| 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 |
| Northwestern Mutual Investment Services LLC | Northwestern Mutual | financial services | investor protection violation | 2024 | ME-SEC | $5,000 |
| Robert W. Baird & Co. Incorporated | | | investor protection violation | 2024 | ME-SEC | $5,000 |
| Sovereign Legacy Securities, Inc. | | | investor protection violation | 2024 | OR-FIN | $5,000 |
| Wolff Asset Management, LLC | | | investor protection violation | 2023 | PA-BKG | $5,000 |
| Robbins Capital Management, Inc. | | | investor protection violation | 2024 | TN-SEC | $5,000 |
