Tri-County Bank | | | banking violation | 2015 | FED | $5,000 |
BCBank, Incorporated | | | banking violation | 2015 | FED | $5,000 |
Altima Inc. | | | anti-money-laundering deficiencies | 2011 | FINCEN | $5,000 |
DELAWARE COUNTY BANK AND TRUST COMPANY, THE | | | banking violation | 2009 | FDIC | $5,000 |
SLOVAK SAVINGS BANK | | | banking violation | 2009 | FDIC | $5,000 |
BEDFORD LOAN & DEPOSIT BANK | | | banking violation | 2009 | FDIC | $5,000 |
TRICENTURY BANK | | | banking violation | 2008 | FDIC | $5,000 |
WESTERN STATE BANK | | | banking violation | 2007 | FDIC | $5,000 |
LABE BANK | | | banking violation | 2006 | FDIC | $5,000 |
HUDSON VALLEY BANK | | | banking violation | 2005 | FDIC | $5,000 |
ROSLYN SAVINGS BANK | | | banking violation | 2002 | FDIC | $5,000 |
WEST DES MOINES STATE BANK | | | banking violation | 2001 | FDIC | $5,000 |
R-G PREMIER BANK OF PUERTO RICO | | | banking violation | 2001 | FDIC | $5,000 |
Guaranty Bank | | | economic sanction violation | 2004 | OFAC | $5,000 |
Silicon Semiconductor | | | economic sanction violation | 2004 | OFAC | $5,000 |
Bancomer S.A. | | | economic sanction violation | 2003 | OFAC | $5,000 |
Charmilles Techonologies Manufacturing Corporation | | | economic sanction violation | 2003 | OFAC | $5,000 |
UBS (USA) Inc | UBS | financial services | economic sanction violation | 2003 | OFAC | $5,000 |
Amcore Bank, National Association | | | banking violation | 2003 | OCC | $5,000 |
First National Bank & Trust | | | banking violation | 2003 | OCC | $5,000 |
The Fremont National Bank and Trust Company | | | banking violation | 2003 | OCC | $5,000 |
Home National Bank | | | banking violation | 2000 | OCC | $5,000 |
PanaMed Corp. | | | investor protection violation | 2004 | SEC | $5,000 |
Bank of Lake Mills | | | banking violation | 2018 | FDIC | $5,000 |
Sussex Bank | | | banking violation | 2018 | FDIC | $5,000 |
BNB Capital, Inc. | | | investor protection violation | 2002 | SEC | $5,000 |
National Stock Transfer Inc. | | | investor protection violation | 2000 | SEC | $5,000 |
WWW Advisors, Inc. | | | investor protection violation | 2000 | SEC | $5,000 |
Asset Timing Corp. | | | investor protection violation | 2000 | SEC | $5,000 |
39 Lispenard Project, LLC | | | investor protection violation | 2015 | NY-AG | $5,000 |
AsymmetRx, Inc. | | | tax violations | 2013 | CT-AG | $5,000 |
Commercial Truck & Lift Center, Inc. | | | tax violations | 2002 | HI-AG | $5,000 |
Harrison Bros. Oysters, LLC | | | tax violations | 2008 | MD-AG | $5,000 |
CLEVELAND STATE BANK | | | banking violation | 2011 | FDIC | $5,000 |
PREMIER COMMUNITY BANK OF THE EMERALD COAST | | | banking violation | 2011 | FDIC | $5,000 |
THE KANSAS STATE BANK | | | banking violation | 2011 | FDIC | $5,000 |
GATEWAY BANK OF SOUTHWEST FLORIDA | | | banking violation | 2011 | FDIC | $5,000 |
COLORADO EAST BANK & TRUST | | | banking violation | 2011 | FDIC | $5,000 |
PATRIOTS BANK | | | banking violation | 2011 | FDIC | $5,000 |
MICHIGAN COMMERCE BANK | | | banking violation | 2011 | FDIC | $5,000 |
BANK OF MARINGOUIN | | | banking violation | 2011 | FDIC | $5,000 |
CITIZENS STATE BANK OF LULING | | | banking violation | 2011 | FDIC | $5,000 |
MERCHANTS AND PLANTERS BANK | | | banking violation | 2010 | FDIC | $5,000 |
FOUNDATION BANK | | | banking violation | 2010 | FDIC | $5,000 |
MERRIMAC SAVINGS BANK | | | banking violation | 2010 | FDIC | $5,000 |
HIGHLAND COMMUNITY BANK | | | banking violation | 2010 | FDIC | $5,000 |
COMMERCE BANK | | | banking violation | 2006 | FDIC | $5,000 |
L&L CPAs, PA | | | accounting fraud or deficiencies | 2017 | PCAOB | $5,000 |
William T. McCallum CPA, P.C. | | | accounting fraud or deficiencies | 2017 | PCAOB | $5,000 |
SEJONG LLP | | | accounting fraud or deficiencies | 2017 | PCAOB | $5,000 |
Donahue Associates LLC | | | accounting fraud or deficiencies | 2016 | PCAOB | $5,000 |
Stein & Company, LLP | | | accounting fraud or deficiencies | 2015 | PCAOB | $5,000 |
HDSG & Associates | | | accounting fraud or deficiencies | 2015 | PCAOB | $5,000 |
Touchstone Funds Group Trust | | | investor protection violation | 2013 | AK-DBS | $5,000 |
Arbor Capital Management, Inc. | | | investor protection violation | 2013 | AK-DBS | $5,000 |
