| HireGenics, Inc. | | | tax violations | 2015 | CT-AG | $6,300 |
| Hurst Review Services, Inc. | | | tax violations | 2016 | CT-AG | $6,300 |
| Services Tire Truck Center, Inc. | | | tax violations | 2013 | CT-AG | $6,285 |
| Veredus Corp. | | | tax violations | 2015 | CT-AG | $6,285 |
| 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 |
| 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 |
| Commonwealth Electrical Technologies, Inc. | | | tax violations | 2013 | CT-AG | $6,240 |
| Cambridge Strategies, LLC | | | tax violations | 2013 | CT-AG | $6,233 |
| Exel Global Logistics, Inc. | | | economic sanction violation | 2006 | OFAC | $6,226 |
| Elite Floors, Inc. | | | tax violations | 2012 | CT-AG | $6,225 |
| Verifone, Inc. | Francisco Partners | private equity (including portfolio companies) | tax violations | 2012 | CT-AG | $6,205 |
| 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 |
| Turco Golf, Inc. | | | tax violations | 2013 | CT-AG | $6,175 |
| Design Investors, LLC | | | tax violations | 2012 | CT-AG | $6,173 |
| Kaplan State Bank | | | banking violation | 2013 | FDIC | $6,160 |
| 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 |
| Bucher and Christian Consulting, Inc. | | | tax violations | 2013 | CT-AG | $6,143 |
| Embry-Riddle Aeronautical University, Inc. | | | tax violations | 2013 | CT-AG | $6,120 |
| Halcyon Days Productions Corp. | | | tax violations | 2012 | CT-AG | $6,120 |
| Workplace Essentials, Inc. | | | tax violations | 2016 | CT-AG | $6,116 |
| Equitable Bank | | | banking violation | 2014 | OCC | $6,115 |
| Pearson and Associates, LLC | | | investor protection violation | 2018 | CT-SEC | $6,110 |
| Community Bank CBD | | | banking violation | 2013 | FDIC | $6,100 |
| FARMERS STATE BANK OF ALTO PASS, ILL | | | banking violation | 2008 | FDIC | $6,100 |
| InvestIN Securities Inc. | | | investor protection violation | 2004 | TN-SEC | $6,094 |
| METRO BANK | | | banking violation | 2010 | FDIC | $6,075 |
| Sea Bridge Projects, Inc. | | | economic sanction violation | 2005 | OFAC | $6,050 |
| Tropical Racing, Inc. | | | investor protection violation | 2019 | CO-SEC | $6,049 |
| Charles M. Schayer & Co. | | | economic sanction violation | 2004 | OFAC | $6,045 |
| Teamwork Telecom, Inc. | | | economic sanction violation | 2004 | OFAC | $6,041 |
| CDS Fintech Group, LLC | | | investor protection violation | 2022 | MO-SEC | $6,033 |
| Heron Bay Capital, LLC | | | investor protection violation | 2022 | CT-SEC | $6,005 |
| 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 |
