| Clearleaf Finance, LLC | | | investor protection violation | 2021 | KY-FIN | $5,000 |
| Aptus Financial, LLC | | | investor protection violation | 2021 | PA-BKG | $5,000 |
| Paul Winkler, Inc. | | | investor protection violation | 2021 | TX-SEC | $5,000 |
| Capital Management Associates LLC | | | investor protection violation | 2021 | WA-SEC | $5,000 |
| Perfectly Posh, LLC | | | investor protection violation | 2021 | MT-FIN | $5,000 |
| Norwex USA, Inc. | | | investor protection violation | 2021 | MT-FIN | $5,000 |
| Williams Wealth Management, LLC | | | investor protection violation | 2021 | NH-BSR | $5,000 |
| 4Rivers Wealth Management, LLC | | | investor protection violation | 2021 | PA-BKG | $5,000 |
| SS Accounting and Auditing Inc. | | | accounting fraud or deficiencies | 2021 | PCAOB | $5,000 |
| Basic Wealth Advisors, Inc. | | | investor protection violation | 2021 | SC-SEC | $5,000 |
| NYPPEX, LLC | | | investor protection violation | 2021 | MD-SEC | $5,000 |
| Lasting Connections, LLC et al. | | | investor protection violation | 2021 | OR-FIN | $5,000 |
| Jemma Investment Advisors, LLC dba Jemma Financial Services | | | investor protection violation | 2022 | PA-BKG | $5,000 |
| Kaboom USA, LLC and SKEARCH, LLC | | | investor protection violation | 2021 | WI-FIN | $5,000 |
| East Fork Energy Partners, Inc. | | | investor protection violation | 2022 | KY-FIN | $5,000 |
| Women of Substance LLC | | | investor protection violation | 2022 | PA-BKG | $5,000 |
| Wealth Protection Group, LLC | | | investor protection violation | 2022 | SD-SEC | $5,000 |
| Servant Wealth Management, LLC | | | investor protection violation | 2022 | TN-SEC | $5,000 |
| R2 Advisors, P.C. and M2 Advisors, Inc. | | | investor protection violation | 2022 | VA-SEC | $5,000 |
| Yale Partners, LLC | | | investor protection violation | 2022 | WA-SEC | $5,000 |
| Aldwych Securities LLC | | | investor protection violation | 2022 | CT-SEC | $5,000 |
| Jero Worldwide, Inc. | | | investor protection violation | 2021 | IL-SEC | $5,000 |
| Sapphire Wealth Planning LLC | | | investor protection violation | 2022 | MO-SEC | $5,000 |
| Proactive Money Management, Inc. | | | investor protection violation | 2022 | MO-SEC | $5,000 |
| Olive Tree Ridge Investment Advisors LLC | | | investor protection violation | 2022 | CT-SEC | $5,000 |
| Planner Securities LLC | | | investor protection violation | 2022 | NE-DBF | $5,000 |
| Alpha Financial Planning, Inc. | | | investor protection violation | 2022 | PA-BKG | $5,000 |
| United Pentecostal Church Developemnt Fund, Inc., dba United Pentecostal Church Loan Fund | | | investor protection violation | 2022 | TN-SEC | $5,000 |
| Constructis, LLC and Constructis Group, Inc. and Constructis Energy, LLC | | | investor protection violation | 2023 | SC-SEC | $5,000 |
| Onpoint Financial Management, LLC fka Onpoint Financial Retirement, LLC | | | investor protection violation | 2022 | VA-SEC | $5,000 |
| CW Petroleum Corp. | | | investor protection violation | 2023 | SEC | $5,000 |
| Atwood Consortium LLC | | | investor protection violation | 2023 | CA-DFPI | $5,000 |
| USA Financial Securities Corporation | | | investor protection violation | 2023 | ME-SEC | $5,000 |
| VAILSHIRE CAPITAL MANAGEMENT, LLC | | | investor protection violation | 2023 | FL-OFR | $5,000 |
| Wells Fargo Clearing Services LLC | Wells Fargo | financial services | investor protection violation | 2023 | ME-SEC | $5,000 |
| Avantax Investment Services Inc | | | investor protection violation | 2023 | ME-SEC | $5,000 |
| United Planners' Financial Services of America A Limited Partner | | | investor protection violation | 2023 | ME-SEC | $5,000 |
| Fortune Financial Services Inc. | | | investor protection violation | 2023 | ME-SEC | $5,000 |
| Morgan Stanley Smith Barney LLC | Morgan Stanley | financial services | investor protection violation | 2023 | ME-SEC | $5,000 |
| Equitas Capital Advisors, LLC | | | investor protection violation | 2023 | VA-SEC | $5,000 |
| Northwestern Mutual Investment Services LLC | Northwestern Mutual | financial services | investor protection violation | 2024 | ME-SEC | $5,000 |
| Robert W. Baird & Co. Incorporated | | | investor protection violation | 2024 | ME-SEC | $5,000 |
| Sovereign Legacy Securities, Inc. | | | investor protection violation | 2024 | OR-FIN | $5,000 |
| Wolff Asset Management, LLC | | | investor protection violation | 2023 | PA-BKG | $5,000 |
| Robbins Capital Management, Inc. | | | investor protection violation | 2024 | TN-SEC | $5,000 |