Clean Energy Pathways, Inc. | | | investor protection violation | 2010 | AL-SEC | $5,000 |
Global Financial Private Capital, LLC | | | investor protection violation | 2014 | AL-SEC | $5,000 |
Girosol of Kentucky, Corp. | | | investor protection violation | 2008 | AR-SEC | $5,000 |
Southwestern Union Conference of Seventh-day Adventists | | | investor protection violation | 2008 | AR-SEC | $5,000 |
Key Financial Corp. | | | investor protection violation | 2009 | AR-SEC | $5,000 |
PowerOne Corp. | | | investor protection violation | 2014 | AR-SEC | $5,000 |
Texas Energy Mutual, LLC | | | investor protection violation | 2014 | AR-SEC | $5,000 |
Crews and Associates, Inc. | | | investor protection violation | 2019 | AR-SEC | $5,000 |
Solium Financial Services LLC | Morgan Stanley | financial services | investor protection violation | 2019 | AR-SEC | $5,000 |
Truckville Inc. dba EZ Finance Auto Sales | | | investor protection violation | 2000 | AZ-CC | $5,000 |
Steven S. Levine Chartered | | | investor protection violation | 2001 | AZ-CC | $5,000 |
William R. Evans Chartered | | | investor protection violation | 2002 | AZ-CC | $5,000 |
Beneficial Assistance | | | investor protection violation | 2002 | AZ-CC | $5,000 |
Estate Conservation Strategies, Inc. | | | investor protection violation | 2002 | AZ-CC | $5,000 |
Universal FX Incorporated | | | investor protection violation | 2005 | AZ-CC | $5,000 |
Worldwide Forex, Inc. | | | investor protection violation | 2005 | AZ-CC | $5,000 |
Centenarios Gold, Inc. | | | investor protection violation | 2005 | AZ-CC | $5,000 |
WSK Energy, L.L.C. | | | investor protection violation | 2006 | AZ-CC | $5,000 |
Panama Capital Funding, L.L.C. | | | investor protection violation | 2008 | AZ-CC | $5,000 |
Sports Dimensions, Inc. | | | investor protection violation | 2010 | AZ-CC | $5,000 |
Global Trading Partners, LLC | | | investor protection violation | 2010 | AZ-CC | $5,000 |
La Bella Investments, LLC | | | investor protection violation | 2010 | AZ-CC | $5,000 |
Sellman Weis Mortgage & Investment Corp. | | | investor protection violation | 2010 | AZ-CC | $5,000 |
New Rise Investments, L.L.C. and AZ Real Estate Group, L.L.C | | | investor protection violation | 2011 | AZ-CC | $5,000 |
MT Explorations, LLC | | | investor protection violation | 2012 | AZ-CC | $5,000 |
Real Estate Monster, LLC | | | investor protection violation | 2013 | AZ-CC | $5,000 |
Biltmore Wealth Advisors, LLC | | | investor protection violation | 2015 | AZ-CC | $5,000 |
Priority Wealth Advisors, Inc. | | | investor protection violation | 2020 | AZ-CC | $5,000 |
Simpson Capital Management, Inc. | | | investor protection violation | 2014 | CA-DFPI | $5,000 |
WCM Global Wealth, LLC | | | investor protection violation | 2015 | CA-DFPI | $5,000 |
Harbor Island Wealth Management | | | investor protection violation | 2017 | CA-DFPI | $5,000 |
Continuum Financial Partners, LLC | | | investor protection violation | 2017 | CA-DFPI | $5,000 |
Tiburon Research Group, Inc. | | | investor protection violation | 2018 | CA-DFPI | $5,000 |
Roll-A-Cover, LLC | | | investor protection violation | 2007 | CT-SEC | $5,000 |
Silver Oak Securities, Inc. | | | investor protection violation | 2009 | CT-SEC | $5,000 |
Multivend, LLC dba Vendstar | | | investor protection violation | 2009 | CT-SEC | $5,000 |
CT Equity Partners, LLC | | | investor protection violation | 2009 | CT-SEC | $5,000 |
Mercer Capital Ltd. | | | investor protection violation | 2010 | CT-SEC | $5,000 |
Prosper Marketplace, Inc. | Prosper Marketplace | financial services | investor protection violation | 2010 | CT-SEC | $5,000 |
Spear Capital Management, Inc. | | | investor protection violation | 2011 | CT-SEC | $5,000 |
Brookville Capital Partners | | | investor protection violation | 2012 | CT-SEC | $5,000 |
Columbus Advisory Group, Ltd. | | | investor protection violation | 2014 | CT-SEC | $5,000 |
First Connecticut Capital, LLC | | | investor protection violation | 2015 | CT-SEC | $5,000 |
David Lerner Associates, Inc. | | | investor protection violation | 2016 | CT-SEC | $5,000 |
Evans Technology Holding Co. | | | investor protection violation | 2018 | CT-SEC | $5,000 |
Empire Wine & Liquor Superstore CT, LLC | | | investor protection violation | 2018 | CT-SEC | $5,000 |