| Mortgage Protection Services and Lead System Inc. | | | banking violation | 2015 | WI-FIN | $62,000 |
| Conestoga Settlement Services LLC | | | investor protection violation | 2019 | WI-FIN | $300,000 |
| Wisconsin Retirement & Insurance Advisors, LLC | | | investor protection violation | 2019 | WI-FIN | $72,651 |
| Legacy Financial Network and Retirement Services, Inc. | | | investor protection violation | 2019 | WI-FIN | $177,937 |
| Dreambuilder Investments, LLC | | | investor protection violation | 2019 | WI-FIN | $5,000 |
| Legacy Prosperity Partners, LLC | | | investor protection violation | 2018 | WI-FIN | $24,196 |
| MFB Investments, LLC | | | investor protection violation | 2018 | WI-FIN | $211,539 |
| The Investment Counsel, LLC | | | investor protection violation | 2016 | WI-FIN | $60,000 |
| Herget Group, LLC | | | investor protection violation | 2015 | WI-FIN | $166,400 |
| The Prudential Investment Portfolios, Inc. | | | investor protection violation | 2007 | WI-FIN | $5,000 |
| Raymond James Financial Services, Inc. | Raymond James Financial | financial services | investor protection violation | 2007 | WI-FIN | $50,000 |
| Merrill Lynch Pierce Fenner & Smith Inc. | Bank of America | financial services | investor protection violation | 2005 | WI-FIN | $7,000 |
| SB Financial Group | | | investor protection violation | 2020 | WI-FIN | $25,000 |
| UAB Mid West Group | | | investor protection violation | 2020 | WI-FIN | $250,000 |
| Geaux Global | | | investor protection violation | 2020 | WI-FIN | $155,000 |
| CTOption | | | investor protection violation | 2020 | WI-FIN | $24,000 |
| Kaboom USA, LLC and SKEARCH, LLC | | | investor protection violation | 2021 | WI-FIN | $5,000 |
| PV Wealth Advisors, LLC | | | investor protection violation | 2022 | WI-FIN | $197,944 |
| Prosper Wealth Management, LLC | | | investor protection violation | 2022 | WI-FIN | $1,683,727 |
| Morrow Capital LLC and More Solar LLC | | | investor protection violation | 2022 | WI-FIN | $144,000 |
| 1st Financial Bank U.S.A. | 1st Financial Bank USA | financial services | banking violation | 2005 | WI-AG | $43,142 |
| Capital One Bank | Capital One Financial | financial services | banking violation | 2005 | WI-AG | $80,032 |
| SunTrust Bank | Truist Financial | financial services | banking violation | 2005 | WI-AG | $10,107 |
| Halydean Corp. | | | investor protection violation | 2020 | WA-SEC | $20,000 |
| Paramount Financial Advisors LLC | | | investor protection violation | 2020 | WA-SEC | $80,000 |
| PrimeFund, Inc. dba WealthFlex | | | investor protection violation | 2020 | WA-SEC | $12,500 |
| 603 Financial, Inc. dba Goddard Financial Planning | | | investor protection violation | 2020 | WA-SEC | $15,000 |
| Full_Tilton Ventures, LLC | | | investor protection violation | 2020 | WA-SEC | $7,500 |
| Blue Gold co LC | | | investor protection violation | 2020 | WA-SEC | $11,250 |
| Unikrn Inc. | | | investor protection violation | 2020 | WA-SEC | $310,000 |
| Signal Capital Management LLC | | | investor protection violation | 2020 | WA-SEC | $5,000 |
| REACH Genetics Inc. | | | investor protection violation | 2020 | WA-SEC | $10,000 |
| Dragonchain, Inc. | | | investor protection violation | 2021 | WA-SEC | $60,000 |
| Wesleyan Investment Foundation | | | investor protection violation | 2021 | WA-SEC | $11,500 |
| American Equities, Inc. | | | investor protection violation | 2020 | WA-SEC | $115,000 |
| Gateway Financial & Estate Planning, Inc. | | | investor protection violation | 2021 | WA-SEC | $10,000 |
| Svaram Group, Inc. and Svaram Global, LLC | | | investor protection violation | 2021 | WA-SEC | $6,000 |
| Lasting Connections, LLC | | | investor protection violation | 2021 | WA-SEC | $5,000 |
| Pioneer Square Advisors, LLC | | | investor protection violation | 2021 | WA-SEC | $25,000 |
| Sommers Financial Management, LLC | | | investor protection violation | 2021 | WA-SEC | $30,000 |
| Capital Management Associates LLC | | | investor protection violation | 2021 | WA-SEC | $5,000 |
| Guardian Data Systems, LLC | | | investor protection violation | 2021 | WA-SEC | $9,500 |
| Tryp Technologies Inc. | | | investor protection violation | 2021 | WA-SEC | $34,000 |
| Resolute Capital Partners, Ltd. et al. | | | investor protection violation | 2021 | WA-SEC | $263,525 |
| NMJ Group | | | investor protection violation | 2021 | WA-SEC | $65,000 |
| New Vision Properties, LLC | | | investor protection violation | 2021 | WA-SEC | $12,500 |
| Charles Winn, LLC | | | investor protection violation | 2021 | WA-SEC | $45,000 |
| Stock Management LLC dba Ben Heeb & Associates | | | investor protection violation | 2022 | WA-SEC | $15,000 |
| Freedom Capital Advisors Inc. | | | investor protection violation | 2021 | WA-SEC | $13,000 |
| 24XploitTrade | | | investor protection violation | 2021 | WA-SEC | $21,000 |
