| LendingClub Corp. | LendingClub Corp. | financial services | investor protection violation | 2015 | CA-DFPI | $46,000 |
| Renaissance Management, LLC et al. | | | investor protection violation | 2016 | CA-DFPI | $20,275,000 |
| Bird Rock Management, LLC et al. | | | investor protection violation | 2016 | CA-DFPI | $45,000 |
| Bellingham Investment Management | | | investor protection violation | 2016 | CA-DFPI | $64,120 |
| Beryl Capital Management, LLC | | | investor protection violation | 2016 | CA-DFPI | $45,000 |
| Rama Capital Partners, LLC | | | investor protection violation | 2016 | CA-DFPI | $10,000 |
| Catamount Strategic Advisors, LLC | | | investor protection violation | 2017 | CA-DFPI | $88,511 |
| Macian Wealth Management, LLC | | | investor protection violation | 2017 | CA-DFPI | $34,236 |
| Jalapenos Leadership Industries, LLC | | | investor protection violation | 2017 | CA-DFPI | $58,500 |
| D. Stephens Management and Consulting L.L.C. | | | investor protection violation | 2017 | CA-DFPI | $6,000 |
| Alii Consulting | | | investor protection violation | 2017 | CA-DFPI | $15,000 |
| RG Capital Management, LLC | | | investor protection violation | 2017 | CA-DFPI | $30,000 |
| Defensive Portfolio Management Corp. | | | investor protection violation | 2017 | CA-DFPI | $10,000 |
| Harbor Island Wealth Management | | | investor protection violation | 2017 | CA-DFPI | $5,000 |
| Candide Group, LLC | | | investor protection violation | 2017 | CA-DFPI | $15,000 |
| TechnoVision Management, LLC | | | investor protection violation | 2017 | CA-DFPI | $50,000 |
| Continuum Financial Partners, LLC | | | investor protection violation | 2017 | CA-DFPI | $5,000 |
| JMR Capital Management, Inc. | | | investor protection violation | 2018 | CA-DFPI | $20,000 |
| Buttonwood Tree Management, LLC | | | investor protection violation | 2018 | CA-DFPI | $50,223 |
| Tiburon Research Group, Inc. | | | investor protection violation | 2018 | CA-DFPI | $5,000 |
| Mirae Asset Wealth Management (USA) Inc. | | | investor protection violation | 2018 | CA-DFPI | $40,000 |
| Crawford Capital, LLC | | | investor protection violation | 2018 | CA-DFPI | $10,000 |
| Sacramento Natural Foods Cooperative, Inc. | | | investor protection violation | 2019 | CA-DFPI | $6,000 |
| Highland Capital Group, Inc. | | | investor protection violation | 2019 | CA-DFPI | $270,000 |
| Opes Capital Group, LLC | | | investor protection violation | 2019 | CA-DFPI | $15,000 |
| Francis Capital Management, LLC | | | investor protection violation | 2019 | CA-DFPI | $10,000 |
| Pyramid Screening Technology, Inc. | | | investor protection violation | 2019 | CA-DFPI | $38,000 |
| Solium Financial Services LLC | Morgan Stanley | financial services | investor protection violation | 2020 | CA-DFPI | $52,047 |
| Piara Pizza, LLC | | | investor protection violation | 2020 | CA-DFPI | $35,000 |
| Societe Generale Financial Corporation | Societe Generale | financial services | banking violation | 2020 | CA-DFPI | $10,250 |
| Trademark INT PTT AB | | | investor protection violation | 2020 | CA-DFPI | $7,500 |
| Amada Franchise, Inc. | | | investor protection violation | 2020 | CA-DFPI | $10,000 |
| Bright Light Capital Advisor, Inc. | | | investor protection violation | 2020 | CA-DFPI | $5,000 |
| Benzer Franchising, LLC | | | investor protection violation | 2020 | CA-DFPI | $5,000 |
