| Commercial Express, LLC and Progressive Financial, Inc. | | | investor protection violation | 2002 | $23,032,869 |
| Big Country AGS, Inc. d/b/a AGS, Inc. | | | investor protection violation | 2002 | $242,840 |
| iCapital Markets LLC | | | investor protection violation | 2002 | $6,300,000 |
| Financial Asset Management, Inc. | | | accounting fraud or deficiencies | 2002 | $25,000 |
| TLC Investments & Trade Co. | | | investor protection violation | 2001 | $106,600,000 |
| Commonwealth Communications Group | | | investor protection violation | 2001 | $716,516 |
| 21st Century Satellite Communications, Inc. | | | investor protection violation | 2001 | $6,110,736 |
| Shreveport Wireless Cable Television Partnership, Complete Communications Corporation, Champion Communications Corporation, B.R. Cable Communications | | | investor protection violation | 2001 | $41,727,403 |
| Milan Capital Group, Inc. and Investment Offices d/b/a AC Financial, Inc. | | | investor protection violation | 2001 | $9,395,066 |
| Bank of Bermuda | | | fraud | 2001 | $67,500,000 |
| World Financial & Investment Co., Inc. | | | investor protection violation | 2001 | $175,000 |
| Arthur Andersen LLP | | | accounting fraud or deficiencies | 2001 | $7,000,000 |
| The Globus Group | | | investor protection violation | 2001 | $300,000 |
| Pacific Air Transport | | | investor protection violation | 2001 | $1,364,692 |
| WinterHawk West Indies, Ltd., Funders Marketing Company, Inc., FMCI Trust, Fortune Investments, Ltd., and TREDS Financial Trust | | | investor protection violation | 2001 | $18,864,116 |
| One Touch Marketing, Inc. | | | investor protection violation | 2001 | $118,387 |
| Gateway Technologies, Inc. and The Cheyenne Holding Corp. | | | fraud | 2001 | $5,083,378 |
| Sunset Investment Group, Inc. | | | investor protection violation | 2001 | $70,000 |
| PinkMonkey.com, Inc. | | | fraud | 2001 | $20,000 |
| Future Strategies Srl a/k/a Future Strategies International | | | investor protection violation | 2001 | $1,500,073 |
| TAC International Ltd. | | | fraud | 2001 | $11,548,454 |
| Yes Entertainment, LLC | | | investor protection violation | 2000 | $14,546,808 |
| Golf Emporium Corporation | | | fraud | 2000 | $8,622,014 |
| First Paragon, Inc. | | | investor protection violation | 2000 | $1,040,000 |
| EquityAlert.com, Inc. | | | investor protection violation | 2000 | $20,000 |
| Commonwealth Communications Group and Marjet Corp. | | | fraud | 2000 | $1,407,284 |
| Chemical Trust, U.S. Guarantee Corp., and United Marketing Trust | | | investor protection violation | 2000 | $20,590,000 |
| JW Charles Financial Services, Inc. | | | investor protection violation | 2000 | $20,000 |
| California Financial Services, Inc., Internet Telecommunications Albany System SMR, Internet Telecommunications Reno System SMR and Internet Telecommu | | | fraud | 2000 | $2,876,405 |
| Millennium Software Solutions, Inc. | | | investor protection violation | 2000 | $760,450 |
| New Concepts, L.L.C. | | | investor protection violation | 2000 | $20,000 |
| Liberty Capital Group, Inc. | | | investor protection violation | 2000 | $35,000 |
| Assured International, Inc. and Sharp Financial Corp. | | | investor protection violation | 2000 | $1,407,217 |
| Lehman Brothers Inc. | | | investor protection violation | 2000 | $4,950,000 |
| William R. Hough & Co. | | | investor protection violation | 2000 | $3,264,000 |
| Prime Atlantic, Inc. | | | investor protection violation | 2000 | $12,682,820 |
| DynamicDaytrader.com | | | investor protection violation | 2000 | $55,107 |
| Secured Income Reserve, Inc. | | | fraud | 2016 | $1,318,476 |
| Robert W. Baird & Co. | | | investor protection violation | 2016 | $250,000 |
| Portugal Telecom SGPS S.A. | | | accounting fraud or deficiencies | 2016 | $125,000 |
| Orrstown Financial Services, Inc. | | | accounting fraud or deficiencies | 2016 | $1,000,000 |
| Aegis Oil, LLC | | | fraud | 2016 | $41,319,067 |
| Forcerank LLC | | | investor protection violation | 2016 | $50,000 |
| Artis Capital Management | | | investor protection violation | 2016 | $8,878,015 |
| Lime Energy Co. | | | accounting fraud or deficiencies | 2016 | $1,000,000 |
| Southlake Resources Group, LLC | | | fraud | 2016 | $5,681,411 |
| Powersecure International, Inc. | | | accounting fraud or deficiencies | 2016 | $470,000 |
| EZTD Inc. | | | investor protection violation | 2016 | $1,700,000 |
| Pacific Investment Management Company (PIMCO) | | | investor protection violation | 2016 | $19,829,807 |
| Equidate Inc. | | | investor protection violation | 2016 | $80,000 |
