| Maryland Capital Advisors, Inc. | | | investor protection violation | 2005 | MD-SEC | $5,930 |
| Lutron Electronics Co., Inc. | | | tax violations | 2012 | CT-AG | $5,933 |
| Rhino Linings Corp. | | | investor protection violation | 2020 | WA-FIN | $5,937 |
| Alerion Investment Partners I L.P. | | | tax violations | 2014 | CT-AG | $5,940 |
| Financial Solutions & Associates, Inc. | | | investor protection violation | 2008 | MO-SEC | $5,954 |
| Infor Public Sector, Inc. | | | tax violations | 2015 | CT-AG | $5,970 |
| Staxi Corp. | | | tax violations | 2015 | CT-AG | $5,970 |
| Tearscience, Inc. | | | tax violations | 2016 | CT-AG | $5,970 |
| Ultramar Travel Management, Inc. | | | tax violations | 2014 | CT-AG | $5,970 |
| ALLEGIANCE BANK OF NORTH AMERICA | | | banking violation | 2010 | FDIC | $5,975 |
| Como Design, Inc. | | | economic sanction violation | 2008 | OFAC | $5,980 |
| Murrelektronik, Inc. | | | tax violations | 2014 | CT-AG | $5,985 |
| Progenity, Inc. | | | tax violations | 2015 | CT-AG | $5,985 |
| Santa Rosa Consulting, Inc. | | | tax violations | 2012 | CT-AG | $5,985 |
| International Commercial Bank of China | | | economic sanction violation | 2004 | OFAC | $5,988 |
| Ackley State Bank | | | banking violation | 2014 | FED | $6,000 |
| CITIZENS BANK | | | banking violation | 2008 | FDIC | $6,000 |
| SECURITY STATE BANK, THE | | | banking violation | 2008 | FDIC | $6,000 |
| BANK OF LEE'S SUMMIT | | | banking violation | 2006 | FDIC | $6,000 |
| WESTSOUND BANK | | | banking violation | 2006 | FDIC | $6,000 |
| FIRST GASTON BANK OF NORTH CAROLINA | | | banking violation | 2006 | FDIC | $6,000 |
| COLONY BANK WORTH | | | banking violation | 2005 | FDIC | $6,000 |
| KENTUCKY BANK | | | banking violation | 2005 | FDIC | $6,000 |
| FIRST PEOPLES BANK OF TENNESSEE | | | banking violation | 2004 | FDIC | $6,000 |
| SEVIER COUNTY BANK | | | banking violation | 2003 | FDIC | $6,000 |
| WESTERN STATE BANK | | | banking violation | 2001 | FDIC | $6,000 |
| MORTON COMMUNITY BANK | | | banking violation | 2001 | FDIC | $6,000 |
| Colonial Navigation Co., Inc | | | economic sanction violation | 2008 | OFAC | $6,000 |
| Cotech, Inc. | | | economic sanction violation | 2008 | OFAC | $6,000 |
| Endocardial Solutions, Inc | | | economic sanction violation | 2005 | OFAC | $6,000 |
| Peoples Trust and Savings Bank | | | banking violation | 2017 | FDIC | $6,000 |
| Laona State Bank | | | banking violation | 2017 | FDIC | $6,000 |
| Cablevision Lightpath CT LLC | Altice USA Inc. | telecommunications | tax violations | 2015 | CT-AG | $6,000 |
| Conecsus, LLC | | | tax violations | 2014 | CT-AG | $6,000 |
| Fairborn Northeast, LLC | | | tax violations | 2013 | CT-AG | $6,000 |
| Meridian OHC Partners, LP | | | tax violations | 2016 | CT-AG | $6,000 |
| Rentals Unlimited, Inc. | | | tax violations | 2016 | CT-AG | $6,000 |
| Sightpath Medical, LLC | | | tax violations | 2015 | CT-AG | $6,000 |
| Wipe New, LLC | | | tax violations | 2014 | CT-AG | $6,000 |
| The Citizens State Bank of Cheney, Kansas | | | banking violation | 2012 | FDIC | $6,000 |
| HERITAGE BANK OF SCHAUMBURG | | | banking violation | 2011 | FDIC | $6,000 |
| TEXAS BANK | | | banking violation | 2011 | FDIC | $6,000 |
| STATE BANK | | | banking violation | 2011 | FDIC | $6,000 |
| REGENT BANK | | | banking violation | 2011 | FDIC | $6,000 |
| CATAHOULA-LASALLE BANK | | | banking violation | 2010 | FDIC | $6,000 |
| Interactive Brokers, LLC | Interactive Brokers Group | financial services | investor protection violation | 2013 | AR-SEC | $6,000 |
| Guardian Wealth Management, LLC | | | investor protection violation | 2018 | AZ-CC | $6,000 |
| D. Stephens Management and Consulting L.L.C. | | | investor protection violation | 2017 | CA-DFPI | $6,000 |
| Sacramento Natural Foods Cooperative, Inc. | | | investor protection violation | 2019 | CA-DFPI | $6,000 |
| Wright Direction.com, LLC | | | investor protection violation | 2013 | FL-OFR | $6,000 |
| Broadreach Capital, LLC | | | investor protection violation | 2016 | FL-OFR | $6,000 |
| Perrin, Holden and Davenport Capital Corp. | | | investor protection violation | 2010 | IN-SEC | $6,000 |
| Legacy Outdoors, Inc. | | | investor protection violation | 2016 | IN-SEC | $6,000 |
| James L. Paris Financial Services, Inc. | | | investor protection violation | 2003 | ME-SEC | $6,000 |
| Woso Energy Corporation | | | investor protection violation | 2006 | ME-SEC | $6,000 |
