Uptown National Bank of Chicago | | | economic sanction violation | 2003 | OFAC | $5,500 |
Wells Fargo Bank | Wells Fargo | financial services | economic sanction violation | 2003 | OFAC | $5,500 |
World Auto Parts | | | economic sanction violation | 2003 | OFAC | $5,500 |
Bank of Odessa | | | banking violation | 2017 | FDIC | $5,500 |
Gus Macker Enterprises, Inc. | | | tax violations | 2003 | NY-AG | $5,500 |
WOLF RIVER COMMUNITY BANK | | | banking violation | 2012 | FDIC | $5,500 |
BRIMFIELD BANK | | | banking violation | 2011 | FDIC | $5,500 |
THE PEOPLES BANK | | | banking violation | 2010 | FDIC | $5,500 |
OOSTBURG STATE BANK | | | banking violation | 2010 | FDIC | $5,500 |
LISLE SAVINGS BANK | | | banking violation | 2010 | FDIC | $5,500 |
FIRST BANK OF DALTON | | | banking violation | 2010 | FDIC | $5,500 |
UNITED-AMERICAN SAVINGS BANK | | | banking violation | 2010 | FDIC | $5,500 |
MARATHON SAVINGS BANK | | | banking violation | 2010 | FDIC | $5,500 |
SUMMIT COMMUNITY BANK | | | banking violation | 2010 | FDIC | $5,500 |
AFFINITY BANK OF PENNSYLVANIA | | | banking violation | 2010 | FDIC | $5,500 |
CRESCENT BANK | | | banking violation | 2010 | FDIC | $5,500 |
FARMERS AND MERCHANTS UNION BANK | | | banking violation | 2010 | FDIC | $5,500 |
CHRISTIANA BANK & TRUST COMPANY | | | banking violation | 2010 | FDIC | $5,500 |
Bank of Clarke County | | | banking violation | 2020 | FED | $5,500 |
Emerson Capital Corp. | | | investor protection violation | 2014 | IL-SEC | $5,500 |
Anabaptist Financial | | | investor protection violation | 2019 | KY-FIN | $5,500 |
Broadview Asset Management, LLC | | | investor protection violation | 2007 | MO-SEC | $5,500 |
Legacy Financial Assurance Group, Inc. | | | investor protection violation | 2010 | MO-SEC | $5,500 |
Tag and Tackle Outfitters, LLC | | | investor protection violation | 2013 | MO-SEC | $5,500 |
Successful Resource Management, Ltd. | | | investor protection violation | 2015 | MO-SEC | $5,500 |
Venulum Ltd. | | | investor protection violation | 2013 | SC-SEC | $5,500 |
Mackrow Asset Management Group | | | investor protection violation | 2018 | SC-SEC | $5,500 |
Cuso Equities Inc. | | | investor protection violation | 2003 | TN-SEC | $5,500 |
BASIN OIL & GAS CORPORATION | | | investor protection violation | 2002 | VA-SEC | $5,500 |
NATIONAL TENANT NETWORK, INC. | | | investor protection violation | 2006 | VA-SEC | $5,500 |
Pacific Watercraft Group, Inc. | | | investor protection violation | 2018 | WA-FIN | $5,500 |
H I Management Services Inc. | | | investor protection violation | 2020 | SC-SEC | $5,500 |
Fortis Group Advisors, LLC | | | investor protection violation | 2022 | CT-SEC | $5,500 |
C.A. Construction, Inc. | | | tax violations | 2014 | CT-AG | $5,512 |
Structural Concepts Engineering, Inc. | | | tax violations | 2012 | CT-AG | $5,513 |
Adler Consulting, Transport Planning and Traffic Engineering, PLLC | | | tax violations | 2012 | CT-AG | $5,520 |
Travel Dynamics, Inc. | | | economic sanction violation | 2004 | OFAC | $5,535 |
LAKESIDE COMMUNITY BANK | | | banking violation | 2006 | FDIC | $5,550 |
INTEGRITY FIRST BANK | | | banking violation | 2010 | FDIC | $5,550 |
FARMERS & MERCHANTS BANK OF KENDALL | | | banking violation | 2006 | FDIC | $5,555 |
Corporate Building Services, Inc. | | | tax violations | 2014 | CT-AG | $5,574 |
Inn at IronMasters, LLC | | | tax violations | 2016 | CT-AG | $5,588 |
Newbury Street Capital Limited Partnership | | | investor protection violation | 2011 | DC-DISB | $5,590 |
THE UNION BANK | | | banking violation | 2003 | FDIC | $5,600 |
Pace University | | | economic sanction violation | 2004 | OFAC | $5,600 |
Rich Worldwide Travel | | | economic sanction violation | 2004 | OFAC | $5,600 |
AMBANK | | | banking violation | 2010 | FDIC | $5,600 |
BANK OF MONTICELLO | | | banking violation | 2010 | FDIC | $5,600 |
Mittler & Mercaldo Investment Advisors | | | investor protection violation | 2015 | CT-SEC | $5,600 |
Amada Capital Corp. | | | tax violations | 2013 | CT-AG | $5,610 |
Beau Rivage Resorts, Inc. | MGM Resorts International | entertainment | economic sanction violation | 2004 | OFAC | $5,625 |
