| Shelby Savings Bank, SSB | | | banking violation | 2022 | FDIC | $140,000 |
| Magnolia Bank, Incorporated | | | banking violation | 2022 | FDIC | $425,000 |
| Citizens Bank Minnesota | | | banking violation | 2022 | FDIC | $6,000 |
| Warrior Trading | | | investor protection violation | 2022 | FTC | $3,000,000 |
| Wefunder Portal LLC | | | investor protection violation | 2022 | FINRA | $1,400,000 |
| StartEngine Capital LLC | | | investor protection violation | 2022 | FINRA | $350,000 |
| Toll Holdings Limited | | | economic sanction violation | 2022 | OFAC | $6,131,855 |
| Chisu International Corporation | | | economic sanction violation | 2022 | OFAC | $45,908 |
| Citrin Cooperman & Company, LLP | | | accounting fraud or deficiencies | 2022 | PCAOB | $200,000 |
| JLKZ CPA LLP | | | accounting fraud or deficiencies | 2022 | PCAOB | $50,000 |
| WWC, P.C. | | | accounting fraud or deficiencies | 2022 | PCAOB | $50,000 |
| Weiss Asset Management LP | | | investor protection violation | 2022 | SEC | $6,899,004 |
| Petroteq Energy, Inc. | | | investor protection violation | 2022 | SEC | $1,000,000 |
| CohnReznick LLP | | | accounting fraud or deficiencies | 2022 | SEC | $1,900,000 |
| United Health Products, Inc. | | | accounting fraud or deficiencies | 2022 | SEC | $450,000 |
| Trust Advisory Group, Ltd. | | | investor protection violation | 2022 | SEC | $214,460 |
| Kahn Brothers Advisors, LLC | | | investor protection violation | 2022 | SEC | $847,899 |
| Adirondack Financial Services Corp. | | | investor protection violation | 2022 | SEC | $25,000 |
| Alphacentric Advisors LLC | | | investor protection violation | 2022 | SEC | $300,000 |
| Garrison Point Capital, LLC | | | investor protection violation | 2022 | SEC | $3,500,000 |
| SCWorx Corp. | | | investor protection violation | 2022 | SEC | $125,000 |
| Madison Avenue Securities, LLC | | | investor protection violation | 2022 | SEC | $803,173 |
| RiverSource Distributors Inc. | | | investor protection violation | 2022 | SEC | $5,000,000 |
| RiverSource Distributors, Inc. | | | investor protection violation | 2022 | SEC | $5,000,000 |
| TradeZero America Inc. | | | investor protection violation | 2022 | SEC | $100,000 |
| TradeZero America, Inc. | | | investor protection violation | 2022 | SEC | $100,000 |
| Virtua Capital Management, LLC | | | investor protection violation | 2022 | SEC | $1,864,089 |
| Prosperity Economics Partners LLC and Partners for Prosperity LLC | | | investor protection violation | 2022 | SEC | $1,024,484 |
| Perini Capital, LLC | | | investor protection violation | 2022 | SEC | $115,000 |
| BTIG, LLC | | | investor protection violation | 2022 | SEC | $690,000 |
| True Link Financial Advisors, LLC | | | investor protection violation | 2022 | SEC | $200,000 |
| Maplelane Capital LLC | | | investor protection violation | 2022 | SEC | $824,041 |
| Medley Management | | | investor protection violation | 2022 | SEC | $10,000,000 |
| Wealth Plus, Inc. | | | investor protection violation | 2022 | SEC | $398,232 |
| Highpoint Advisor Group, LLC | | | investor protection violation | 2022 | SEC | $764,737 |
| ARS Capital Advisors, Inc. | | | investor protection violation | 2022 | SEC | $25,000 |
| The Legal Funding Group of Georgia, LLC | | | investor protection violation | 2022 | SEC | $37,500 |
| Global Investment Strategy UK Ltd. | | | investor protection violation | 2022 | SEC | $1,000,000 |
| Chatfield PCS Ltd. and GO ECO Manufacturing, Inc. | | | investor protection violation | 2022 | SEC | $3,625,263 |
| Stockman Kast Ryan & Co. LLP | | | investor protection violation | 2022 | SEC | $96,384 |
| Spruce Investment Advisors, LLC | | | investor protection violation | 2022 | SEC | $75,000 |
| Goldstone Financial Group, LLC | | | investor protection violation | 2022 | SEC | $70,000 |
| Alumni Ventures Group, LLC | | | investor protection violation | 2022 | SEC | $5,400,000 |
| Educators Financial Services, Inc. | | | investor protection violation | 2022 | SEC | $1,107,490 |
| City National Rochdale, LLC | | | investor protection violation | 2022 | SEC | $30,361,803 |
| A&S World Trading Incorporated | | | anti-money-laundering deficiencies | 2022 | FINCEN | $275,000 |
| Starberry Limited | | | investor protection violation | 2022 | CFTC | $1,376,206 |
| Egan-Jones Ratings Company | | | investor protection violation | 2022 | SEC | $1,846,000 |
| Voxeljet AG | | | investor protection violation | 2022 | SEC | $175,000 |
| Corona Associates Capital Management, LLC | | | investor protection violation | 2022 | SEC | $50,000 |
| Hamilton Investment Counsel, LLC | | | investor protection violation | 2022 | SEC | $150,000 |
