| Impact Theory, LLC | | | investor protection violation | 2023 | SEC | $6,100,000 |
| Legacy Hospitality II, LLC | | | investor protection violation | 2023 | SEC | $3,892,012 |
| Legendary Capital REIT III, LLC | | | investor protection violation | 2023 | SEC | $774,331 |
| Alpine 4 Holdings, Inc. | | | investor protection violation | 2023 | SEC | $60,000 |
| Black Spade Acquisition Co | | | investor protection violation | 2023 | SEC | $35,000 |
| Fundrise Advisors, LLC | | | investor protection violation | 2023 | SEC | $250,000 |
| Omnia Wellness Inc. | | | investor protection violation | 2023 | SEC | $60,000 |
| ReShape Lifesciences Inc. | | | investor protection violation | 2023 | SEC | $35,000 |
| Vivic Corp. | | | investor protection violation | 2023 | SEC | $60,000 |
| Titan Global Capital Management USA LLC | | | investor protection violation | 2023 | SEC | $1,042,454 |
| Basic Wealth Advisors, Inc. and Basic Financial Services, Inc. | | | investor protection violation | 2023 | SC-SEC | $10,000 |
| Plutus Financial, Inc. dba Abra and Plutus Lending, LLC and Abra Boost, LLC | | | investor protection violation | 2023 | SC-SEC | $32,800 |
| Bancredito International Bank and Trust Corporation | | | anti-money-laundering deficiencies | 2023 | FINCEN | $15,000,000 |
| Amani Investments LLC | | | anti-money-laundering deficiencies | 2023 | USAO | $1,000,000 |
| Fitbela Epro Limited | | | investor protection violation | 2023 | WA-SEC | $86,500 |
| LYFE, S.A. | | | anti-money-laundering deficiencies | 2023 | CFTC | $212,014 |
| Highland Quantitative Driven Investments LLC | | | investor protection violation | 2023 | CFTC | $476,206 |
| Shinhan Bank America | | | anti-money-laundering deficiencies | 2023 | FDIC | (*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $5,000,000 |
| Emigrant Bank | | | economic sanction violation | 2023 | OFAC | $31,867 |
| Collaborative Financial Consulting LLC | | | investor protection violation | 2023 | SEC | $20,000 |
| D. E. Shaw & Co., L.P. | | | investor protection violation | 2023 | SEC | $10,000,000 |
| Robert W. Baird & Co. Inc. | | | investor protection violation | 2023 | SEC | $15,000,000 |
| William Blair & Company LLC | | | investor protection violation | 2023 | SEC | $10,000,000 |
| Perella Weinberg Partners LP | | | investor protection violation | 2023 | SEC | $2,500,000 |
| DBRS Inc. | | | investor protection violation | 2023 | SEC | $6,000,000 |
| Kroll Bond Rating Agency, LLC | | | investor protection violation | 2023 | SEC | $4,000,000 |
| Nano-X Imaging Ltd. | | | investor protection violation | 2023 | SEC | $650,000 |
| Luther Speight & Company, LLC | | | investor protection violation | 2023 | SEC | $20,000 |
| Appomattox Advisory, Inc. | | | investor protection violation | 2023 | SEC | $150,000 |
| Florence Capital Advisors, LLC | | | investor protection violation | 2023 | SEC | $200,000 |
| Maxim Group, LLC | | | investor protection violation | 2023 | SEC | $800,000 |
| Spruce Power Holding Corporation | | | investor protection violation | 2023 | SEC | $11,000,000 |
| Osaic Wealth, Inc. | | | investor protection violation | 2023 | SEC | $100,000 |
| FSC Securities Corporation | | | investor protection violation | 2023 | SEC | $100,000 |
| Salomon Whitney LLC | | | investor protection violation | 2023 | SEC | $236,173 |
| Forepont Capital LLC | | | investor protection violation | 2023 | SEC | $150,000 |
| Apexium Financial LP | | | investor protection violation | 2023 | SEC | $150,000 |
| TAL Education Group | | | investor protection violation | 2023 | SEC | $1,250,000 |
| Cloudastructure, Inc. | | | investor protection violation | 2023 | SEC | $558,071 |
| Hightimes Holding Corp | | | investor protection violation | 2023 | SEC | $558,071 |
| Cumberland Pharmaceuticals Inc. | | | investor protection violation | 2023 | SEC | $200,000 |
| AgEagle Aerial Systems Inc. | | | investor protection violation | 2023 | SEC | $190,000 |
| eXp World Holdings, Inc. | | | investor protection violation | 2023 | SEC | $115,000 |
| SolarEdge Technologies, Inc. | | | investor protection violation | 2023 | SEC | $125,000 |
| AssetMark Inc. | | | investor protection violation | 2023 | SEC | $18,000,000 |
| Bruderman Asset Management LLC | | | investor protection violation | 2023 | SEC | $250,000 |
| Highlander Capital Management, LLC | | | investor protection violation | 2023 | SEC | $150,000 |
| Fieldman Rolapp & Associates, Inc. | | | investor protection violation | 2023 | SEC | $127,916 |
| Wellesley Asset Management, Inc | | | investor protection violation | 2023 | SEC | $1,000,000 |
| American Infrastructure Funds LLC | | | investor protection violation | 2023 | SEC | $1,600,000 |
