| RCM Securities a/k/a SNC Capital Management Corporation | | | investor protection violation | 2019 | PA-BKG | $5,000 |
| Lincoln Financial Advisors Corp. | Lincoln National | financial services | investor protection violation | 2007 | RI-FIN | $5,000 |
| Hannah Street Consulting Inc. | | | investor protection violation | 2008 | RI-FIN | $5,000 |
| Decision Sciences Corporation | | | investor protection violation | 2009 | SC-SEC | $5,000 |
| Sanco Services Inc. | | | investor protection violation | 2011 | SC-SEC | $5,000 |
| Cannon Operating Company LLC | | | investor protection violation | 2015 | SC-SEC | $5,000 |
| Renaissance Laser LP | | | investor protection violation | 2015 | SC-SEC | $5,000 |
| Cashbox Magazine Inc. | | | investor protection violation | 2015 | SC-SEC | $5,000 |
| Komak Investments LLC | | | investor protection violation | 2015 | SC-SEC | $5,000 |
| Clem Investments | | | investor protection violation | 2018 | SD-INS | $5,000 |
| Quadra Pay Inc. and Quadra Pay Land LLC | | | investor protection violation | 2009 | TN-SEC | $5,000 |
| Keblo Energy LLC | | | investor protection violation | 2013 | TN-SEC | $5,000 |
| The Home Email Business Corp. | | | investor protection violation | 2016 | TN-SEC | $5,000 |
| Beasley & Company | | | investor protection violation | 2017 | TN-SEC | $5,000 |
| Fieldstone Financial Partners LLC | | | investor protection violation | 2017 | TN-SEC | $5,000 |
| Wealth Investors LLC | | | investor protection violation | 2017 | TN-SEC | $5,000 |
| Spectrum Financial Advisors LLC | | | investor protection violation | 2019 | TN-SEC | $5,000 |
| Woodlands Securities Corporation | | | investor protection violation | 2001 | TX-SEC | $5,000 |
| Willingham Asset Management Inc. | | | investor protection violation | 2003 | TX-SEC | $5,000 |
| Laradorbecker Securities Corporation | | | investor protection violation | 2003 | TX-SEC | $5,000 |
| Premier Group Inc. | | | investor protection violation | 2003 | TX-SEC | $5,000 |
| Top of Texas Financial Strategies Inc. | | | investor protection violation | 2003 | TX-SEC | $5,000 |
| Prospera Financial Services Inc. | | | investor protection violation | 2006 | TX-SEC | $5,000 |
| Southwest Texas Capital L.L.C. | | | investor protection violation | 2006 | TX-SEC | $5,000 |
| Sundial Capital Management L.P. | | | investor protection violation | 2006 | TX-SEC | $5,000 |
| Gamboa Capital Management Inc. | | | investor protection violation | 2007 | TX-SEC | $5,000 |
| International Wealth Management Inc. | | | investor protection violation | 2008 | TX-SEC | $5,000 |
| A.G. Edwards & Sons Inc. | Wells Fargo | financial services | investor protection violation | 2008 | TX-SEC | $5,000 |
| LPL Financial Corporation | LPL Financial | financial services | investor protection violation | 2008 | TX-SEC | $5,000 |
| Dorothy of OZ LLC dba Box Office Productions III, LLC | | | investor protection violation | 2009 | TX-SEC | $5,000 |
| Navigant Advisors LLC | | | investor protection violation | 2010 | TX-SEC | $5,000 |
| Sarker Investments LLC | | | investor protection violation | 2010 | TX-SEC | $5,000 |
| Warner Financial Group Inc. | | | investor protection violation | 2013 | TX-SEC | $5,000 |
| Fuller Capital Management | | | investor protection violation | 2016 | TX-SEC | $5,000 |
| Rubicon Investment Management & Analytics LLC | | | investor protection violation | 2016 | TX-SEC | $5,000 |
| PTI Securities & Futures L.P. | | | investor protection violation | 2017 | TX-SEC | $5,000 |
| Grove Capital Management Inc. | | | investor protection violation | 2019 | TX-SEC | $5,000 |
| Frugal Financial Retirement Planning Services, LLC | | | investor protection violation | 2019 | TX-SEC | $5,000 |
| Challenger Wealth Management | | | investor protection violation | 2020 | TX-SEC | $5,000 |
| 21ST. CENTURY TECHNOLOGIES FUNDING | | | investor protection violation | 2001 | VA-SEC | $5,000 |
| 21ST. CENTURY TECHNOLOGIES LLC | | | investor protection violation | 2001 | VA-SEC | $5,000 |
| ADVANTAGE REAL ESTATE MANAGEMENT LLC | | | investor protection violation | 2001 | VA-SEC | $5,000 |
| BRIGHT COVE SECURITIES INC. | | | investor protection violation | 2001 | VA-SEC | $5,000 |
| ADVANTAGE REAL ESTATE LPS | | | investor protection violation | 2001 | VA-SEC | $5,000 |
| CORNERSTONE MINISTRIES | | | investor protection violation | 2007 | VA-SEC | $5,000 |
| Wealth Matters, Inc. | | | investor protection violation | 2009 | VA-SEC | $5,000 |
| TECSEC, INC. | | | investor protection violation | 2011 | VA-SEC | $5,000 |
| URBAN BAR-B-QUE COMPANY | | | investor protection violation | 2014 | VA-SEC | $5,000 |
| Sherri's Fun Foods, Inc. d/b/a Sherri's Crab Cakes | | | investor protection violation | 2015 | VA-SEC | $5,000 |
| BLUE LIGHTNING ENTERPRISES INC. | | | investor protection violation | 2015 | VA-SEC | $5,000 |