| United Gold Direct, LLC | | | investor protection violation | 2020 | CA-DFPI | $45,112 |
| Sportball Systems USA, LLC | | | investor protection violation | 2020 | CA-DFPI | $5,000 |
| Priority Wealth Advisors, Inc. | | | investor protection violation | 2020 | CA-DFPI | $10,000 |
| Doctors Associates LLC dba Subway | | | investor protection violation | 2020 | CA-DFPI | $410,000 |
| Neighborhood Networks Publishing, Inc. | | | investor protection violation | 2020 | CA-DFPI | $10,000 |
| StockCross Financial Services, Inc. | | | investor protection violation | 2021 | CA-DFPI | $100,000 |
| Black Hill Capital Partners Inc. | | | investor protection violation | 2021 | CA-DFPI | $50,000 |
| Infinity Capital Group, LLC | | | investor protection violation | 2022 | CA-DFPI | $125,000 |
| Lofty Ai, Inc. | | | investor protection violation | 2022 | CA-DFPI | $37,500 |
| Atwood Consortium LLC | | | investor protection violation | 2023 | CA-DFPI | $5,000 |
| Stock Option Academy dba Stock Option Coach | | | investor protection violation | 2023 | CA-DFPI | $435,000 |
| Collaborative Financial Consulting, LLC | | | investor protection violation | 2023 | CA-DFPI | $20,000 |
| California Business Bank | | | banking violation | 2023 | CA-DFPI | $250,000 |
| LEGENDARY PARTNERS LLC | | | investor protection violation | 2024 | CA-DFPI | $137,500 |
| Curve Capital LLC | | | investor protection violation | 2023 | CA-DFPI | $55,000 |
| Pylon Finance aka $PYLON | | | investor protection violation | 2023 | CA-DFPI | $16,000 |
| Cornerstone Wealth Partners, LLC | | | investor protection violation | 2024 | CA-DFPI | $15,000 |
| Edward Jones & Co. | Jones Financial | financial services | investor protection violation | 2008 | CA-AG | $7,500,000 |
| Franklin/Templeton Distributors, Inc. | Franklin Resources | financial services | investor protection violation | 2004 | CA-AG | $18,000,000 |
| Morgan Stanley | Morgan Stanley | financial services | investor protection violation | 2019 | CA-AG | $150,000,000 |
| PA Distributors | | | investor protection violation | 2004 | CA-AG | $9,000,000 |
| Hawaiian Gardens Casino | | | anti-money-laundering deficiencies | 2019 | CA-AG | $3,100,000 |
| General Motors | General Motors | motor vehicles | investor protection violation | 2021 | CA-AG | $5,750,000 |
| Artichoke Joe's Casino | | | anti-money-laundering deficiencies | 2021 | CA-AG | $5,300,000 |
| Microsoft Corporation | Microsoft | information technology | economic sanction violation | 2023 | BIS | $347,631 |
| Truckville Inc. dba EZ Finance Auto Sales | | | investor protection violation | 2000 | AZ-CC | $5,000 |
| Forex Investment Services Corp. et al. | | | investor protection violation | 2000 | AZ-CC | $416,086 |
| Great Western Investment Trust, Ltd. | | | investor protection violation | 2000 | AZ-CC | $435,789 |
| National Financial Group and World Wide Business Opportunities, LLC | | | investor protection violation | 2000 | AZ-CC | $20,000 |
| Superior Leasing of Arizona, Inc. and Superior Holding Group, Inc. | | | investor protection violation | 2000 | AZ-CC | $6,792,956 |
| Estate Services II, Inc. | | | investor protection violation | 2000 | AZ-CC | $15,000 |
| Cochise Financial Corp. | | | investor protection violation | 2000 | AZ-CC | $1,301,929 |
| Alliance Trust and Chemical Trust and United Marketing Trust | | | investor protection violation | 2000 | AZ-CC | $75,000 |