| Keybank National Association | KeyCorp | financial services | banking violation | 2015 | OCC | $5,005 |
| WEST POINTE BANK | | | banking violation | 2010 | FDIC | $5,005 |
| STATE BANK OF SPEER | | | banking violation | 2010 | FDIC | $5,005 |
| PremierBank | | | banking violation | 2013 | FDIC | $5,020 |
| Boomerang Capital, LLC | | | investor protection violation | 2020 | CT-BKG | $5,020 |
| Audiovox, Inc. | | | economic sanction violation | 2005 | OFAC | $5,038 |
| IRR Residential, LLC | | | tax violations | 2012 | CT-AG | $5,040 |
| Romano Brothers and Company | | | investor protection violation | 2018 | CT-SEC | $5,040 |
| American Express Bank Ltd. | American Express | financial services | economic sanction violation | 2004 | OFAC | $5,041 |
| FOX RIVER STATE BANK | | | banking violation | 2011 | FDIC | $5,050 |
| Church of God Foundation Inc. | | | investor protection violation | 2012 | TN-SEC | $5,050 |
| Environ-Chem Inc. | | | investor protection violation | 2020 | MN-FIN | $5,067 |
| Advicent Solutions, Inc. | | | tax violations | 2015 | CT-AG | $5,070 |
| Durr Mechanical Construction, Inc. | | | tax violations | 2015 | CT-AG | $5,070 |
| Hanley & Associates, LLC | | | investor protection violation | 2018 | CT-SEC | $5,075 |
| Amec Aes, Inc. | | | tax violations | 2014 | CT-AG | $5,085 |
| AWR Corp. | | | tax violations | 2012 | CT-AG | $5,085 |
| Doctor on Demand, Inc. | | | tax violations | 2016 | CT-AG | $5,085 |
| JNR Adjustment Company, Inc. | | | tax violations | 2016 | CT-AG | $5,085 |
| NextGen Telecom Services Group, Inc. | | | tax violations | 2012 | CT-AG | $5,085 |
| Paradysz, Inc. | | | tax violations | 2013 | CT-AG | $5,085 |
| Pivot Medical, Inc. | | | tax violations | 2013 | CT-AG | $5,085 |
| Zirtual, Inc. | | | tax violations | 2015 | CT-AG | $5,085 |
| DMB COMMUNITY BANK | | | banking violation | 2007 | FDIC | $5,100 |
| Anderson Merchandisers, LLC | | | tax violations | 2016 | CT-AG | $5,100 |
| Bedford, Freeman & Worth Publishing Group, LLC | | | tax violations | 2013 | CT-AG | $5,100 |
| Pharmerica Professional Services, LLC | KKR & Co. | private equity (including portfolio companies) | tax violations | 2016 | CT-AG | $5,100 |
| International Blind Contractors, Ltd. | | | tax violations | 2012 | CT-AG | $5,111 |
| CGIT Systems, Inc. | AZZ Inc. | electrical and electronic equipment | tax violations | 2012 | CT-AG | $5,115 |
| Schneider Optical Machines, Inc. | | | tax violations | 2013 | CT-AG | $5,130 |
| Wireless Worldwide Connections, LLC, IX | | | investor protection violation | 2006 | MN-FIN | $5,130 |
| SDV (USA), Inc. | | | economic sanction violation | 2004 | OFAC | $5,143 |
| WESTERN STATE BANK, THE | | | banking violation | 2008 | FDIC | $5,150 |
| ADVANTAGE COMMUNITY BANK | | | banking violation | 2007 | FDIC | $5,150 |
| ENTERPRISE BANK | | | banking violation | 2002 | FDIC | $5,150 |
| Franklin Savings Bank | | | banking violation | 2011 | FED | $5,160 |
| IO Intergration, Inc. | | | tax violations | 2013 | CT-AG | $5,160 |
| Rockingham Capital Advisors LLC | | | investor protection violation | 2016 | CT-SEC | $5,160 |
| Shields Capital Corporation | | | investor protection violation | 2010 | NE-DBF | $5,180 |
| A & A Drug Co. | | | tax violations | 2012 | CT-AG | $5,182 |
| Investors Capital Management, Inc. | | | tax violations | 2013 | CT-AG | $5,190 |
| Stiles Machinery, Inc. | | | tax violations | 2012 | CT-AG | $5,190 |
| BUSEY BANK | First Busey Corp. | financial services | banking violation | 2006 | FDIC | $5,200 |
| MIDWESTONE BANK | | | banking violation | 2005 | FDIC | $5,200 |
| EXCHANGE BANK | | | banking violation | 2011 | FDIC | $5,200 |
| MIDWESTONE BANK | | | banking violation | 2005 | FDIC | $5,200 |
| Advisors Management Group, Inc. | | | investor protection violation | 2005 | IL-SEC | $5,200 |
| Xerox (UK) Limited | Xerox | miscellaneous services | economic sanction violation | 2004 | OFAC | $5,207 |
| Aetna Life Insurance Company | CVS Health | retailing | economic sanction violation | 2008 | OFAC | $5,210 |
| Management Network Group, Inc. | | | tax violations | 2012 | CT-AG | $5,220 |
| Divine Capital Markets, LLC | | | investor protection violation | 2006 | AL-SEC | $5,241 |
| City National Bank | Royal Bank of Canada | financial services | banking violation | 2010 | OCC | $5,250 |
| BANK OF MAUSTON | | | banking violation | 2008 | FDIC | $5,250 |
| Community State Bank | | | banking violation | 2003 | FED | $5,250 |
| Magic USA Tours, Inc. | | | economic sanction violation | 2008 | OFAC | $5,250 |
| Cortrust Bank National Association | | | banking violation | 2004 | OCC | $5,250 |