| Adams Capital Management | | | investor protection violation | 2017 | $45,000 |
| Aisling Capital | | | investor protection violation | 2017 | $70,456 |
| Alta Communications | | | investor protection violation | 2017 | $35,000 |
| Commonwealth Venture Management Corporation | | | investor protection violation | 2017 | $75,000 |
| Cypress Advisors | | | investor protection violation | 2017 | $35,000 |
| FFL Partners | | | investor protection violation | 2017 | $75,000 |
| Lime Rock Management | | | investor protection violation | 2017 | $75,000 |
| NGN Capital | | | investor protection violation | 2017 | $100,000 |
| Pershing Square Capital Management | | | investor protection violation | 2017 | $75,000 |
| The Banc Funds Company | | | investor protection violation | 2017 | $75,000 |
| Citadel Securities LLC | | | investor protection violation | 2017 | $22,600,000 |
| Sociedad Quimica y Minera de Chile S.A. | | | Foreign Corrupt Practices Act | 2017 | $15,000,000 |
| ITG | | | investor protection violation | 2017 | $24,400,000 |
| Port Authority of New York and New Jersey | | | investor protection violation | 2017 | $400,000 |
| Interinvest Corporation | | | investor protection violation | 2016 | $6,900,000 |
| MDC Partners | | | accounting fraud or deficiencies | 2017 | $1,500,000 |
| AMG Energy, LLC and R. Thomas?& Co., LLC | | | investor protection violation | 2017 | $150,000 |
| Arcturus Corporation and Aschere Energy LLC | | | investor protection violation | 2017 | $15,500,000 |
| Sidoti & Company LLC | | | investor protection violation | 2017 | $100,000 |
| Oxford City Football Club, Inc. | | | investor protection violation | 2017 | $6,853,358 |
| Hold Brothers Online Investment Services, LLC | | | investor protection violation | 2017 | $707,764 |
| TeamVinh.com LLC | | | investor protection violation | 2017 | $2,681,072 |
| MagnaChip Semiconductor Corporation | | | accounting fraud or deficiencies | 2017 | $3,000,000 |
| Momentum Investment Partners LLC dba Avatar Investment Management | | | investor protection violation | 2017 | $193,676 |
| Rhode Island Commerce Corporation f/k/a Rhode Island Economic Development Corporation | | | investor protection violation | 2017 | $50,000 |
| Verto Capital Management | | | investor protection violation | 2017 | $4,158,517 |
| Enviso Capital LLC | | | investor protection violation | 2017 | $50,000 |
| Ascenergy LLC | | | investor protection violation | 2017 | $6,859,690 |
| 7S Oil & Gas, LLC | | | investor protection violation | 2017 | $750,000 |
| Petroforce Energy, LLC | | | investor protection violation | 2017 | $300,000 |
| Green Tree Investment Group | | | investor protection violation | 2017 | $770,356 |
| Millennium Management LLC | | | investor protection violation | 2017 | $630,000 |
| Augustine Capital Management LLC | | | investor protection violation | 2017 | $878,305 |
| JustInfo LLC | | | fraud | 2017 | $1,293,675 |
| Paritz & Company | | | accounting fraud or deficiencies | 2017 | $132,049 |
| Deerfield Management Company L.P. | | | investor protection violation | 2017 | $4,600,000 |
| Mohlman Asset Management, LLC and Mohlman Asset Management Fund, LLC | | | investor protection violation | 2017 | $100,937 |
| Penn West Petroleum Ltd. | | | accounting fraud or deficiencies | 2017 | $8,500,000 |
| Capital Financial Partners, LLC et al. | | | investor protection violation | 2017 | $15,700,000 |
| Credit Karma, Inc. | | | investor protection violation | 2018 | $160,000 |
| Valor Capital Asset Management, LLC | | | investor protection violation | 2018 | $715,871 |
| Financial Fiduciaries, LLC | | | investor protection violation | 2018 | $40,000 |
| Equitystar Capital Management, LLC | | | investor protection violation | 2018 | $2,890,518 |
| Dynamic Intelligence, Inc. | | | investor protection violation | 2018 | $228,552 |
| Americafirst Capital Management, LLC | | | investor protection violation | 2018 | $50,000 |
| Gemini Fund Services, LLC | | | investor protection violation | 2018 | $400,000 |
| LKL Investment Counsel LLC | | | investor protection violation | 2018 | $100,000 |
| Train, Babcock Advisors LLC | | | investor protection violation | 2017 | $1,700,725 |
| Southwind Associates of NJ, Inc. d/b/a Villafranco Wealth Management | | | investor protection violation | 2017 | $50,000 |
| Packerland Brokerage Services, Inc. and Atlas Capital Management Corp. | | | investor protection violation | 2017 | $536,886 |
| Coastal Equities, Inc. and Coastal Investment Advisors, Inc. | | | investor protection violation | 2017 | $80,000 |
