| Seattle Specialty Insurance Services, Inc. | | | tax violations | 2014 | CT-AG | $6,570 |
| U.S. Water Services, Inc. | | | tax violations | 2015 | CT-AG | $6,570 |
| Bombardier Services Corp. | Alstom | miscellaneous energy products and systems | tax violations | 2013 | CT-AG | $6,585 |
| GMA Garnet (USA) Corp. | | | tax violations | 2013 | CT-AG | $6,585 |
| MAIN STREET BANK | | | banking violation | 2005 | FDIC | $6,600 |
| Willbros USA, Inc. | Primoris Services | construction and engineering | economic sanction violation | 2009 | OFAC | $6,600 |
| DuPont Pharmaceuticals Company | Bristol-Myers Squibb | pharmaceuticals | economic sanction violation | 2004 | OFAC | $6,600 |
| Brastrade Brazilian Trading Co., Inc. | | | economic sanction violation | 2003 | OFAC | $6,600 |
| Societe Generale | Societe Generale | financial services | economic sanction violation | 2003 | OFAC | $6,600 |
| Cleantech Fund II, LP | | | tax violations | 2015 | CT-AG | $6,600 |
| Dobric Family LP | | | tax violations | 2016 | CT-AG | $6,600 |
| FT Maintenance-East, LLC | | | tax violations | 2012 | CT-AG | $6,600 |
| SC Lease Co. LLC | | | tax violations | 2014 | CT-AG | $6,600 |
| The Game Agency, LLC | | | tax violations | 2015 | CT-AG | $6,600 |
| Wildlife Management Institute, Inc. | | | tax violations | 2016 | CT-AG | $6,600 |
| Bimbo Hungria Co. | | | tax violations | 2012 | CT-AG | $6,630 |
| Kurt Salmon US, Inc. | | | tax violations | 2012 | CT-AG | $6,630 |
| Timberline Buildings, LLC | | | tax violations | 2013 | CT-AG | $6,638 |
| BLOOMFIELD STATE BANK | | | banking violation | 2007 | FDIC | $6,650 |
| CITIZENS BANK & TRUST CO. | | | banking violation | 2011 | FDIC | $6,665 |
| Bank One | JPMorgan Chase | financial services | economic sanction violation | 2004 | OFAC | $6,682 |
| Barlo Signs International, Inc. | | | tax violations | 2012 | CT-AG | $6,682 |
| De-Fence, Inc. | | | tax violations | 2016 | CT-AG | $6,683 |
| Deerfield Distributing, Inc. | | | tax violations | 2012 | CT-AG | $6,697 |
| Mark VII Equipment, Inc. | | | tax violations | 2014 | CT-AG | $6,698 |
| Vested Securities, LLC | | | investor protection violation | 2023 | ME-SEC | $6,698 |
| Peters Financial Planning Corp. | | | investor protection violation | 2009 | MD-SEC | $6,700 |
| Capture 3D Incorporated | | | tax violations | 2012 | CT-AG | $6,720 |
| Monitor Capital, LLC | | | investor protection violation | 2020 | CT-SEC | $6,720 |
| Bluepath Telecommunications Engineering, LLC | | | tax violations | 2012 | CT-AG | $6,735 |
| HORIZON COMMUNITY BANK | | | banking violation | 2009 | FDIC | $6,740 |
| Planters Bank and Trust Company | | | banking violation | 2006 | FED | $6,750 |
| Agoda Company, Pte Ltd. | | | economic sanction violation | 2008 | OFAC | $6,750 |
| Belpastry, Inc. | | | tax violations | 2014 | CT-AG | $6,750 |
| Equus Software, LLC | | | tax violations | 2015 | CT-AG | $6,750 |
| Intelisys Communications Inc. | | | tax violations | 2015 | CT-AG | $6,750 |
| Veterinary Information Network, Inc. | | | tax violations | 2016 | CT-AG | $6,750 |
| Western Realty Investments LLC | | | investor protection violation | 2014 | NH-BSR | $6,750 |
| Witter & Westlake Investments, Inc. | | | investor protection violation | 2021 | KY-FIN | $6,750 |
| CHEYENNE STATE BANK | | | banking violation | 2009 | FDIC | $6,765 |
| Financial America Securities, Inc. | | | investor protection violation | 2013 | MT-FIN | $6,769 |
| CITIZENS STATE BANK | | | banking violation | 2005 | FDIC | $6,800 |
| FARMERS AND MERCHANTS BANK, THE | | | banking violation | 2011 | FDIC | $6,800 |
| Heritage Bank of Commerce | Heritage Commerce Corp. | financial services | banking violation | 2008 | FED | $6,840 |
| Shore Community Bank | | | banking violation | 2013 | FDIC | $6,850 |
| UNITED BANK | | | banking violation | 2008 | FDIC | $6,850 |
| Pacific Mercantile Bank | | | banking violation | 2007 | FED | $6,850 |
| Barry Callebaut USA, Inc | Barry Callebaut | food products | economic sanction violation | 2004 | OFAC | $6,852 |
| American Mortgage Consultants, Inc. | | | tax violations | 2015 | CT-AG | $6,870 |
| Gemma Power Systems, LLC | | | tax violations | 2015 | CT-AG | $6,870 |
