| ASI Capital, LLC et al. | | | investor protection violation | 2020 | MI-SEC | $5,000 |
| FSC Securities Corp. | | | investor protection violation | 2000 | MN-FIN | $5,000 |
| American Express Financial Advisors, Inc. | Ameriprise Financial | financial services | investor protection violation | 2002 | MN-FIN | $5,000 |
| CGF Securities, LLC | | | investor protection violation | 2003 | MN-FIN | $5,000 |
| Thomas G. Grace Advisors | | | investor protection violation | 2008 | MN-FIN | $5,000 |
| Cherokee Gas Systems, Inc. | | | investor protection violation | 2009 | MN-FIN | $5,000 |
| ING Financial Partners, Inc. | Voya Financial | financial services | investor protection violation | 2012 | MN-FIN | $5,000 |
| Revelle Resources, Inc. | | | investor protection violation | 2012 | MN-FIN | $5,000 |
| Strive Financial Group LLC and Wealth Security Firm LLC | | | investor protection violation | 2013 | MN-FIN | $5,000 |
| Life Organic Holdings, Inc. | | | investor protection violation | 2017 | MN-FIN | $5,000 |
| Bakken Workforce Housing, L.L.C. | | | investor protection violation | 2017 | MN-FIN | $5,000 |
| American Blast Systems, Inc. | | | investor protection violation | 2017 | MN-FIN | $5,000 |
| Vertical Securities, LLC and Vertical Group, LLC | | | investor protection violation | 2005 | MO-SEC | $5,000 |
| R.M. Duncan Securities, Inc. | | | investor protection violation | 2005 | MO-SEC | $5,000 |
| Easterday Exploration, Inc. | | | investor protection violation | 2006 | MO-SEC | $5,000 |
| Omni Media & Entertainment, Inc. | | | investor protection violation | 2006 | MO-SEC | $5,000 |
| Robert Olsen, P.C. | | | investor protection violation | 2007 | MO-SEC | $5,000 |
| Strand, Atkinson, Williams & York, Inc. | | | investor protection violation | 2007 | MO-SEC | $5,000 |
| Aisle 411, Inc. | | | investor protection violation | 2009 | MO-SEC | $5,000 |
| Boulder Wealth Management, LLC | | | investor protection violation | 2010 | MO-SEC | $5,000 |
| MFA Incorporated | | | investor protection violation | 2011 | MO-SEC | $5,000 |
| Capital Management Services, Inc. | | | investor protection violation | 2011 | MO-SEC | $5,000 |
| Berthel Fisher & Company Financial Services, Inc. | Berthel Fisher | financial services | investor protection violation | 2011 | MO-SEC | $5,000 |
| Guidepost Financial Limited Liability Company | | | investor protection violation | 2011 | MO-SEC | $5,000 |
| Blackbay Capital Advisors | | | investor protection violation | 2012 | MO-SEC | $5,000 |
| Valuepoint Partners, Inc. | | | investor protection violation | 2012 | MO-SEC | $5,000 |
| WealthCare, LLC | | | investor protection violation | 2016 | MO-SEC | $5,000 |
| Personal Financial Group | | | investor protection violation | 2017 | MO-SEC | $5,000 |
| Williamson Poultry Farms, Inc. | | | investor protection violation | 2002 | MS-SEC | $5,000 |
| American Wealth Management, Inc. | | | investor protection violation | 2017 | MS-SEC | $5,000 |
| MDM Energy | | | investor protection violation | 2007 | MT-FIN | $5,000 |
| Royal Alliance Associates, Inc. | Reverence Capital Partners | private equity (including portfolio companies) | investor protection violation | 2007 | MT-FIN | $5,000 |
| Rothschild Investment Corp. | | | investor protection violation | 2008 | MT-FIN | $5,000 |
| NEXT Financial Group, Inc. | Atria Wealth Solutions | financial services | investor protection violation | 2010 | MT-FIN | $5,000 |
| Loveless Wealth management, LLC | | | investor protection violation | 2011 | MT-FIN | $5,000 |
| Metlife Investors USA Insurance Co | MetLife | financial services | investor protection violation | 2012 | MT-FIN | $5,000 |
| Delano & Morgenroth Investment Advisors, LLC | | | investor protection violation | 2013 | MT-FIN | $5,000 |
| Close to My Heart, Inc. | | | investor protection violation | 2014 | MT-FIN | $5,000 |
| Kannaway, LLC | | | investor protection violation | 2014 | MT-FIN | $5,000 |
| Seacret Direct, LLC | | | investor protection violation | 2014 | MT-FIN | $5,000 |
| Nutrie, LLC | | | investor protection violation | 2014 | MT-FIN | $5,000 |
| Lawson Financial Corp. | | | investor protection violation | 2015 | MT-FIN | $5,000 |
| Halen Capital | | | investor protection violation | 2017 | MT-FIN | $5,000 |
| The Source | | | investor protection violation | 2020 | NC-SEC | $5,000 |
| Baxter, Banks & Smith Ltd. | | | investor protection violation | 2000 | ND-SEC | $5,000 |
| Bison Capital Inc. | | | investor protection violation | 2001 | ND-SEC | $5,000 |
| BrokerageAmerica Inc. | | | investor protection violation | 2001 | ND-SEC | $5,000 |
| MDVIP Inc. | | | investor protection violation | 2003 | ND-SEC | $5,000 |
| CGF Securities LLC | | | investor protection violation | 2003 | ND-SEC | $5,000 |
| D & M Capital, LLC and Associated Financial Services, Inc. | | | investor protection violation | 2004 | ND-SEC | $5,000 |
