| Zenith Sterling Advisers LLC | | | investor protection violation | 2022 | MO-SEC | $15,000 |
| Fango, LLC | | | investor protection violation | 2022 | MO-SEC | $83,919 |
| TMTE, Inc. et al. | | | investor protection violation | 2022 | MT-FIN | $1,282,738 |
| MintBuilder.com LLC | | | investor protection violation | 2021 | MT-FIN | $20,000 |
| BlockFi Lending LLC | | | investor protection violation | 2022 | MULTI-AG | $50,000,000 |
| RagingBull.com, LLC | | | investor protection violation | 2021 | NH-BSR | $675,000 |
| National Bank of Pakistan | | | anti-money-laundering deficiencies | 2022 | NY-DFS | $35,000,000 |
| Sojitz (Hong Kong) Limited | | | economic sanction violation | 2022 | OFAC | $5,228,298 |
| Eugene Artisan Foods, LLC and Red Wagon Foods, Inc. | | | investor protection violation | 2022 | OR-FIN | $11,700 |
| 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 |
| Andalusian Wealth Management, LLC | | | investor protection violation | 2022 | PA-BKG | $25,000 |
| The Insight Advisory Group, LLC dba Insight Total Stewardship | | | investor protection violation | 2021 | PA-BKG | $10,000 |
| BMKR LLP | | | accounting fraud or deficiencies | 2022 | PCAOB | $20,000 |
| PKF O'Connor Davies, LLP | | | accounting fraud or deficiencies | 2022 | PCAOB | $40,000 |
| Arthur Zaske & Associates, LLC | | | investor protection violation | 2022 | SEC | $15,000 |
| Banyan Securities, LLC | | | investor protection violation | 2022 | SEC | $10,000 |
| Church, Gregory, Adams Securities Corporation | | | investor protection violation | 2022 | SEC | $10,000 |
| Gutt Financial Management, LLC | | | investor protection violation | 2022 | SEC | $25,000 |
| Hinsdale Associates, Inc. | | | investor protection violation | 2022 | SEC | $25,000 |
| J.K. Financial Services, Inc. | | | investor protection violation | 2022 | SEC | $10,000 |
| N.V.N.G. Investments, Inc. | | | investor protection violation | 2022 | SEC | $15,000 |
| Personal Financial Planning, Inc. | | | investor protection violation | 2022 | SEC | $25,000 |
| Stone Run Capital, LLC | | | investor protection violation | 2022 | SEC | $25,000 |
| The Winning Edge Financial Group, Inc. | | | investor protection violation | 2022 | SEC | $10,000 |
| Wall Street Access | | | investor protection violation | 2022 | SEC | $97,523 |
| Watermark Securities, Inc. | | | investor protection violation | 2022 | SEC | $25,000 |
| BlockFi Lending LLC | | | investor protection violation | 2022 | SEC | $50,000,000 |
| Wahed Invest, LLC | | | investor protection violation | 2022 | SEC | $300,000 |
| CMG Capital Management Group, Inc. | | | investor protection violation | 2022 | SEC | $70,000 |
| Comprehensive Capital Management, Inc. | | | investor protection violation | 2022 | SEC | $375,654 |
| O.N. Investment Management Company | | | investor protection violation | 2022 | SEC | $1,238,653 |
| tZERO ATS, LLC | | | investor protection violation | 2022 | SEC | $800,000 |
| Leaf Group Ltd. | | | investor protection violation | 2022 | SEC | $325,000 |
| OneStep Financial Services, LLC | | | investor protection violation | 2022 | SEC | $631,179 |
| PeachCap Tax & Advisory, LLC | | | investor protection violation | 2021 | SEC | $138,813 |
| 1st Global Advisors, Inc. | | | investor protection violation | 2021 | SEC | $16,873,153 |
| Global Infrastructure Management, LLC | | | investor protection violation | 2021 | SEC | $4,500,000 |
| iInvestsolutions.com, LLC | | | investor protection violation | 2022 | TN-SEC | $10,000 |
| Aptus Financial, LLC | | | investor protection violation | 2022 | VA-SEC | $6,000 |
| 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 |
| Kaboom USA, LLC and SKEARCH, LLC | | | investor protection violation | 2021 | WI-FIN | $5,000 |
| NFN8 Group, Inc. | | | investor protection violation | 2022 | AL-SEC | $120,000 |
| ICA Financial Services, LLC | | | investor protection violation | 2022 | AZ-CC | $190,000 |
| American Financial Investments, LLC | | | investor protection violation | 2022 | AZ-CC | $19,724,875 |
| My Trader Coin | | | investor protection violation | 2022 | AZ-CC | $1,237,747 |
| TreyTrades LLC | | | investor protection violation | 2022 | AZ-CC | $89,425 |
| D2D Financial, LLC | | | investor protection violation | 2022 | AZ-CC | $130,000 |
