| Beta Wealth Group, Inc. | | | investor protection violation | 2024 | SEC | $80,000 |
| Lasalle Bank National Association | Bank of America | financial services | banking violation | 2007 | OCC | $79,524 |
| Securian Financial Services, Inc. | Securian Financial | financial services | investor protection violation | 2009 | MO-SEC | $79,445 |
| Kalos Capital, Inc. | | | investor protection violation | 2022 | NV-SEC | $79,400 |
| RESULTS AUCTION, LLC | | | investor protection violation | 2018 | VA-SEC | $79,255 |
| E B Germany & Sons, LLC | | | investor protection violation | 2014 | IN-SEC | $79,150 |
| Solium Financial Services LLC | Morgan Stanley | financial services | investor protection violation | 2020 | FL-OFR | $79,045 |
| United Planners' Financial Services of America, A Limited Partnership | | | investor protection violation | 2001 | AZ-CC | $79,000 |
| Production Products, Inc. | | | economic sanction violation | 2015 | OFAC | $78,750 |
| Prosidian, LLC | | | investor protection violation | 2012 | FL-OFR | $78,750 |
| Prosidian Medical Malpractice Insurance Corp. | | | investor protection violation | 2013 | FL-OFR | $78,750 |
| S&P Global, Inc. | S&P Global | information technology | economic sanction violation | 2022 | OFAC | $78,750 |
| Multicast Entertainment.TV Corp. | | | investor protection violation | 2014 | MO-SEC | $78,662 |
| NORTHWEST SAVINGS BANK | | | banking violation | 2011 | FDIC | $78,155 |
| COMMONWEALTH CHURCH FINANCE INC. | | | investor protection violation | 2007 | VA-SEC | $78,000 |
| Bayou Teche Brewing L.L.C. | | | tax violations | 2022 | ATTTB | $77,600 |
| Life Enhancement Systems, LLC | | | investor protection violation | 2011 | CO-SEC | $77,543 |
| Akro Advisors, Inc. | | | investor protection violation | 2015 | FL-OFR | $77,500 |
| Lightspeed Trading LLC | | | investor protection violation | 2009 | SEC | $77,260 |
| Keypoint Capital Management, LLC | | | investor protection violation | 2015 | SEC | $77,250 |
| Wadsworth Investment Co., Inc. | | | investor protection violation | 2012 | CT-SEC | $77,000 |
| Blue Owl Technology Income Corp. | | | investor protection violation | 2023 | WA-SEC | $76,937 |
| Brendaleetrades.com | | | investor protection violation | 2021 | MO-SEC | $76,692 |
| Coastal Investment Advisors, Inc. | | | investor protection violation | 2019 | SEC | $76,144 |
| Morgan Finances | | | investor protection violation | 2018 | MO-SEC | $76,058 |
| Your Living Trust | | | investor protection violation | 2004 | AZ-CC | $75,500 |
| Haverly Systems, Inc. | | | economic sanction violation | 2019 | OFAC | $75,375 |
| Tamborello Capital Management LLC | | | investor protection violation | 2005 | TX-SEC | $75,015 |
| Aurora Sunmart Inc. | | | anti-money-laundering deficiencies | 2015 | FINCEN | $75,000 |
| Carisam-Samuel Meisel (MD) Inc. | | | tax violations | 2011 | ATTTB | $75,000 |
| Sherb & Co. LLP | | | accounting fraud or deficiencies | 2013 | SEC | $75,000 |
| BFXNA Inc. d/b/a Bitfinex | | | investor protection violation | 2016 | CFTC | $75,000 |
| C. James Winery, Inc. | | | tax violations | 2009 | ATTTB | $75,000 |
| Samuel Adams Brewery Company, Ltd. | Boston Beer Co. | beverages | tax violations | 2009 | ATTTB | $75,000 |
| RME, Inc. (dba Robert Mondavi Winery) | | | tax violations | 2003 | ATTTB | $75,000 |
| Fortis Investment Management USA, Inc. | | | investor protection violation | 2009 | CFTC | $75,000 |
| Spring Mountain Capital G.P., LLC | | | investor protection violation | 2009 | CFTC | $75,000 |
| Spring Mountain Capital, LP | | | investor protection violation | 2009 | CFTC | $75,000 |
| Mansur Capital Corporation | | | investor protection violation | 2008 | CFTC | $75,000 |
| Paradigm Capital Management LLC | | | investor protection violation | 2008 | CFTC | $75,000 |
| Carr Futures Inc | | | investor protection violation | 2003 | CFTC | $75,000 |
| New York Yankees | | | economic sanction violation | 2003 | OFAC | $75,000 |
| Goleta National Bank | | | banking violation | 2002 | OCC | $75,000 |
| Banco Do Estado Do Parana | | | banking violation | 2000 | OCC | $75,000 |
| Commonwealth Venture Management Corporation | | | investor protection violation | 2017 | SEC | $75,000 |
| FFL Partners | | | investor protection violation | 2017 | SEC | $75,000 |
| Lime Rock Management | | | investor protection violation | 2017 | SEC | $75,000 |
| Pershing Square Capital Management | | | investor protection violation | 2017 | SEC | $75,000 |
| The Banc Funds Company | | | investor protection violation | 2017 | SEC | $75,000 |
| Landwin Management, LLC | | | investor protection violation | 2017 | SEC | $75,000 |
| Tellone Management Group, Inc. | | | investor protection violation | 2017 | SEC | $75,000 |