| PAWS & REMEMBER LLC | | | investor protection violation | 2017 | VA-SEC | $5,000 |
| AMAZING FINISH, LLC | | | investor protection violation | 2017 | VA-SEC | $5,000 |
| BRIDGETOWN FRAGRANCES, INC. | | | investor protection violation | 2017 | VA-SEC | $5,000 |
| SNC Capital Management Corporation d/b/a RCM Securities | | | investor protection violation | 2020 | VA-SEC | $5,000 |
| Next Financial Group, Inc. | Atria Wealth Solutions | financial services | investor protection violation | 2020 | VA-SEC | $5,000 |
| Masters United 12 LLC et al. | | | investor protection violation | 2018 | WA-FIN | $5,000 |
| Saves, Inc. | | | investor protection violation | 2015 | WA-FIN | $5,000 |
| Pioneer Property Group, LLC and Queen's Court Building, LLC | | | investor protection violation | 2010 | WA-FIN | $5,000 |
| Energy Automation Systems, Inc. | | | investor protection violation | 2010 | WA-FIN | $5,000 |
| James F. Reitan CFP LLC | | | investor protection violation | 2008 | WA-FIN | $5,000 |
| Wortham Oil & Gas Enterprises, LLC | | | investor protection violation | 2008 | WA-FIN | $5,000 |
| Wortham Oil & Gas | | | investor protection violation | 2008 | WA-FIN | $5,000 |
| WOGE/WOG Ellison Well #1 Joint Venture | | | investor protection violation | 2008 | WA-FIN | $5,000 |
| CMHCEH, LLC | | | investor protection violation | 2008 | WA-FIN | $5,000 |
| Chum Chum Game Company | | | investor protection violation | 2007 | WA-FIN | $5,000 |
| Chesterfield Mortgage Investors, Inc. | | | investor protection violation | 2007 | WA-FIN | $5,000 |
| Great Plains Financial, LLC | | | investor protection violation | 2007 | WA-FIN | $5,000 |
| American Fiber Green Products, Inc. | | | investor protection violation | 2008 | WA-FIN | $5,000 |
| Ensentech, Inc. and Hydro-Clean Fuel Systems, Inc. | | | investor protection violation | 2006 | WA-FIN | $5,000 |
| Pacific Coast Investment Company | | | investor protection violation | 2005 | WA-FIN | $5,000 |
| Newcastle Escrow Corporation | | | investor protection violation | 2005 | WA-FIN | $5,000 |
| Lilac City Closing & Escrow LLC | | | investor protection violation | 2004 | WA-FIN | $5,000 |
| Success Concepts Enterprises, Inc. and World Business Consultants, Inc. | | | investor protection violation | 2003 | WA-FIN | $5,000 |
| Preferred Funding, Inc. | | | investor protection violation | 2001 | WA-FIN | $5,000 |
| Dreambuilder Investments, LLC | | | investor protection violation | 2019 | WI-FIN | $5,000 |
| The Prudential Investment Portfolios, Inc. | | | investor protection violation | 2007 | WI-FIN | $5,000 |
| Randomwalk Innovations, LLC | | | investor protection violation | 2020 | SC-SEC | $5,000 |
| Bright Light Capital Advisor, Inc. | | | investor protection violation | 2020 | CA-DFPI | $5,000 |
| Benzer Franchising, LLC | | | investor protection violation | 2020 | CA-DFPI | $5,000 |
| Sportball Systems USA, LLC | | | investor protection violation | 2020 | CA-DFPI | $5,000 |
| The Hansbury Group, LLC | | | investor protection violation | 2020 | CT-BKG | $5,000 |
| Quint Wealth Management, Inc. | | | investor protection violation | 2020 | CT-BKG | $5,000 |
| Wealth Management of Kentucky Inc. | | | investor protection violation | 2020 | KY-FIN | $5,000 |
| Kelcas Corporation et al. | | | investor protection violation | 2020 | KY-FIN | $5,000 |
| DMK Advisor Group, Inc. | | | investor protection violation | 2020 | MO-SEC | $5,000 |
| DAI Securities LLC | | | investor protection violation | 2020 | NH-BSR | $5,000 |
| AEI Net Lease Portfolio XIII DST | | | investor protection violation | 2020 | NH-BSR | $5,000 |
| Signal Capital Management LLC | | | investor protection violation | 2020 | WA-SEC | $5,000 |
| Tactical Wealth Management LLC | | | investor protection violation | 2020 | KY-FIN | $5,000 |
| E*Trade Securities LLC | Morgan Stanley | financial services | investor protection violation | 2021 | NH-BSR | $5,000 |
| Advantage Capital Corporation | | | investor protection violation | 2009 | FINRA | $5,000 |
| Financial West Group | | | investor protection violation | 2009 | FINRA | $5,000 |
| The Hansbury Group, LLC | | | investor protection violation | 2020 | CT-SEC | $5,000 |
| Quint Wealth Management, Inc. | | | investor protection violation | 2020 | CT-SEC | $5,000 |
| Region Home Buyers, LLC | | | investor protection violation | 2021 | IN-SEC | $5,000 |
| MS Chamberlain Partners, Inc. et al. | | | investor protection violation | 2021 | NJ-BOS | $5,000 |
| Cunningham Energy, LLC | | | investor protection violation | 2021 | SC-SEC | $5,000 |
| Greenway Capital Management, LLC | | | investor protection violation | 2021 | TN-SEC | $5,000 |
| Lasting Connections, LLC | | | investor protection violation | 2021 | WA-SEC | $5,000 |
| Haywood Securities (USA) Inc. | | | investor protection violation | 2021 | AL-SEC | $5,000 |
| Clearleaf Finance, LLC | | | investor protection violation | 2021 | KY-FIN | $5,000 |