| Debtix Enterprise Ltd. dba Coinchainbtc.com | | | investor protection violation | 2021 | WA-SEC | $11,000 |
| WA State Construction LLC | | | investor protection violation | 2022 | WA-SEC | $10,000 |
| Stocktradefxt | | | investor protection violation | 2022 | WA-SEC | $21,250 |
| Open Mind Generations | | | investor protection violation | 2022 | WA-SEC | $6,000 |
| MVP Group Inc. | | | investor protection violation | 2022 | WA-SEC | $29,000 |
| PrimeFX Pro | | | investor protection violation | 2022 | WA-SEC | $22,500 |
| Yale Partners, LLC | | | investor protection violation | 2022 | WA-SEC | $5,000 |
| VBit Technologies Inc | | | investor protection violation | 2022 | WA-SEC | $15,000 |
| Gunn Capital Management, LLC | | | investor protection violation | 2022 | WA-SEC | $10,000 |
| Osage Pacific Advisors | | | investor protection violation | 2022 | WA-SEC | $15,000 |
| Rosland Capital LLC | | | investor protection violation | 2022 | WA-SEC | $20,000 |
| Northlake Capital & Development LLC | | | investor protection violation | 2022 | WA-SEC | $10,000 |
| SFA Commercial LLC | | | investor protection violation | 2022 | WA-SEC | $20,000 |
| Edward D. Jones & Co., L.P. | Jones Financial | financial services | investor protection violation | 2022 | WA-SEC | $175,000 |
| TangleTrade Management and Inception Capital Management | | | investor protection violation | 2022 | WA-SEC | $50,000 |
| Pacific Investors Group, LLC et al. | | | investor protection violation | 2023 | WA-SEC | $25,000 |
| Fitbela Epro Limited | | | investor protection violation | 2023 | WA-SEC | $86,500 |
| Blue Owl Credit Income Corp. | | | investor protection violation | 2023 | WA-SEC | $150,662 |
| StormX, Inc. | | | investor protection violation | 2023 | WA-SEC | $110,000 |
| Blue Owl Technology Income Corp. | | | investor protection violation | 2023 | WA-SEC | $76,937 |
| Pebble Financial, Inc. | | | investor protection violation | 2023 | WA-SEC | $8,500 |
| Coinme Inc. and Up Global SEZC | | | investor protection violation | 2023 | WA-SEC | $10,000 |
| UC Asset LP | | | investor protection violation | 2023 | WA-SEC | $12,500 |
| Bull & Unicorn Investments LLC | | | investor protection violation | 2023 | WA-SEC | $10,000 |
| Compass Capital Advisors L.L.C. | | | investor protection violation | 2023 | WA-SEC | $6,500 |
| 3D Money, LLC et al. | | | investor protection violation | 2020 | WA-FIN | $13,312 |
| Rhino Linings Corp. | | | investor protection violation | 2020 | WA-FIN | $5,937 |
| Fortpoint Investment Management | | | investor protection violation | 2020 | WA-FIN | $83,600 |
| Rchain Cooperative | | | investor protection violation | 2020 | WA-FIN | $65,000 |
| Solium Financial Services LLC | Morgan Stanley | financial services | investor protection violation | 2020 | WA-FIN | $33,753 |
| Retirement Base Camp | | | investor protection violation | 2019 | WA-FIN | $10,000 |
| Urban Traffic | | | investor protection violation | 2019 | WA-FIN | $35,000 |
| Strix Leviathan I, LLC | | | investor protection violation | 2019 | WA-FIN | $18,000 |
| Franchise Equity Group, Inc. and Franchise Equity Consortium | | | investor protection violation | 2019 | WA-FIN | $73,643 |
| Pacific Rim Energy, Inc. | | | investor protection violation | 2019 | WA-FIN | $13,350 |
| WebRotator, Inc. | | | investor protection violation | 2019 | WA-FIN | $65,000 |
| New Wave Innovations Ltd. | | | investor protection violation | 2019 | WA-FIN | $12,500 |
| Property Damage Appraisers, Inc. | | | investor protection violation | 2019 | WA-FIN | $6,000 |
| North America Real Estate Investment Group, Inc. | | | investor protection violation | 2019 | WA-FIN | $6,000 |
| Thomson Financial Advisors LLC | | | investor protection violation | 2019 | WA-FIN | $22,000 |
| HRC Wealth Management LLC | | | investor protection violation | 2019 | WA-FIN | $12,000 |
| AlderEgo Holdings, Inc. and Carfield Family, Inc. | | | investor protection violation | 2019 | WA-FIN | $35,000 |
| Capital Energy Group LLC | | | investor protection violation | 2018 | WA-FIN | $31,000 |
| Bayhill Advisors, Inc. | | | investor protection violation | 2018 | WA-FIN | $20,000 |
| Pacific Watercraft Group, Inc. | | | investor protection violation | 2018 | WA-FIN | $5,500 |
| Brisk Management, LLC | | | investor protection violation | 2018 | WA-FIN | $11,500 |
| Moore Wealth Management, L.L.C. | | | investor protection violation | 2018 | WA-FIN | $6,500 |
| Wetzel Energy Technology Company Inc. and Better Fuel North West, A WETCO Company, Inc. | | | investor protection violation | 2018 | WA-FIN | $250,000 |
| Investment Hiker, LLC | | | investor protection violation | 2018 | WA-FIN | $10,000 |
| Larada Sciences, LLC | | | investor protection violation | 2018 | WA-FIN | $9,725 |
| RealizedEquityServices LLC | | | investor protection violation | 2018 | WA-FIN | $32,500 |
