| Noble Americas Corp. | Vitol | financial services | investor protection violation | 2010 | CFTC | $130,000 |
| UBS AG | UBS | financial services | investor protection violation | 2010 | CFTC | $130,000 |
| Wirtz Corporation | | | tax violations | 2009 | ATTTB | $130,000 |
| KBR, Inc. | KBR | construction and engineering | investor protection violation | 2015 | SEC | $130,000 |
| Heraeus Metals New York LLC | Heraeus | diversified | investor protection violation | 2019 | CFTC | $130,000 |
| Citigroup Global Markets Inc. | Citigroup | financial services | investor protection violation | 2010 | TX-SEC | $130,000 |
| Pacific West Securities, Inc. | | | investor protection violation | 2002 | WA-FIN | $130,000 |
| Tradenet Capital Markets Ltd. | | | investor protection violation | 2020 | SEC | $130,000 |
| Global Universal SRL | | | tax violations | 2021 | ATTTB | $130,000 |
| D2D Financial, LLC | | | investor protection violation | 2022 | AZ-CC | $130,000 |
| Apex Financial Advisors Inc. | | | investor protection violation | 2023 | SEC | $130,000 |
| Wealth Planning Group | | | investor protection violation | 2024 | OR-FIN | $130,000 |
| Bain Capital Credit Member, LLC | Bain Capital | private equity (including portfolio companies) | investor protection violation | 2024 | SEC | $130,000 |
| Bank of England | | | banking violation | 2021 | FDIC | $129,800 |
| Wachovia Securities, LLC | Wells Fargo | financial services | investor protection violation | 2010 | AK-DBS | $129,131 |
| East West Bank | East West Bancorp | financial services | banking violation | 2020 | FED | $129,108 |
| Sterling Investments Group International, LLC | | | investor protection violation | 2012 | AZ-CC | $129,000 |
| Business & Financial Advisors, Inc. | | | investor protection violation | 2001 | SEC | $128,817 |
| Philips Electronics of North America Corporation | Royal Philips | diversified | economic sanction violation | 2009 | OFAC | $128,750 |
| Bupa Insurance Company et al. | | | economic sanction violation | 2014 | OFAC | $128,704 |
| ProEquities, Inc. | Dai-ichi Life | financial services | investor protection violation | 2015 | MO-SEC | $128,528 |
| Sogda Limited, Inc. | | | economic sanction violation | 2012 | OFAC | $128,250 |
| Fieldman Rolapp & Associates, Inc. | | | investor protection violation | 2023 | SEC | $127,916 |
| First Bank & Trust | | | banking violation | 2008 | FDIC | $127,000 |
| Milestone Financial, LLC and Bear Bruin Ventures, Inc. | | | investor protection violation | 2014 | CA-DFPI | $127,000 |
| Atlas Tube, Inc. | Zekelman Industries | metals | economic sanction violation | 2004 | OFAC | $126,500 |
| Olde Monmouth Stock Transfer Co., Inc. | | | investor protection violation | 2017 | SEC | $126,183 |
| Sandhill Scientific, Inc. | | | economic sanction violation | 2012 | OFAC | $126,000 |
| LDI Holdings and TME Group Holdings | | | investor protection violation | 2018 | GA-SEC | $126,000 |
| Global Trusts, L.L.C. | | | investor protection violation | 2004 | AZ-CC | $125,680 |
| SENIOR RETIREMENT SERVICES INC | | | investor protection violation | 2002 | VA-SEC | $125,250 |
| Whitney National Bank | | | banking violation | 2010 | OCC | $125,000 |
| BPI Inc. | | | anti-money-laundering deficiencies | 2014 | FINCEN | $125,000 |
| Westlands Water District | | | investor protection violation | 2016 | SEC | $125,000 |
| R.J. O'Brien & Associates LLC | | | investor protection violation | 2013 | CFTC | $125,000 |
| Enskilda Futures Limited | | | investor protection violation | 2013 | CFTC | $125,000 |
| Cadent Financial Services LLC | | | investor protection violation | 2011 | CFTC | $125,000 |
| H & R 1871, LLC | | | tax violations | 2009 | ATTTB | $125,000 |
| STERLING SAVINGS BANK | | | banking violation | 2009 | FDIC | $125,000 |
| WELLS FARGO FINANCIAL BANK | Wells Fargo | financial services | banking violation | 2009 | FDIC | $125,000 |
| NORTH FORK BANK | | | banking violation | 2007 | FDIC | $125,000 |
| DORAL BANK | | | banking violation | 2007 | FDIC | $125,000 |
| Capital One, National Association | Capital One Financial | financial services | banking violation | 2009 | OCC | $125,000 |
| Northern Trust, National Association | Northern Trust | financial services | banking violation | 2008 | OCC | $125,000 |
| Associated Bank, National Association | Associated Banc-Corp | financial services | banking violation | 2007 | OCC | $125,000 |
| First Tennessee Bank National Association | First Horizon National | financial services | banking violation | 2007 | OCC | $125,000 |
| Webster Bank, National Association | | | banking violation | 2007 | OCC | $125,000 |
| Lasalle Bank MidWest National Association | Bank of America | financial services | banking violation | 2007 | OCC | $125,000 |
| U.S. Bank National Association | U.S. Bancorp | financial services | banking violation | 2006 | OCC | $125,000 |
| A.G. Edwards & Sons, Inc. | Wells Fargo | financial services | investor protection violation | 2006 | SEC | $125,000 |
| Morgan Keegan & Company, Inc. | Raymond James Financial | financial services | investor protection violation | 2006 | SEC | $125,000 |
| Piper Jaffray & Co. | Piper Sandler | financial services | investor protection violation | 2006 | SEC | $125,000 |