| Geluk Capital Management Ltd. | | | investor protection violation | 2022 | SEC | $92,688 |
| Greenetrack Inc. | | | tax violations | 2022 | AL-AG | $76,000,000 |
| Dallas Distilleries Incorporated | | | tax violations | 2022 | ATTTB | $73,000 |
| Newburyport Brewing Company | | | tax violations | 2022 | ATTTB | $83,070 |
| Davos Brands LLC | | | tax violations | 2022 | ATTTB | $30,000 |
| Premier Asset Management Group LLC | | | investor protection violation | 2022 | AZ-CC | $4,695,136 |
| Sync Title Agency, LLC | | | investor protection violation | 2022 | AZ-CC | $55,000 |
| Feneck Consulting Group | | | investor protection violation | 2022 | AZ-CC | $701,901 |
| Cornerstone Wealth Management, LLC | | | investor protection violation | 2022 | AZ-CC | $10,000 |
| Berkley Capital Management, LLC et al. | | | investor protection violation | 2022 | CFTC | $6,198,632 |
| SwapStar Capital LLC | | | investor protection violation | 2022 | CFTC | $5,255,560 |
| Powerline Petroleum, LLC | | | investor protection violation | 2022 | CFTC | $875,000 |
| Financial Tree Trust et al. | | | investor protection violation | 2022 | CFTC | $15,900,000 |
| Aldwych Securities LLC | | | investor protection violation | 2022 | CT-SEC | $5,000 |
| Perkins Fund Marketing, L.L.C. | | | investor protection violation | 2022 | CT-SEC | $10,000 |
| Fortis Group Advisors, LLC | | | investor protection violation | 2022 | CT-SEC | $5,500 |
| Security State Bank | | | banking violation | 2022 | FDIC | $6,000 |
| MRV Banks | | | banking violation | 2022 | FDIC | $7,000 |
| Freedom Bank | | | banking violation | 2022 | FDIC | $8,250 |
| Cache Valley Bank | | | banking violation | 2022 | FDIC | $8,000 |
| EagleBank | | | banking violation | 2022 | FED | $9,500,000 |
| Easthampton Savings Bank | | | banking violation | 2022 | FED | $17,000 |
| North American Banking Company | | | banking violation | 2022 | FED | $13,950 |
| Vybe Nation International Entertainment Group, LLC | | | investor protection violation | 2022 | FL-OFR | $240,000 |
| Merchant Savings, LLC and Mastermind Web Development LLC | | | investor protection violation | 2022 | ID-SEC | $274,216 |
| Paramount Financial Services, Inc. dba Live Abundant | | | investor protection violation | 2022 | ID-SEC | $38,000 |
| Jero Worldwide, Inc. | | | investor protection violation | 2021 | IL-SEC | $5,000 |
| Brews N' Views | | | tax violations | 2022 | ME-AG | $30,735 |
| Forge Markets LLC | | | investor protection violation | 2022 | ME-SEC | $84,096 |
| American Esports, Inc. | | | investor protection violation | 2022 | MD-SEC | $1,550,000 |
| MSA & Associates, LLC | | | investor protection violation | 2022 | MD-SEC | $420,000 |
| Moreland Associates, LLC | | | investor protection violation | 2022 | MD-SEC | $10,000 |
| Chance Development, LLC | | | investor protection violation | 2022 | MD-SEC | $1,000,000 |
| Atherocor Corp. and Adgelin Medical, Inc | | | investor protection violation | 2022 | MD-SEC | $1,050,000 |
| Nonotuck Investment Group, LLC | | | investor protection violation | 2022 | MA-SEC | $75,000 |
| Sapphire Wealth Planning LLC | | | investor protection violation | 2022 | MO-SEC | $5,000 |
| Proactive Money Management, Inc. | | | investor protection violation | 2022 | MO-SEC | $5,000 |
| CDS Fintech Group, LLC | | | investor protection violation | 2022 | MO-SEC | $6,033 |
| Steri Med Solutions LLC dba Steriport Solutions | | | investor protection violation | 2022 | MO-SEC | $559,000 |
| MadaszConsulting, Inc. and DSM Enterprises, LLC | | | investor protection violation | 2022 | MO-SEC | $10,000 |
| ClueLess8 Trading and FAS Holdings, LLC | | | investor protection violation | 2022 | NJ-BOS | $450,000 |
| Grand River Enterprises Six Nations, Ltd. and Native Wholesale Supply Company, Inc. | | | tax violations | 2022 | NY-AG | $50,000,000 |
| Radia M92, Inc. and Radia R&D LLC and Radial Engine Innovation, Ltd | | | investor protection violation | 2022 | OH-BKG | $630,000 |
| Premier Global Corp. | | | investor protection violation | 2022 | OK-SEC | $250,000 |
| Stock Funding Corp. | | | investor protection violation | 2022 | OK-SEC | $10,000 |
| SLS Agricultural Consulting and Management, LLC | | | investor protection violation | 2022 | OK-SEC | $15,000 |
| FX Binary Option aka FXBOT | | | investor protection violation | 2022 | OR-FIN | $20,000 |
| Robert C. Duncan Accountancy Corporation | | | accounting fraud or deficiencies | 2022 | PCAOB | $30,000 |
| StarVest Management, Inc. | | | investor protection violation | 2022 | SEC | $70,000 |
| Highland Capital Partners LLC | | | investor protection violation | 2022 | SEC | $95,000 |