| Cytrx Corporation | CytRx | pharmaceuticals | investor protection violation | 2017 | SEC | $75,000 |
| Orinda Asset Management, LLC | | | investor protection violation | 2016 | SEC | $75,000 |
| Hyperdynamics Corporation | | | investor protection violation | 2015 | SEC | $75,000 |
| R.T. Jones Capital Equities Management, Inc. | | | investor protection violation | 2015 | SEC | $75,000 |
| Tel-Instrument Electronics Corp. | | | investor protection violation | 2014 | SEC | $75,000 |
| Starwood Hotel & Resorts Worldwide, Inc. | Marriott International | hotels | investor protection violation | 2014 | SEC | $75,000 |
| Universal Electronics Inc. | Universal Electronics Inc. | electrical and electronic equipment | investor protection violation | 2014 | SEC | $75,000 |
| Dominick & Dominick LLC | | | investor protection violation | 2014 | SEC | $75,000 |
| Stock Markets Institute, Inc. | | | investor protection violation | 2012 | SEC | $75,000 |
| Spencer International Advisors, Inc. | | | investor protection violation | 2010 | SEC | $75,000 |
| Bachrach Asset Management Inc. | | | investor protection violation | 2018 | SEC | $75,000 |
| Biglari Capital LLC | Biglari Holdings | diversified | investor protection violation | 2018 | SEC | $75,000 |
| Brahma Management Ltd. | | | investor protection violation | 2018 | SEC | $75,000 |
| Bristol Group Inc. | | | investor protection violation | 2018 | SEC | $75,000 |
| CAI Managers & Co. L.P. | | | investor protection violation | 2018 | SEC | $75,000 |
| Cherokee Investment Partners LLC | | | investor protection violation | 2018 | SEC | $75,000 |
| Ecosystem Investment Partners LLC | | | investor protection violation | 2018 | SEC | $75,000 |
| Elm Partners Management LLC | | | investor protection violation | 2018 | SEC | $75,000 |
| HEP Management Corp. | | | investor protection violation | 2018 | SEC | $75,000 |
| Prescott General Partners LLC | | | investor protection violation | 2018 | SEC | $75,000 |
| RLJ Equity Partners LLC | | | investor protection violation | 2018 | SEC | $75,000 |
| Rose Park Advisors LLC | | | investor protection violation | 2018 | SEC | $75,000 |
| Veteri Place Corp. | | | investor protection violation | 2018 | SEC | $75,000 |
| BKS Advisors LLC | | | investor protection violation | 2018 | SEC | $75,000 |
| New Silk Route Advisors, L.P. | | | investor protection violation | 2018 | SEC | $75,000 |
| Mobius Risk Group LLC | | | investor protection violation | 2018 | CFTC | $75,000 |
| Cool Technologies Inc. | | | investor protection violation | 2018 | SEC | $75,000 |
| Knight Securities, L.P. | Virtu Financial | financial services | investor protection violation | 2002 | SEC | $75,000 |
| Performance Analytics, Inc. | | | investor protection violation | 2002 | SEC | $75,000 |
| Josephthal & Co., Inc. | Oppenheimer Holdings | financial services | investor protection violation | 2002 | SEC | $75,000 |
| Chung Wah Hong, Inc. | | | tax violations | 2006 | MA-AG | $75,000 |
| The Investment Center Inc. | | | investor protection violation | 2010 | NJ-AG | $75,000 |
| Silver Star FX, LLC et al. | | | investor protection violation | 2019 | CFTC | $75,000 |
| Upstream Energy Services LLC | | | investor protection violation | 2019 | CFTC | $75,000 |
| Treasury Vault, LLC | | | investor protection violation | 2019 | CFTC | $75,000 |
| Community Bank of Oak Park River Forest | | | banking violation | 2012 | FDIC | $75,000 |
| ED Capital Management, LLC | | | investor protection violation | 2019 | SEC | $75,000 |
| Breard & Associates, Inc. | | | accounting fraud or deficiencies | 2018 | PCAOB | $75,000 |
| Palm Beach Atlantic Financial Group, LLC | | | investor protection violation | 2019 | SEC | $75,000 |
| Pureinvestor.com Inc. | | | investor protection violation | 2005 | AK-DBS | $75,000 |
| PIPS Inc. | | | investor protection violation | 2005 | AK-DBS | $75,000 |
| PIC Trust Limited | | | investor protection violation | 2005 | AK-DBS | $75,000 |
| Westoby Works | | | investor protection violation | 2005 | AK-DBS | $75,000 |
| Team JollyPIPster, LLC | | | investor protection violation | 2005 | AK-DBS | $75,000 |
| Alliance Trust and Chemical Trust and United Marketing Trust | | | investor protection violation | 2000 | AZ-CC | $75,000 |
| Marine 3 | | | investor protection violation | 2009 | AZ-CC | $75,000 |
| New Body MD, LLC | | | investor protection violation | 2014 | CO-SEC | $75,000 |
| USAllianz Securities, Inc. nka Questar Capital Corp. | | | investor protection violation | 2007 | CT-SEC | $75,000 |
| Wachovia Securities, LLC nka Wells Fargo Advisors, LLC | Wells Fargo | financial services | investor protection violation | 2010 | CT-SEC | $75,000 |
| Poppin Kettle Franchising, Inc. | | | investor protection violation | 2015 | CT-SEC | $75,000 |
