CDS Fintech Group, LLC | | | investor protection violation | 2022 | MO-SEC | $6,033 |
Teamwork Telecom, Inc. | | | economic sanction violation | 2004 | OFAC | $6,041 |
Charles M. Schayer & Co. | | | economic sanction violation | 2004 | OFAC | $6,045 |
Tropical Racing, Inc. | | | investor protection violation | 2019 | CO-SEC | $6,049 |
Sea Bridge Projects, Inc. | | | economic sanction violation | 2005 | OFAC | $6,050 |
METRO BANK | | | banking violation | 2010 | FDIC | $6,075 |
InvestIN Securities Inc. | | | investor protection violation | 2004 | TN-SEC | $6,094 |
Community Bank CBD | | | banking violation | 2013 | FDIC | $6,100 |
FARMERS STATE BANK OF ALTO PASS, ILL | | | banking violation | 2008 | FDIC | $6,100 |
Pearson and Associates, LLC | | | investor protection violation | 2018 | CT-SEC | $6,110 |
Equitable Bank | | | banking violation | 2014 | OCC | $6,115 |
Workplace Essentials, Inc. | | | tax violations | 2016 | CT-AG | $6,116 |
Embry-Riddle Aeronautical University, Inc. | | | tax violations | 2013 | CT-AG | $6,120 |
Halcyon Days Productions Corp. | | | tax violations | 2012 | CT-AG | $6,120 |
Bucher and Christian Consulting, Inc. | | | tax violations | 2013 | CT-AG | $6,143 |
TAMPA STATE BANK, THE | | | banking violation | 2009 | FDIC | $6,150 |
Computer Integrated Services, LLC | | | tax violations | 2015 | CT-AG | $6,150 |
Earth Animal Ventures, LLC | | | tax violations | 2015 | CT-AG | $6,150 |
Taj Technologies, Inc. | | | tax violations | 2014 | CT-AG | $6,150 |
Herzog Financial Group, LLC | | | investor protection violation | 2019 | IL-SEC | $6,150 |
Kaplan State Bank | | | banking violation | 2013 | FDIC | $6,160 |
Design Investors, LLC | | | tax violations | 2012 | CT-AG | $6,173 |
Turco Golf, Inc. | | | tax violations | 2013 | CT-AG | $6,175 |
First State Bank of Decatur | | | banking violation | 2014 | FDIC | $6,200 |
Farmers & Merchants Bank of Ashland | | | banking violation | 2016 | FED | $6,200 |
SG Global S.A. and United Marine Ltd. | | | economic sanction violation | 2003 | OFAC | $6,200 |
United Marine Ltd. and SG Global S.A | | | economic sanction violation | 2003 | OFAC | $6,200 |
Verifone, Inc. | Francisco Partners | private equity (including portfolio companies) | tax violations | 2012 | CT-AG | $6,205 |
Elite Floors, Inc. | | | tax violations | 2012 | CT-AG | $6,225 |
Exel Global Logistics, Inc. | | | economic sanction violation | 2006 | OFAC | $6,226 |
Cambridge Strategies, LLC | | | tax violations | 2013 | CT-AG | $6,233 |
Commonwealth Electrical Technologies, Inc. | | | tax violations | 2013 | CT-AG | $6,240 |
Farmers Bank and Trust Company, Princeton, Kentucky | | | banking violation | 2013 | FDIC | $6,250 |
UniBank for Savings | | | banking violation | 2015 | FDIC | $6,250 |
Trustmark National Bank | Trustmark | financial services | banking violation | 2012 | OCC | $6,250 |
MID-WISCONSIN BANK | | | banking violation | 2008 | FDIC | $6,250 |
Northwest Financial Advisors, Inc. | | | investor protection violation | 2015 | AK-DBS | $6,250 |
Armor All/STP Products Co. | | | tax violations | 2013 | CT-AG | $6,270 |
Rally Software Development Corp. | | | tax violations | 2012 | CT-AG | $6,270 |
SeniorBridge Family Companies (NY), Inc. | Humana | healthcare services | tax violations | 2015 | CT-AG | $6,270 |
Services Tire Truck Center, Inc. | | | tax violations | 2013 | CT-AG | $6,285 |
Veredus Corp. | | | tax violations | 2015 | CT-AG | $6,285 |
ELDERTON STATE BANK | | | banking violation | 2004 | FDIC | $6,300 |
THE HALSTEAD BANK | | | banking violation | 2003 | FDIC | $6,300 |
Martinair Holland N.V. dba Martinair USA | | | economic sanction violation | 2005 | OFAC | $6,300 |
Park Bank | | | banking violation | 2017 | FDIC | $6,300 |
American Cybersystems, Inc. | | | tax violations | 2015 | CT-AG | $6,300 |
AQS, Inc. | | | tax violations | 2015 | CT-AG | $6,300 |
HireGenics, Inc. | | | tax violations | 2015 | CT-AG | $6,300 |
Hurst Review Services, Inc. | | | tax violations | 2016 | CT-AG | $6,300 |
Sandvik Medical Solutions Oregon, Inc. | | | tax violations | 2013 | CT-AG | $6,315 |
IXTLAN Corporation | | | economic sanction violation | 2006 | OFAC | $6,322 |