| Marketing Dynamics, Inc. | | | investor protection violation | 2022 | AZ-CC | $104,216 |
| Archimedes Foundation Trust | | | investor protection violation | 2022 | AZ-CC | $1,760,000 |
| Global Capital and Equity LLC | | | investor protection violation | 2022 | AZ-CC | $466,500 |
| AZ REl School, LLC and SFG Real Estate Holdings, LLC | | | investor protection violation | 2022 | AZ-CC | $19,371 |
| Church Extension Loan Fund, Inc. | | | investor protection violation | 2022 | AR-SEC | $7,300 |
| Sage Financial Design, Inc. | | | investor protection violation | 2022 | CT-SEC | $50,000 |
| Safe Harbor Retirement Planners | | | investor protection violation | 2022 | DE-SEC | $6,500 |
| 58th Presidential Inaugural Committee and Trump Organization LLC et al. | | | tax violations | 2022 | DC-AG | $750,000 |
| Business Solutions Consulting, LLC | | | investor protection violation | 2022 | FL-OFR | $50,000 |
| Brand Maxer, LLC | | | investor protection violation | 2022 | FL-OFR | $170,000 |
| Shirtted, LLC | | | investor protection violation | 2022 | FL-OFR | $25,000 |
| Paramount Financial Services, Inc. dba Live Abundant | | | investor protection violation | 2022 | ID-INS | $38,000 |
| ST Invest LLC | | | investor protection violation | 2022 | IL-SEC | $9,950 |
| East Fork Energy Partners, Inc. | | | investor protection violation | 2022 | KY-FIN | $5,000 |
| ReAlpha Asset Management, Inc. | | | investor protection violation | 2022 | MA-SEC | $375,000 |
| U.S. Data Mining Group | | | investor protection violation | 2022 | MA-SEC | $1,000,000 |
| Alumni Ventures Group | | | investor protection violation | 2022 | MA-SEC | $750,000 |
| LimeLife USA LLC | | | investor protection violation | 2022 | MT-FIN | $10,000 |
| Wesleyan Investment Foundation, Inc. | | | investor protection violation | 2022 | NE-DBF | $22,000 |
| Kalos Capital, Inc. | | | investor protection violation | 2022 | NV-SEC | $79,400 |
| Hybrid Capital Group and The Fens Company and Peerless Hi Yield Realty Group | | | investor protection violation | 2022 | NH-BSR | $769,966 |
| Esplanade Capital Partners I LLC | | | investor protection violation | 2022 | NH-BSR | $9,500 |
| Scanwood Limited Inc. and AOS, Inc. | | | investor protection violation | 2022 | NH-BSR | $75,000 |
| Alumni Ventures Group | | | investor protection violation | 2022 | NH-BSR | $700,000 |
| Seaview Global Advisors LLC | | | investor protection violation | 2022 | NJ-BOS | $500,000 |
| National Bank of Pakistan | | | anti-money-laundering deficiencies | 2022 | NY-DFS | $35,000,000 |
| BRC Neighborhood Planning, LP | | | investor protection violation | 2022 | PA-BKG | $2,040,000 |
| Buchert Ridge Community, Inc. | | | investor protection violation | 2022 | PA-BKG | $240,000 |
| Women of Substance LLC | | | investor protection violation | 2022 | PA-BKG | $5,000 |
| Limerick Financial Group, LLC | | | investor protection violation | 2022 | PA-BKG | $100,000 |
| Platinum Tickets, LLC | | | investor protection violation | 2022 | PA-BKG | $25,000 |
| Safe Investing Services | | | investor protection violation | 2022 | PA-BKG | $25,000 |
| Wealth Protection Group, LLC | | | investor protection violation | 2022 | SD-SEC | $5,000 |
| Wealth Plus of the Dakotas Inc. | | | investor protection violation | 2022 | SD-SEC | $12,500 |
| Servant Wealth Management, LLC | | | investor protection violation | 2022 | TN-SEC | $5,000 |
| Guardian Wealth Solutions, Inc. | | | investor protection violation | 2022 | TN-SEC | $6,000 |
| Eagle Strategies LLC | | | investor protection violation | 2022 | VA-SEC | $7,000 |
| R2 Advisors, P.C. and M2 Advisors, Inc. | | | investor protection violation | 2022 | VA-SEC | $5,000 |
| 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 |
| Transchemical Incorporated | | | tax violations | 2022 | ATTTB | $15,000 |
| Greenbrush Brewing Co. | | | tax violations | 2022 | ATTTB | $25,000 |
| New Tobacco King | | | tax violations | 2022 | ATTTB | $40,000 |
| Crescent Brewery LLC | | | tax violations | 2022 | ATTTB | $7,400 |
| Fintech Investment Group Inc. andCompcoin LLC | | | investor protection violation | 2022 | CFTC | $1,800,000 |
| Shelby Savings Bank, SSB | | | banking violation | 2022 | FDIC | $140,000 |