Leading Edge Coaching & Development, Inc. | | | tax violations | 2012 | CT-AG | $5,625 |
Boardwalk Mortgage Group, LLC | | | investor protection violation | 2008 | AR-SEC | $5,631 |
Broker Dealer Compliance Associates, LLC | | | tax violations | 2012 | CT-AG | $5,633 |
AcuPowder International, LLC | | | tax violations | 2012 | CT-AG | $5,640 |
Midland States Bank | Midland States Bancorp | financial services | banking violation | 2013 | FED | $5,645 |
Petro-America Producing Oil and Gas Wells, Inc. | | | investor protection violation | 2006 | MO-SEC | $5,652 |
Rolls-Royce Naval Marine, Inc. | Rolls-Royce | aerospace and military contracting | tax violations | 2012 | CT-AG | $5,663 |
International Business Systems, Inc. | | | tax violations | 2015 | CT-AG | $5,670 |
ADP Workscape, Inc. | | | tax violations | 2013 | CT-AG | $5,685 |
Healthy Achievers, Inc. | | | tax violations | 2013 | CT-AG | $5,685 |
Lichlyter Consulting, Inc. | | | tax violations | 2014 | CT-AG | $5,685 |
Newsela, Inc. | | | tax violations | 2016 | CT-AG | $5,685 |
Sierra Pacific Industries Corp. | Sierra Pacific Industries | building materials | tax violations | 2014 | CT-AG | $5,685 |
Rieke Italia | | | economic sanction violation | 2005 | OFAC | $5,692 |
Key-Bell Corporation | | | economic sanction violation | 2003 | OFAC | $5,697 |
AMC Diligence, LLC | | | tax violations | 2014 | CT-AG | $5,700 |
Horizon Food Equipment, Inc. | | | tax violations | 2014 | CT-AG | $5,700 |
Kaplan K12 Learning Services, LLC | Graham Holdings | media | tax violations | 2015 | CT-AG | $5,700 |
R.S. Means Company, LLC | | | tax violations | 2012 | CT-AG | $5,700 |
RedWage, LLC | | | tax violations | 2014 | CT-AG | $5,700 |
Retail Brand Alliance Card Services, LLC | | | tax violations | 2013 | CT-AG | $5,700 |
Edelman Financial Services LLC | | | investor protection violation | 2006 | IL-SEC | $5,700 |
Used Apple Store | | | investor protection violation | 2016 | NH-BSR | $5,713 |
BANK OF COWETA | | | banking violation | 2010 | FDIC | $5,720 |
American Customer Care, Inc. | | | tax violations | 2015 | CT-AG | $5,729 |
Compliance Networks, LLC | | | tax violations | 2013 | CT-AG | $5,745 |
University of California at Los Angeles | University of California | miscellaneous services | economic sanction violation | 2003 | OFAC | $5,750 |
First Financial Tax Group | | | investor protection violation | 2018 | ID-SEC | $5,750 |
Samson Energy Group, LLC | | | investor protection violation | 2015 | WA-FIN | $5,750 |
Solium Financial Services LLC | Morgan Stanley | financial services | investor protection violation | 2020 | SD-SEC | $5,750 |
WATERSTONE BANK, SSB | | | banking violation | 2010 | FDIC | $5,775 |
First Bank, Upper Michigan | | | banking violation | 2013 | FDIC | $5,790 |
Profitable Investments, Inc. | | | investor protection violation | 2005 | MD-SEC | $5,795 |
TNS North America, Inc. | | | tax violations | 2012 | CT-AG | $5,798 |
JEFFERSON BANK OF MISSOURI | | | banking violation | 2007 | FDIC | $5,800 |
First Security Bank of Owensboro, Inc. | | | banking violation | 2012 | FDIC | $5,800 |
Meeting Street Brokerage, LLC | | | investor protection violation | 2006 | CT-SEC | $5,800 |
Quality Financial Concepts | | | investor protection violation | 2003 | TN-SEC | $5,800 |
THE OLD FORT BANKING COMPANY | | | banking violation | 2012 | FDIC | $5,815 |
Newbury Street Capital | | | investor protection violation | 2011 | IL-SEC | $5,825 |
Immediate Credit Recovery, Inc. | | | tax violations | 2012 | CT-AG | $5,828 |
Bank United | | | economic sanction violation | 2003 | OFAC | $5,842 |
The Bank of New York | Bank of New York Mellon | financial services | economic sanction violation | 2005 | OFAC | $5,844 |
Evolve Securities, Inc. | | | investor protection violation | 2010 | IL-SEC | $5,860 |
SerVertis REO, LLC | | | tax violations | 2012 | CT-AG | $5,865 |
BANK OF COMMERCE, THE | | | banking violation | 2008 | FDIC | $5,900 |
BANK OF ANGUILLA | | | banking violation | 2007 | FDIC | $5,900 |
Christiania Bank | | | economic sanction violation | 2004 | OFAC | $5,900 |
Metric Equipment Sales, Inc. | | | tax violations | 2012 | CT-AG | $5,925 |
Maryland Capital Advisors, Inc. | | | investor protection violation | 2005 | MD-SEC | $5,930 |