| Goeken Group Corp. | | | investor protection violation | 2018 | MI-SEC | $6,000 |
| First Securities USA, Inc. | | | investor protection violation | 2000 | MN-FIN | $6,000 |
| A&O Resource Management, Ltd. | | | investor protection violation | 2007 | MN-FIN | $6,000 |
| S3, Inc. | | | investor protection violation | 2008 | MN-FIN | $6,000 |
| Woodbury Financial Services, Inc. | Reverence Capital Partners | private equity (including portfolio companies) | investor protection violation | 2009 | MO-SEC | $6,000 |
| Cooper Financial Solutions, LLC | | | investor protection violation | 2014 | MO-SEC | $6,000 |
| Heartland Capital Advisors, L.C. | | | investor protection violation | 2016 | MO-SEC | $6,000 |
| Red Oak Compliance Solutions, LLC | | | investor protection violation | 2017 | MO-SEC | $6,000 |
| Industrial Realty Development, LLC | | | investor protection violation | 2017 | MO-SEC | $6,000 |
| Capital-E Advisors, LLC | | | investor protection violation | 2019 | MO-SEC | $6,000 |
| Investment Centers of America Inc. | LPL Financial | financial services | investor protection violation | 2006 | ND-SEC | $6,000 |
| Great Circle Financial | | | investor protection violation | 2013 | OR-FIN | $6,000 |
| Faith Based Investor LLC | | | investor protection violation | 2011 | SC-SEC | $6,000 |
| BAMC Investment Management Inc. | | | investor protection violation | 2005 | TX-SEC | $6,000 |
| Miller Equity Capital Advisors | | | investor protection violation | 2007 | TX-SEC | $6,000 |
| DIGITAL BROADCAST CORPORATION | | | investor protection violation | 2006 | VA-SEC | $6,000 |
| CHILDREN OF AMERICA, INC. | | | investor protection violation | 2007 | VA-SEC | $6,000 |
| FROOTS FRANCHISING COMPANIES | | | investor protection violation | 2009 | VA-SEC | $6,000 |
| BROOKLYN WATER BAGEL FRANCHISE | | | investor protection violation | 2013 | VA-SEC | $6,000 |
| MULLINS INVESTMENT SERVICES | | | investor protection violation | 2014 | VA-SEC | $6,000 |
| Downunder Horsemanship Franchising, LLC | | | investor protection violation | 2019 | VA-SEC | $6,000 |
| 360 Tour Designs & Marketing, LLC | | | investor protection violation | 2019 | VA-SEC | $6,000 |
| Clear Sky Financial, LLC | | | investor protection violation | 2019 | VA-SEC | $6,000 |
| Reye Partners Asset Management, LLC | | | investor protection violation | 2020 | VA-SEC | $6,000 |
| Property Damage Appraisers, Inc. | | | investor protection violation | 2019 | WA-FIN | $6,000 |
| North America Real Estate Investment Group, Inc. | | | investor protection violation | 2019 | WA-FIN | $6,000 |
| Gigapix Studios, Inc. | | | investor protection violation | 2012 | WA-FIN | $6,000 |
| Clairmont Capitol, Inc. | | | investor protection violation | 2002 | WA-FIN | $6,000 |
| Woodstock Securities, Ltd. | | | investor protection violation | 2001 | WA-FIN | $6,000 |
| Solium Financial Services LLC | Morgan Stanley | financial services | investor protection violation | 2020 | MS-SEC | $6,000 |
| Beacon Capital Distributors, Inc. | | | investor protection violation | 2020 | MO-SEC | $6,000 |
| Gordon Fed Financial | | | investor protection violation | 2020 | PA-BKG | $6,000 |
| GunnAllen Financial, Inc. | | | investor protection violation | 2009 | FINRA | $6,000 |
| Form Advisory Group, LLC | | | investor protection violation | 2021 | TN-SEC | $6,000 |
| Svaram Group, Inc. and Svaram Global, LLC | | | investor protection violation | 2021 | WA-SEC | $6,000 |
| Encompass Financial Advisors, LLC | | | investor protection violation | 2021 | KY-FIN | $6,000 |
| U.S. Data Mining Group, Inc. | | | investor protection violation | 2021 | VA-SEC | $6,000 |
| Aptus Financial, LLC | | | investor protection violation | 2022 | VA-SEC | $6,000 |
| Guardian Wealth Solutions, Inc. | | | investor protection violation | 2022 | TN-SEC | $6,000 |
| Open Mind Generations | | | investor protection violation | 2022 | WA-SEC | $6,000 |
| Citizens Bank Minnesota | | | banking violation | 2022 | FDIC | $6,000 |
| Security State Bank | | | banking violation | 2022 | FDIC | $6,000 |
| Wexford Wealth Advisors, LLC | | | investor protection violation | 2022 | PA-BKG | $6,000 |
| Old Slip Capital Management, Inc. | | | investor protection violation | 2023 | NH-BSR | $6,000 |
| Heron Bay Capital, LLC | | | investor protection violation | 2022 | CT-SEC | $6,005 |
| CDS Fintech Group, LLC | | | investor protection violation | 2022 | MO-SEC | $6,033 |
