| Datatex Investment Services, Inc. | | | investor protection violation | 2023 | $50,000 |
| Foresight Wealth Management, LLC | | | investor protection violation | 2023 | $1,893,486 |
| Windy Inc. | | | investor protection violation | 2023 | $89,979 |
| Braverock Investments LLC | | | investor protection violation | 2023 | $132,000 |
| Betterment LLC | | | investor protection violation | 2023 | $9,000,000 |
| Corvex Management LP | | | investor protection violation | 2023 | $1,000,000 |
| Gaia Inc. | | | investor protection violation | 2023 | $2,000,000 |
| Chicago Crypto Capital LLC | | | investor protection violation | 2023 | $1,071,686 |
| CW Petroleum Corp. | | | investor protection violation | 2023 | $5,000 |
| DNA Brands Inc. | | | investor protection violation | 2023 | $10,000 |
| Graystone Company Inc. | | | investor protection violation | 2023 | $25,000 |
| Green Stream Holdings Inc. | | | investor protection violation | 2023 | $75,000 |
| Hemp Naturals Inc. | | | investor protection violation | 2023 | $50,000 |
| LiveWire Ergogenics Inc. | | | investor protection violation | 2023 | $50,000 |
| Principal Solar Inc. | | | investor protection violation | 2023 | $40,000 |
| SFLMaven Corp. | | | investor protection violation | 2023 | $25,000 |
| The Marquie Group Inc. | | | investor protection violation | 2023 | $10,000 |
| Verde Bio Holdings Inc. | | | investor protection violation | 2023 | $90,000 |
| Pinnacle Investments LLC | | | investor protection violation | 2023 | $476,000 |
| Classic Asset Management LLC | | | investor protection violation | 2023 | $195,228 |
| Coinme Inc. | | | investor protection violation | 2023 | $250,000 |
| Up Global SEZC | | | investor protection violation | 2023 | $3,520,000 |
| Trends Investments Inc. | | | investor protection violation | 2023 | $4,007,027 |
| Expro Group Holdings N.V. | | | investor protection violation | 2023 | $7,998,721 |
| Pacific Investment Management Company LLC (PIMCO) | | | investor protection violation | 2023 | $9,000,000 |
| BHP Capital NY, Inc. | | | investor protection violation | 2023 | $2,500,000 |
| Hydrogen Technology Corporation | | | investor protection violation | 2023 | $2,796,234 |
| Boyle CP LLC | | | accounting fraud or deficiencies | 2023 | $50,000 |
| Cantaloupe, Inc. | | | investor protection violation | 2023 | $1,500,000 |
| First Guaranty Bancshares, Inc. | | | investor protection violation | 2023 | $600,000 |
| RTW Investments, LP | | | investor protection violation | 2023 | $1,400,000 |
| Sciens Investment Management, LLC and Sciens Diversified Managers, LLC | | | investor protection violation | 2023 | $275,000 |
| RSE Markets Inc. | | | investor protection violation | 2023 | $350,000 |
| Foresee Inc. et al. | | | investor protection violation | 2023 | $5,374,482 |
| Marcum LLP | | | accounting fraud or deficiencies | 2023 | $10,000,000 |
| Insight Venture Management LLC | | | investor protection violation | 2023 | $2,364,958 |
| Legendary Partners, LLC | | | investor protection violation | 2023 | $412,542 |
| Empires Consulting Corp. | | | investor protection violation | 2023 | $34,839,951 |
| Vuuzle Media Corp. et al. | | | investor protection violation | 2023 | $28,599,662 |
| Co-Diagnostics, Inc. | | | investor protection violation | 2023 | $250,000 |
| Future Fintech Group Inc. | | | investor protection violation | 2023 | $1,650,000 |
| Quantstamp, Inc. | | | investor protection violation | 2023 | $1,000,000 |
| Monroe Capital Management Advisors, LLC | | | investor protection violation | 2023 | $1,000,000 |
| Digital World Acquisition Corp. | | | investor protection violation | 2023 | $18,000,000 |
| Benecke Economics | | | investor protection violation | 2023 | $60,000 |
| Crowe U.K. LLP | | | accounting fraud or deficiencies | 2023 | $750,000 |
| Grupo Aval Acciones y Valores S.A. | | | Foreign Corrupt Practices Act | 2023 | $40,000,000 |
| Bittrex Inc. et al. | | | investor protection violation | 2023 | $24,000,000 |
| Houlihan Lokey Capital, Inc. | | | investor protection violation | 2023 | $15,000,000 |
| Moelis & Company LLC | | | investor protection violation | 2023 | $10,000,000 |
| Theorem Fund Services LLC | | | investor protection violation | 2023 | $122,271 |