| Third Ridge Capital LP | | | investor protection violation | 2005 | ND-SEC | $5,000 |
| Berthel, Fisher & Company Financial Services, Inc. | Berthel Fisher | financial services | investor protection violation | 2007 | NE-DBF | $5,000 |
| III to I Emerging Market Partners Real Estate Investment Fund I, LP | | | investor protection violation | 2013 | NH-BSR | $5,000 |
| III to I Maritime Partners Cayman I, L.P. | | | investor protection violation | 2013 | NH-BSR | $5,000 |
| ACL Alternative Fund Limited | | | investor protection violation | 2013 | NH-BSR | $5,000 |
| Johnston Capital Partners Fund I L.P. | | | investor protection violation | 2013 | NH-BSR | $5,000 |
| Halliday Financial | | | investor protection violation | 2015 | NH-BSR | $5,000 |
| Profile Club Inc. | | | investor protection violation | 2015 | NH-BSR | $5,000 |
| Blackbook Capital, LLC | | | investor protection violation | 2016 | NH-BSR | $5,000 |
| Hanover Consumer Cooperative Society, Inc. | | | investor protection violation | 2016 | NH-BSR | $5,000 |
| Richard A. Norkun & Associates, LLC | | | investor protection violation | 2017 | NH-BSR | $5,000 |
| Alternative Asset Management Securities, LLC | | | investor protection violation | 2017 | NH-BSR | $5,000 |
| Windsor Street Capital, LP | | | investor protection violation | 2018 | NH-BSR | $5,000 |
| Renaissance Institutional Management | | | investor protection violation | 2018 | NH-BSR | $5,000 |
| Alight Financial Solutions, LLC | | | investor protection violation | 2019 | NH-BSR | $5,000 |
| White Birch Brewing LLC | | | investor protection violation | 2020 | NH-BSR | $5,000 |
| Chinese American Bank | | | banking violation | 2004 | NY-DFS | $5,000 |
| T.S. Phillips Investment Inc. | | | investor protection violation | 2010 | OK-SEC | $5,000 |
| RAF Operating LLC | | | investor protection violation | 2013 | OK-SEC | $5,000 |
| Pentecost Capital Management Inc. | | | investor protection violation | 2015 | OK-SEC | $5,000 |
| E.J. Sterling LLC | | | investor protection violation | 2015 | OK-SEC | $5,000 |
| Wilshire-Pennington Group Inc. | | | investor protection violation | 2019 | OK-SEC | $5,000 |
| American Family Legacy Group LLC | | | investor protection violation | 2019 | OK-SEC | $5,000 |
| Laser Vision Technologies Inc. | | | investor protection violation | 2000 | OR-FIN | $5,000 |
| Prosper Trust | | | investor protection violation | 2000 | OR-FIN | $5,000 |
| Energy Group International Inc. | | | investor protection violation | 2001 | OR-FIN | $5,000 |
| DR Thaut Inc. dba First Security Financial | | | investor protection violation | 2003 | OR-FIN | $5,000 |
| First Liberty Financial | | | investor protection violation | 2005 | OR-FIN | $5,000 |
| Eurotrust LLC | | | banking violation | 2006 | OR-FIN | $5,000 |
| Gigapix Studios Inc. | | | investor protection violation | 2008 | OR-FIN | $5,000 |
| Treasure Heart Financial Counseling | | | investor protection violation | 2011 | OR-FIN | $5,000 |
| Cutler Investment Counsel, LLC | | | investor protection violation | 2011 | OR-FIN | $5,000 |
| Eljay Investment Company | | | investor protection violation | 2012 | OR-FIN | $5,000 |
| Castle Advisers, LLC | | | investor protection violation | 2012 | OR-FIN | $5,000 |
| Freeman Capital Management, LLC | | | investor protection violation | 2012 | OR-FIN | $5,000 |
| Lincoln Highlands Limited Partnership | | | investor protection violation | 2012 | OR-FIN | $5,000 |
| Catalyst Financial Resources, LLC | | | investor protection violation | 2013 | OR-FIN | $5,000 |
| Avalon Investment & Securities Group, Inc. | | | investor protection violation | 2013 | OR-FIN | $5,000 |
| Smith Rock Race Group, LLC | | | investor protection violation | 2014 | OR-FIN | $5,000 |
| Thorne Trading & Investment Management | | | investor protection violation | 2014 | OR-FIN | $5,000 |
| Business Development Corporation of America | | | investor protection violation | 2016 | OR-FIN | $5,000 |
| CW Group LLC | | | investor protection violation | 2019 | OR-FIN | $5,000 |
| McGervey Wealth Management LLC | | | investor protection violation | 2013 | PA-BKG | $5,000 |
| Bryan Funding Inc. | | | investor protection violation | 2016 | PA-BKG | $5,000 |
| Cobble Creek Group LLC | | | investor protection violation | 2016 | PA-BKG | $5,000 |
| Elish & Elish Inc. | | | investor protection violation | 2017 | PA-BKG | $5,000 |
| A. Neff Associates | | | investor protection violation | 2017 | PA-BKG | $5,000 |
| GJO Financial | | | investor protection violation | 2017 | PA-BKG | $5,000 |
| Apollo18 LLC | | | investor protection violation | 2018 | PA-BKG | $5,000 |
| Iron Valley Wealth Management LLC | | | investor protection violation | 2019 | PA-BKG | $5,000 |
| RCM Securities a/k/a SNC Capital Management Corporation | | | investor protection violation | 2019 | PA-BKG | $5,000 |