| SunTrust Capital Markets Inc. | Truist Financial | financial services | investor protection violation | 2006 | SEC | $125,000 |
| Wachovia Capital Markets, LLC | Wells Fargo | financial services | investor protection violation | 2006 | SEC | $125,000 |
| Unified Fund Services, Inc. | | | investor protection violation | 2006 | SEC | $125,000 |
| Friedman, Billings, Ramsey & Co., Inc. | Arlington Asset Investment Corp. | financial services | investor protection violation | 2004 | SEC | $125,000 |
| SG Cowen & Co., LLC f/k/a SG Cowen Securities Corporation | Toronto-Dominion Bank | financial services | investor protection violation | 2004 | SEC | $125,000 |
| Wilmington Trust Company | M&T Bank | financial services | investor protection violation | 2004 | SEC | $125,000 |
| Portugal Telecom SGPS S.A. | | | accounting fraud or deficiencies | 2016 | SEC | $125,000 |
| Wall Street Pirate Management, LLC | | | investor protection violation | 2017 | CFTC | $125,000 |
| Arlington Capital Management, Inc. | | | investor protection violation | 2018 | SEC | $125,000 |
| The Buckingham Research Group, Inc. and Buckingham Capital Management | | | investor protection violation | 2010 | SEC | $125,000 |
| RBC Capital Markets Corporation | Royal Bank of Canada | financial services | investor protection violation | 2009 | SEC | $125,000 |
| Prudential Equity Group, LLC | Prudential Financial | financial services | investor protection violation | 2005 | SEC | $125,000 |
| Fidelity National Capital Investors, Inc. | | | investor protection violation | 2004 | SEC | $125,000 |
| FT Interactive Data | | | investor protection violation | 2003 | SEC | $125,000 |
| Vanderbilt Capital Advisors LLC | | | investor protection violation | 2002 | SEC | $125,000 |
| LFS, Inc. | | | tax violations | 2019 | ATTTB | $125,000 |
| www.dirtcheapcig.com, Inc. | | | tax violations | 2004 | MA-AG | $125,000 |
| KMT Group AB | | | economic sanction violation | 2013 | OFAC | $125,000 |
| 3M Imtec Corporation | 3M Company | miscellaneous manufacturing | economic sanction violation | 2010 | OFAC | $125,000 |
| AJS Holdings, LLC | | | tax violations | 2019 | CO-DENVERDA | $125,000 |
| Dynamic Growth Partners LLC | | | tax violations | 2019 | CO-DENVERDA | $125,000 |
| Biltmore International Corporation | | | investor protection violation | 2020 | SEC | $125,000 |
| Flatiron Capital Partners, LLC et al. | | | investor protection violation | 2015 | AK-DBS | $125,000 |
| Codawn Consulting Corp., Sentinel Capital Corp. | | | investor protection violation | 2017 | AK-DBS | $125,000 |
| Mowell Financial Group, Inc. | | | investor protection violation | 2009 | AL-SEC | $125,000 |
| American Express Financial Advisors | Ameriprise Financial | financial services | investor protection violation | 2000 | AZ-CC | $125,000 |
| CMB Export, LLC | | | investor protection violation | 2019 | IL-SEC | $125,000 |
| Infinex Investments, Inc. | | | investor protection violation | 2018 | MA-SEC | $125,000 |
| Investors Capital Corporation | | | investor protection violation | 2014 | NH-BSR | $125,000 |
| Raymond James Financial Services Inc. | Raymond James Financial | financial services | investor protection violation | 2017 | PA-BKG | $125,000 |
| Charles Schwab & Co. Inc. | Charles Schwab Corp. | financial services | investor protection violation | 2016 | TX-SEC | $125,000 |
| FASHION TECHNOLOGY VENTURES | | | investor protection violation | 2007 | VA-SEC | $125,000 |
| Global Mining and Mint Corporation | | | investor protection violation | 2019 | VT-FIN | $125,000 |
| Merrill Lynch | Bank of America | financial services | investor protection violation | 2020 | VT-FIN | $125,000 |
| Evesham Capital Management | | | investor protection violation | 2020 | PA-BKG | $125,000 |
| Celadon Financial Group LLC | | | investor protection violation | 2020 | SEC | $125,000 |
| The Cheesecake Factory Incorporated | Cheesecake Factory | restaurants and foodservice | accounting fraud or deficiencies | 2020 | SEC | $125,000 |
| A&F Financial Securities, Inc. | | | investor protection violation | 2011 | FINRA | $125,000 |
| Goldman, Sachs & Co. | Goldman Sachs | financial services | investor protection violation | 2005 | FINRA | $125,000 |
| Farmers Financial Solutions LLC | | | investor protection violation | 2004 | FINRA | $125,000 |
| InterSecurities, Inc. | | | investor protection violation | 2004 | FINRA | $125,000 |
| Jefferson Pilot Securities Corporation | Lincoln National | financial services | investor protection violation | 2004 | FINRA | $125,000 |
| J.J.B. Hilliard, W.L. Lyons Inc. | | | investor protection violation | 2004 | FINRA | $125,000 |
| Quick & Reilly, Inc. | | | investor protection violation | 2004 | FINRA | $125,000 |
| Stifel Nicolaus & Company | Stifel Financial | financial services | investor protection violation | 2004 | FINRA | $125,000 |
| WMA Securities, Inc. | | | investor protection violation | 2000 | FINRA | $125,000 |
| Cascade Investment Group, Inc | | | investor protection violation | 2021 | SEC | $125,000 |
| PTK Financial, LLC and Capricorn Income Fund I, LLC | | | investor protection violation | 2021 | PA-BKG | $125,000 |
| SCWorx Corp. | | | investor protection violation | 2022 | SEC | $125,000 |