| Nexant, Inc. | | | tax violations | 2016 | CT-AG | $6,885 |
| Modern Investments LLC | | | investor protection violation | 2012 | TN-SEC | $6,890 |
| First State Bank | | | banking violation | 2015 | FDIC | $6,900 |
| 2020 Company, LLC | | | tax violations | 2012 | CT-AG | $6,900 |
| Access Intelligence LLC | | | tax violations | 2014 | CT-AG | $6,900 |
| Time Warner Cable Enterprises LLC | Charter Communications | telecommunications | tax violations | 2015 | CT-AG | $6,900 |
| First State Bank | | | banking violation | 2015 | FDIC | $6,900 |
| Solium Financial Services LLC | Morgan Stanley | financial services | investor protection violation | 2020 | VT-FIN | $6,900 |
| Remet Corp. | | | tax violations | 2012 | CT-AG | $6,930 |
| Caldwell Sutter Capital Inc. | | | investor protection violation | 2020 | ME-SEC | $6,936 |
| Custom Computer Specialists, Inc. | | | tax violations | 2013 | CT-AG | $6,938 |
| PICO Enterprises, Inc. | | | tax violations | 2013 | CT-AG | $6,938 |
| NobelTrading.com | | | investor protection violation | 2010 | MT-FIN | $6,943 |
| Invo Healthcare Associates, Inc. | | | tax violations | 2013 | CT-AG | $6,968 |
| Resnick Investment Advisors, LLC | | | tax violations | 2012 | CT-AG | $6,968 |
| August Wealth Group, Inc. | | | investor protection violation | 2023 | ME-SEC | $6,982 |
| Viking Credit Master, LLC | | | tax violations | 2012 | CT-AG | $6,990 |
| The Hondo National Bank | | | banking violation | 2014 | OCC | $7,000 |
| WEST SUBURBAN BANK | | | banking violation | 2009 | FDIC | $7,000 |
| JACKSON COUNTY BANK | | | banking violation | 2008 | FDIC | $7,000 |
| SECURITY STATE BANK | | | banking violation | 2006 | FDIC | $7,000 |
| UNITED BANK | | | banking violation | 2003 | FDIC | $7,000 |
| THE COLUMBIA BANK | Fulton Financial | financial services | banking violation | 2002 | FDIC | $7,000 |
| FIRST MARINER BANK | | | banking violation | 2002 | FDIC | $7,000 |
| Citizens Bank and Trust Company | | | banking violation | 2003 | FED | $7,000 |
| Terex Corporation | Terex | heavy equipment | economic sanction violation | 2005 | OFAC | $7,000 |
| Hanmi Bank | Hanmi Financial Corp. | financial services | economic sanction violation | 2004 | OFAC | $7,000 |
| First National Bank of Colorado | | | banking violation | 2005 | OCC | $7,000 |
| Bank of Gueydan | | | banking violation | 2017 | FED | $7,000 |
| The Bank of Holly Springs | | | banking violation | 2018 | FDIC | $7,000 |
| William Somerville, Inc. | | | tax violations | 2012 | CT-AG | $7,000 |
| Peoples Exchange Bank | | | banking violation | 2013 | FDIC | $7,000 |
| Western State Bank | | | banking violation | 2012 | FDIC | $7,000 |
| THE CITIZENS BANK | | | banking violation | 2011 | FDIC | $7,000 |
| DIAMOND BANK | | | banking violation | 2011 | FDIC | $7,000 |
| SECURITY BANK | | | banking violation | 2011 | FDIC | $7,000 |
| BERKSHIRE BANK | | | banking violation | 2011 | FDIC | $7,000 |
| GLENNVILLE BANK | | | banking violation | 2010 | FDIC | $7,000 |
| ABBYBANK | | | banking violation | 2010 | FDIC | $7,000 |
| Zurigo Trading, Inc. | | | economic sanction violation | 2011 | OFAC | $7,000 |
| Newman Energy Corp. | | | investor protection violation | 2008 | AL-SEC | $7,000 |
| Bluepac Management LLC | | | investor protection violation | 2012 | AL-SEC | $7,000 |
| Lewis & Clark Outdoors, Inc. | | | investor protection violation | 2011 | AR-SEC | $7,000 |
| Annett & Associates | | | investor protection violation | 2020 | CO-SEC | $7,000 |
| Wynn Investments LLC | | | investor protection violation | 2020 | FL-OFR | $7,000 |
| Littlefield Asset Management, Inc. | | | investor protection violation | 2013 | GA-SEC | $7,000 |
| JT Financial Advisers, LLC | | | investor protection violation | 2009 | IL-SEC | $7,000 |
| Encompass Wealth Management, LLC | | | investor protection violation | 2017 | KY-FIN | $7,000 |
| Ogan Financial Group, Inc. dba True Wealth Management | | | investor protection violation | 2015 | MD-SEC | $7,000 |
| CPFS, Inc. and Pinnacle Support Systems, Inc. | | | investor protection violation | 2006 | ME-SEC | $7,000 |
| First Montauk Securities Corporation | | | investor protection violation | 2002 | ND-SEC | $7,000 |