| Tucson Estate Financial Advisors, Inc. | | | investor protection violation | 2000 | AZ-CC | $114,080 |
| Mining Ventures International, LLC | | | investor protection violation | 2000 | AZ-CC | $253,500 |
| Successful Finance, Inc. | | | investor protection violation | 2000 | AZ-CC | $421,040 |
| Eye International, L.L.C. and American International Beneficial Association, Inc. | | | investor protection violation | 2000 | AZ-CC | $11,500 |
| Global Harvest Corp. | | | investor protection violation | 2001 | AZ-CC | $20,000 |
| Mobile Cash Systems, LLC et al. | | | investor protection violation | 2001 | AZ-CC | $12,192,829 |
| United Planners' Financial Services of America, A Limited Partnership | | | investor protection violation | 2001 | AZ-CC | $79,000 |
| Arizona Investment Advisers, Inc. | | | investor protection violation | 2001 | AZ-CC | $3,050,000 |
| Oxford Development, L.L.C. and CNT Family Fun Outlets, Inc. | | | investor protection violation | 2001 | AZ-CC | $5,336,160 |
| Keith B. Davis, Inc. | | | investor protection violation | 2001 | AZ-CC | $1,073,000 |
| Early Detection Centers Inc. and Johnathon Roberts, Inc. | | | investor protection violation | 2001 | AZ-CC | $210,000 |
| Why Not Entertainment, L.L.C. | | | investor protection violation | 2001 | AZ-CC | $137,500 |
| Hotel Connect, LLC et al. | | | investor protection violation | 2001 | AZ-CC | $5,400,000 |
| Investment Planners of America, Inc. | | | investor protection violation | 2001 | AZ-CC | $25,000 |
| Prosperity Investors Group | | | investor protection violation | 2001 | AZ-CC | $303,000 |
| Edge Business Services, Inc. | | | investor protection violation | 2001 | AZ-CC | $10,000 |
| Integrity Assured Life Settlements, Inc. | | | investor protection violation | 2001 | AZ-CC | $10,611 |
| Steven S. Levine Chartered | | | investor protection violation | 2001 | AZ-CC | $5,000 |
| Accelerated Success, Inc. | | | investor protection violation | 2001 | AZ-CC | $24,561 |
| Bar-Lo Millennium Corp. | | | investor protection violation | 2001 | AZ-CC | $10,000 |
| Aeromax, Inc. and Aeromag Corp. | | | investor protection violation | 2001 | AZ-CC | $10,000 |
| Profutura LLC | | | investor protection violation | 2001 | AZ-CC | $6,215,350 |
| Hylton Enterprises, Inc. et al. | | | investor protection violation | 2002 | AZ-CC | $242,554 |
| Creative Financial Funding, L.L.C. et al. | | | investor protection violation | 2002 | AZ-CC | $7,947,777 |
| William R. Evans Chartered | | | investor protection violation | 2002 | AZ-CC | $5,000 |
| Viatical Center, Inc. | | | investor protection violation | 2002 | AZ-CC | $12,500 |
| Beneficial Assistance | | | investor protection violation | 2002 | AZ-CC | $5,000 |
| The Chamber Group, Inc. | | | investor protection violation | 2002 | AZ-CC | $16,342,404 |
| American Insurance Services, L.L.C. | | | investor protection violation | 2002 | AZ-CC | $810,300 |
| 21st Century Satellite Communications, Inc. | | | investor protection violation | 2002 | AZ-CC | $267,000 |
| Intermarc Marketing and Cashflows | | | investor protection violation | 2002 | AZ-CC | $22,750 |
| Pre-IPO Venture Capital Fund, L.L.C. | | | investor protection violation | 2002 | AZ-CC | $525,000 |
| Glenn A. Libertore Financial Services | | | investor protection violation | 2002 | AZ-CC | $33,460 |
| Republic Cash Advance, Inc. and Quick Cash Advance, Inc. | | | investor protection violation | 2002 | AZ-CC | $6,348,492 |