| Exchange Traded Managers Group LLC | | | investor protection violation | 2023 | $4,000,000 |
| Vika Ventures LLC | | | investor protection violation | 2023 | $8,929,120 |
| Ustocktrade LLC | | | investor protection violation | 2023 | $75,000 |
| Summitcrest Capital, Inc. | | | investor protection violation | 2023 | $23,181,761 |
| Valo Holdings Group | | | investor protection violation | 2023 | $668,240 |
| DST Asset Manager Solutions, Inc. | | | investor protection violation | 2023 | $500,000 |
| Malvern Bancorp, Inc. | | | investor protection violation | 2023 | $350,000 |
| Ault Alliance, Inc. | | | investor protection violation | 2023 | $700,000 |
| Sica Wealth Management, LLC and Circle Squared Alternative Investments, LLC | | | investor protection violation | 2023 | $584,333 |
| GlennCap LLC | | | investor protection violation | 2023 | $3,000,000 |
| Artemis Wealth Advisors, LLC | | | investor protection violation | 2023 | $150,000 |
| Stoner Cats 2 LLC | | | investor protection violation | 2023 | $1,000,000 |
| Esos Rings, Inc. | | | investor protection violation | 2023 | $613,319 |
| True Capital Management, LLC | | | investor protection violation | 2023 | $821,793 |
| YieldStreet Inc. | | | investor protection violation | 2023 | $1,900,000 |
| Banorte Asset Management Inc. | | | investor protection violation | 2023 | $50,000 |
| BTS Asset Management Inc. | | | investor protection violation | 2023 | $135,000 |
| Elm Partners Management LLC | | | investor protection violation | 2023 | $175,000 |
| Hansen and Associates Financial Group Inc | | | investor protection violation | 2023 | $50,000 |
| Linden Thomas Advisory Services LLC | | | investor protection violation | 2023 | $135,000 |
| Macroclimate LLC | | | investor protection violation | 2023 | $100,000 |
| McElhenny Sheffield Capital Management LLC | | | investor protection violation | 2023 | $60,000 |
| Mortgage Industry Advisory Corporation | | | investor protection violation | 2023 | $100,000 |
| MRA Advisory Group | | | investor protection violation | 2023 | $85,000 |
| Simplex Trading, LLC | | | investor protection violation | 2023 | $200,000 |
| Trowbridge Capital Partners LLC | | | investor protection violation | 2023 | $60,000 |
| Monolith Resources LLC | | | workplace whistleblower retaliation | 2023 | $225,000 |
| Ameritrust Corporation | | | investor protection violation | 2023 | $15,802,376 |
| Beespoke Capital, Inc. | | | investor protection violation | 2023 | $5,196,518 |
| Apex Financial Advisors Inc. | | | investor protection violation | 2023 | $130,000 |
| Bluestone Capital Management LLC | | | investor protection violation | 2023 | $75,000 |
| Disruptive Technology Advisers LLC | | | investor protection violation | 2023 | $225,000 |
| Lloyd George Management (HK) Limited | | | investor protection violation | 2023 | $50,000 |
| Prime Group Holdings LLC | | | investor protection violation | 2023 | $20,500,000 |
| The Eideard Group, LLC | | | investor protection violation | 2023 | $80,000 |
| SQN Capital Management, LLC | | | investor protection violation | 2023 | $200,000 |
| Archipelago Trading Services Inc. | | | investor protection violation | 2023 | $1,500,000 |
| Bittrex Inc. | | | investor protection violation | 2023 | $24,000,000 |
| Impact Theory, LLC | | | investor protection violation | 2023 | $6,100,000 |
| Legacy Hospitality II, LLC | | | investor protection violation | 2023 | $3,892,012 |
| Legendary Capital REIT III, LLC | | | investor protection violation | 2023 | $774,331 |
| Alpine 4 Holdings, Inc. | | | investor protection violation | 2023 | $60,000 |
| Black Spade Acquisition Co | | | investor protection violation | 2023 | $35,000 |
| Fundrise Advisors, LLC | | | investor protection violation | 2023 | $250,000 |
| Omnia Wellness Inc. | | | investor protection violation | 2023 | $60,000 |
| ReShape Lifesciences Inc. | | | investor protection violation | 2023 | $35,000 |
| Vivic Corp. | | | investor protection violation | 2023 | $60,000 |
| Titan Global Capital Management USA LLC | | | investor protection violation | 2023 | $1,042,454 |
| Collaborative Financial Consulting LLC | | | investor protection violation | 2023 | $20,000 |
| D. E. Shaw & Co., L.P. | | | investor protection violation | 2023 | $10,000,000 |