Hess Express | | | tax violations | 2005 | NY-AG | $6,329 |
MIDWEST COMMUNITY BANK | | | banking violation | 2006 | FDIC | $6,335 |
Research Capital, LLC | | | investor protection violation | 2003 | SEC | $6,337 |
JRS Investments and Wealth Preservation, LLC | | | investor protection violation | 2015 | WA-FIN | $6,346 |
Vlad Investments, LLC | | | investor protection violation | 2011 | WA-FIN | $6,350 |
Physician Finders, LLC | | | tax violations | 2013 | CT-AG | $6,360 |
Jasper Banking Company | | | banking violation | 2012 | FDIC | $6,380 |
Wellington Sales & Installation Co., Inc. | | | tax violations | 2012 | CT-AG | $6,390 |
Centennial Bank | | | banking violation | 2014 | FED | $6,395 |
FIRST COMMUNITY BANK, MISSOURI, | | | banking violation | 2002 | FDIC | $6,400 |
FIRST MADISON VALLEY BANK | | | banking violation | 2011 | FDIC | $6,400 |
Axalta Powder Coating Systems, USA, Inc. | Axalta Coating Systems | paints and coatings | tax violations | 2014 | CT-AG | $6,428 |
Stuart Amusement Co. | | | tax violations | 2012 | CT-AG | $6,435 |
Banca Commerciale Italiana | | | economic sanction violation | 2004 | OFAC | $6,450 |
Kehe Distributors of Connecticut, LLC | | | tax violations | 2016 | CT-AG | $6,450 |
WAUWATOSA SAVINGS BANK | | | banking violation | 2008 | FDIC | $6,475 |
Barrett & Worthen, Inc. | | | tax violations | 2014 | CT-AG | $6,480 |
MUTUAL BANK | | | banking violation | 2009 | FDIC | $6,500 |
GULF COAST BANK | | | banking violation | 2007 | FDIC | $6,500 |
Shinnecock Smoke Shop | | | economic sanction violation | 2004 | OFAC | $6,500 |
Citizens Bank & Trust Company | | | banking violation | 2017 | FDIC | $6,500 |
MIDTOWN BANK & TRUST COMPANY | | | banking violation | 2011 | FDIC | $6,500 |
FIRST BANK OF COASTAL GEORGIA | | | banking violation | 2011 | FDIC | $6,500 |
St. Bernard Financial Services, Inc. | | | investor protection violation | 2010 | AR-SEC | $6,500 |
RSC Adventures, LLC | | | investor protection violation | 2013 | AZ-CC | $6,500 |
Stirling Capital Management | | | investor protection violation | 2014 | CA-DFPI | $6,500 |
Cambridge Investment Research, Inc. | | | investor protection violation | 2012 | MS-SEC | $6,500 |
R.M. Neilio & Associates Fiscal Advisors | | | investor protection violation | 2015 | NH-BSR | $6,500 |
BELLA BALLERINA FRANCHISING | | | investor protection violation | 2018 | VA-SEC | $6,500 |
Moore Wealth Management, L.L.C. | | | investor protection violation | 2018 | WA-FIN | $6,500 |
EJZ Investments, LLC | | | investor protection violation | 2014 | WA-FIN | $6,500 |
Ra Ghala Corporation, AuJeune Corporation | | | investor protection violation | 2013 | WA-FIN | $6,500 |
Statewide Escrow | | | investor protection violation | 2003 | WA-FIN | $6,500 |
Solium Financial Services LLC | Morgan Stanley | financial services | investor protection violation | 2020 | NM-SEC | $6,500 |
Solium Financial Services LLC | Morgan Stanley | financial services | investor protection violation | 2020 | RI-FIN | $6,500 |
Nebraska State Bank | | | banking violation | 2021 | FDIC | $6,500 |
Safe Harbor Retirement Planners | | | investor protection violation | 2022 | DE-SEC | $6,500 |
Penrod Financial Services, Inc. | | | investor protection violation | 2023 | TX-SEC | $6,500 |
Telcentris, Inc. | | | investor protection violation | 2022 | NV-SEC | $6,500 |
Compass Capital Advisors L.L.C. | | | investor protection violation | 2023 | WA-SEC | $6,500 |
COMMUNITY BUSINESS BANK | | | banking violation | 2011 | FDIC | $6,545 |
Kinetics Mutual Funds Inc. | | | investor protection violation | 2002 | NE-DBF | $6,547 |
Eni Petroleum Co. Inc. | ENI | oil and gas | economic sanction violation | 2008 | OFAC | $6,562 |
Superior Design International, Inc. | | | tax violations | 2012 | CT-AG | $6,563 |
WEALTH PLANNING & MANAGEMENT, LLC | | | investor protection violation | 2023 | IN-SEC | $6,568 |
Hiab USA Inc. | | | tax violations | 2016 | CT-AG | $6,570 |
M.S. Walker, Inc. | | | tax violations | 2014 | CT-AG | $6,570 |
Seattle Specialty Insurance Services, Inc. | | | tax violations | 2014 | CT-AG | $6,570 |
U.S. Water Services, Inc. | | | tax violations | 2015 | CT-AG | $6,570 |