| Citadel Securities LLC | | | investor protection violation | 2023 | SEC | $7,000,000 |
| Carl M. Hennig, Inc. | | | investor protection violation | 2023 | SEC | $50,000 |
| Kandi Technologies Group, Inc. | | | investor protection violation | 2023 | SEC | $710,000 |
| GGToor, Inc. | | | investor protection violation | 2023 | SEC | $40,000 |
| Summit Planning Group, Inc. | | | investor protection violation | 2023 | SEC | $109,401 |
| Shinhan Bank America | | | anti-money-laundering deficiencies | 2023 | FINCEN | $15,000,000 |
| Tyche Asset Management LLC et al. | | | investor protection violation | 2023 | CFTC | $21,308,692 |
| Metropolitan Commercial Bank | | | banking violation | 2023 | FED | $14,500,000 |
| DaVinci Payments | | | economic sanction violation | 2023 | OFAC | $206,213 |
| Cherry Bekaert LLP | | | accounting fraud or deficiencies | 2023 | PCAOB | $35,000 |
| RH CPA | | | accounting fraud or deficiencies | 2023 | PCAOB | $45,000 |
| UHY LLP | | | accounting fraud or deficiencies | 2023 | PCAOB | $45,000 |
| Somerset CPAs | | | accounting fraud or deficiencies | 2023 | PCAOB | $100,000 |
| Smythe LLP | | | accounting fraud or deficiencies | 2023 | PCAOB | $175,000 |
| Laidlaw & Company (UK) Ltd. | | | investor protection violation | 2023 | SEC | $822,884 |
| Bell Rock Capital, LLC | | | investor protection violation | 2023 | SEC | $1,509,048 |
| Thor Technologies, Inc. | | | investor protection violation | 2023 | SEC | $1,053,193 |
| Anson Advisors Inc | | | investor protection violation | 2023 | SEC | $3,330,394 |
| Blue Owl Credit Income Corp. | | | investor protection violation | 2023 | WA-SEC | $150,662 |
| Bishop Insurance & Financial Services, Inc. and Atlantic Coast Wealth Fund III, LLC and Atlantic Coast Wealth Advisors, LLC | | | investor protection violation | 2023 | SC-SEC | $100,000 |
| Charles Winn, LLC | | | investor protection violation | 2023 | IA-INS | $419,431 |
| Heartland Capital Partners, LLC and Heartland Income Properties LLC | | | investor protection violation | 2023 | AZ-CC | $7,304,390 |
| King Sho Holdings aka Kingsho Holdings | | | investor protection violation | 2023 | MD-SEC | $420,000 |
| Lavish Auto Detailing LLC | | | investor protection violation | 2023 | MT-FIN | $116,264 |
| Meta 1 Coin Trust | | | investor protection violation | 2023 | AZ-CC | $4,404,361 |
| Metropolitan Commercial Bank | | | anti-money-laundering deficiencies | 2023 | NY-DFS | $15,000,000 |
| Nest Egg Retirement Solutions Inc. and Estate Protection Planning Corp of New Jersey | | | investor protection violation | 2023 | NJ-BOS | $150,000 |
| Premier Media Services, Inc. dba Premier Distributing Service and Lenis USA | | | investor protection violation | 2023 | AZ-CC | $390,500 |
| Shinhan Bank America | | | anti-money-laundering deficiencies | 2023 | NY-DFS | $10,000,000 |
| Skyshell Trading | | | investor protection violation | 2023 | OR-FIN | $100,000 |
| StormX, Inc. | | | investor protection violation | 2023 | WA-SEC | $110,000 |
| Tycoon Trading, LLC et al. | | | investor protection violation | 2023 | AK-DBS | $40,684,525 |
| VBIT Technologies Corp et al. | | | investor protection violation | 2023 | MT-FIN | $338,507 |
| Webull Financial LLC | | | investor protection violation | 2023 | MA-SEC | $500,000 |
| RRIM Asset Strategies, LLC | | | investor protection violation | 2023 | AZ-CC | $42,430 |
| Collaborative Financial Consulting, LLC | | | investor protection violation | 2023 | CA-DFPI | $20,000 |
| Validea Capital Management LLC | | | investor protection violation | 2023 | CT-SEC | $5,250 |
| VAILSHIRE CAPITAL MANAGEMENT, LLC | | | investor protection violation | 2023 | FL-OFR | $5,000 |
| Vested Securities, LLC | | | investor protection violation | 2023 | ME-SEC | $6,698 |
| Hightower Securities LLC | | | investor protection violation | 2023 | ME-SEC | $7,500 |
| 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 |
| Pinnacle Investments LLC | | | investor protection violation | 2023 | ME-SEC | $7,500 |
| Bolton Global Capital | | | investor protection violation | 2023 | ME-SEC | $7,500 |
| Pensionmark Securities, LLC | | | investor protection violation | 2023 | ME-SEC | $15,000 |
| Fortune Financial Services Inc. | | | investor protection violation | 2023 | ME-SEC | $5,000 |
| Creativeone Securities LLC | | | investor protection violation | 2023 | ME-SEC | $7,500 |
| DBEX-coin.net | | | investor protection violation | 2023 | MI-SEC | $30,000 |
| Spartan Capital Securities, LLC | | | investor protection violation | 2023 | MO-SEC | $9,800 |
| Blue Owl Technology Income Corp. fka Owl Rock Technology Income Corp. | | | investor protection violation | 2023 | MO-SEC | $35,400 |
| Old Slip Capital Management, Inc. | | | investor protection violation | 2023 | NH-BSR | $6,000 |
