 2021 | SC-SEC | $5,000 |
| Greenway Capital Management, LLC | | | investor protection violation | 2021 | TN-SEC | $5,000 |
| Lasting Connections, LLC | | | investor protection violation | 2021 | WA-SEC | $5,000 |
| Haywood Securities (USA) Inc. | | | investor protection violation | 2021 | AL-SEC | $5,000 |
| Clearleaf Finance, LLC | | | investor protection violation | 2021 | KY-FIN | $5,000 |
| Aptus Financial, LLC | | | investor protection violation | 2021 | PA-BKG | $5,000 |
| Paul Winkler, Inc. | | | investor protection violation | 2021 | TX-SEC | $5,000 |
| Capital Management Associates LLC | | | investor protection violation | 2021 | WA-SEC | $5,000 |
| Perfectly Posh, LLC | | | investor protection violation | 2021 | MT-FIN | $5,000 |
| Norwex USA, Inc. | | | investor protection violation | 2021 | MT-FIN | $5,000 |
| Williams Wealth Management, LLC | | | investor protection violation | 2021 | NH-BSR | $5,000 |
| 4Rivers Wealth Management, LLC | | | investor protection violation | 2021 | PA-BKG | $5,000 |
| SS Accounting and Auditing Inc. | | | accounting fraud or deficiencies | 2021 | PCAOB | $5,000 |
| Basic Wealth Advisors, Inc. | | | investor protection violation | 2021 | SC-SEC | $5,000 |
| NYPPEX, LLC | | | investor protection violation | 2021 | MD-SEC | $5,000 |
| Lasting Connections, LLC et al. | | | investor protection violation | 2021 | OR-FIN | $5,000 |
| Jemma Investment Advisors, LLC dba Jemma Financial Services | | | investor protection violation | 2022 | PA-BKG | $5,000 |
| Kaboom USA, LLC and SKEARCH, LLC | | | investor protection violation | 2021 | WI-FIN | $5,000 |
| East Fork Energy Partners, Inc. | | | investor protection violation | 2022 | KY-FIN | $5,000 |
| Women of Substance LLC | | | investor protection violation | 2022 | PA-BKG | $5,000 |
| Wealth Protection Group, LLC | | | investor protection violation | 2022 | SD-SEC | $5,000 |
| Servant Wealth Management, LLC | | | investor protection violation | 2022 | TN-SEC | $5,000 |
| R2 Advisors, P.C. and M2 Advisors, Inc. | | | investor protection violation | 2022 | VA-SEC | $5,000 |
| Yale Partners, LLC | | | investor protection violation | 2022 | WA-SEC | $5,000 |
| Aldwych Securities LLC | | | investor protection violation | 2022 | CT-SEC | $5,000 |
| Jero Worldwide, Inc. | | | investor protection violation | 2021 | IL-SEC | $5,000 |
| Sapphire Wealth Planning LLC | | | investor protection violation | 2022 | MO-SEC | $5,000 |
| Proactive Money Management, Inc. | | | investor protection violation | 2022 | MO-SEC | $5,000 |
| Olive Tree Ridge Investment Advisors LLC | | | investor protection violation | 2022 | CT-SEC | $5,000 |
| Planner Securities LLC | | | investor protection violation | 2022 | NE-DBF | $5,000 |
| Alpha Financial Planning, Inc. | | | investor protection violation | 2022 | PA-BKG | $5,000 |
| United Pentecostal Church Developemnt Fund, Inc., dba United Pentecostal Church Loan Fund | | | investor protection violation | 2022 | TN-SEC | $5,000 |
| Constructis, LLC and Constructis Group, Inc. and Constructis Energy, LLC | | | investor protection violation | 2023 | SC-SEC | $5,000 |
| Onpoint Financial Management, LLC fka Onpoint Financial Retirement, LLC | | | investor protection violation | 2022 | VA-SEC | $5,000 |
| CW Petroleum Corp. | | | investor protection violation | 2023 | SEC | $5,000 |
| Atwood Consortium LLC | | | investor protection violation | 2023 | CA-DFPI | $5,000 |
| USA Financial Securities Corporation | | | investor protection violation | 2023 | ME-SEC | $5,000 |
| VAILSHIRE CAPITAL MANAGEMENT, LLC | | | investor protection violation | 2023 | FL-OFR | $5,000 |
| Wells Fargo Clearing Services LLC | Wells Fargo | financial services | investor protection violation | 2023 | ME-SEC | $5,000 |
| Avantax Investment Services Inc | | | investor protection violation | 2023 | ME-SEC | $5,000 |
| United Planners' Financial Services of America A Limited Partner | | | investor protection violation | 2023 | ME-SEC | $5,000 |
| Fortune Financial Services Inc. | | | investor protection violation | 2023 | ME-SEC | $5,000 |
| Morgan Stanley Smith Barney LLC | Morgan Stanley | financial services | investor protection violation | 2023 | ME-SEC | $5,000 |
| Equitas Capital Advisors, LLC | | | investor protection violation | 2023 | VA-SEC | $5,000 |
