| 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 |
| International Commercial Bank of China | | | economic sanction violation | 2004 | OFAC | $5,988 |
| 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 |
| Como Design, Inc. | | | economic sanction violation | 2008 | OFAC | $5,980 |
| ALLEGIANCE BANK OF NORTH AMERICA | | | banking violation | 2010 | FDIC | $5,975 |
| 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 |
| Financial Solutions & Associates, Inc. | | | investor protection violation | 2008 | MO-SEC | $5,954 |
| Alerion Investment Partners I L.P. | | | tax violations | 2014 | CT-AG | $5,940 |
| Rhino Linings Corp. | | | investor protection violation | 2020 | WA-FIN | $5,937 |
| Lutron Electronics Co., Inc. | | | tax violations | 2012 | CT-AG | $5,933 |
| Maryland Capital Advisors, Inc. | | | investor protection violation | 2005 | MD-SEC | $5,930 |
| Metric Equipment Sales, Inc. | | | tax violations | 2012 | CT-AG | $5,925 |
| BANK OF COMMERCE, THE | | | banking violation | 2008 | FDIC | $5,900 |
| BANK OF ANGUILLA | | | banking violation | 2007 | FDIC | $5,900 |
| Christiania Bank | | | economic sanction violation | 2004 | OFAC | $5,900 |
| SerVertis REO, LLC | | | tax violations | 2012 | CT-AG | $5,865 |
| Evolve Securities, Inc. | | | investor protection violation | 2010 | IL-SEC | $5,860 |
| The Bank of New York | Bank of New York Mellon | financial services | economic sanction violation | 2005 | OFAC | $5,844 |
| Bank United | | | economic sanction violation | 2003 | OFAC | $5,842 |
| Immediate Credit Recovery, Inc. | | | tax violations | 2012 | CT-AG | $5,828 |
| Newbury Street Capital | | | investor protection violation | 2011 | IL-SEC | $5,825 |
| THE OLD FORT BANKING COMPANY | | | banking violation | 2012 | FDIC | $5,815 |
| JEFFERSON BANK OF MISSOURI | | | banking violation | 2007 | FDIC | $5,800 |
| First Security Bank of Owensboro, Inc. | | | banking violation | 2012 | FDIC | $5,800 |
| Meeting Street Brokerage, LLC | | | investor protection violation | 2006 | CT-SEC | $5,800 |
| Quality Financial Concepts | | | investor protection violation | 2003 | TN-SEC | $5,800 |
| TNS North America, Inc. | | | tax violations | 2012 | CT-AG | $5,798 |
| Profitable Investments, Inc. | | | investor protection violation | 2005 | MD-SEC | $5,795 |
| First Bank, Upper Michigan | | | banking violation | 2013 | FDIC | $5,790 |
| WATERSTONE BANK, SSB | | | banking violation | 2010 | FDIC | $5,775 |
| University of California at Los Angeles | University of California | miscellaneous services | economic sanction violation | 2003 | OFAC | $5,750 |
| First Financial Tax Group | | | investor protection violation | 2018 | ID-SEC | $5,750 |
| Samson Energy Group, LLC | | | investor protection violation | 2015 | WA-FIN | $5,750 |
| Solium Financial Services LLC | Morgan Stanley | financial services | investor protection violation | 2020 | SD-SEC | $5,750 |
| Compliance Networks, LLC | | | tax violations | 2013 | CT-AG | $5,745 |
| American Customer Care, Inc. | | | tax violations | 2015 | CT-AG | $5,729 |
| BANK OF COWETA | | | banking violation | 2010 | FDIC | $5,720 |
| Used Apple Store | | | investor protection violation | 2016 | NH-BSR | $5,713 |
| AMC Diligence, LLC | | | tax violations | 2014 | CT-AG | $5,700 |
| Horizon Food Equipment, Inc. | | | tax violations | 2014 | CT-AG | $5,700 |
| Kaplan K12 Learning Services, LLC | Graham Holdings | media | tax violations | 2015 | CT-AG | $5,700 |
| R.S. Means Company, LLC | | | tax violations | 2012 | CT-AG | $5,700 |
| RedWage, LLC | | | tax violations | 2014 | CT-AG | $5,700 |
| Retail Brand Alliance Card Services, LLC | | | tax violations | 2013 | CT-AG | $5,700 |
| Edelman Financial Services LLC | | | investor protection violation | 2006 | IL-SEC | $5,700 |
| Key-Bell Corporation | | | economic sanction violation | 2003 | OFAC | $5,697 |
| Rieke Italia | | | economic sanction violation | 2005 | OFAC | $5,692 |
| ADP Workscape, Inc. | | | tax violations | 2013 | CT-AG | $5,685 |
| Healthy Achievers, Inc. | | | tax violations | 2013 | CT-AG | $5,685 |
| Lichlyter Consulting, Inc. | | | tax violations | 2014 | CT-AG | $5,685 |
| Newsela, Inc. | | | tax violations | 2016 | CT-AG | $5,685 |
| Sierra Pacific Industries Corp. | Sierra Pacific Industries | building materials | tax violations | 2014 | CT-AG | $5,685 |
| International Business Systems, Inc. | | | tax violations | 2015 | CT-AG | $5,670 |
| Rolls-Royce Naval Marine, Inc. | Rolls-Royce | aerospace and military contracting | tax violations | 2012 | CT-AG | $5,663 |
| Petro-America Producing Oil and Gas Wells, Inc. | | | investor protection violation | 2006 | MO-SEC | $5,652 |
| Midland States Bank | Midland States Bancorp | financial services | banking violation | 2013 | FED | $5,645 |
| AcuPowder International, LLC | | | tax violations | 2012 | CT-AG | $5,640 |
| Broker Dealer Compliance Associates, LLC | | | tax violations | 2012 | CT-AG | $5,633 |
| Boardwalk Mortgage Group, LLC | | | investor protection violation | 2008 | AR-SEC | $5,631 |
| Beau Rivage Resorts, Inc. | MGM Resorts International | entertainment | economic sanction violation | 2004 | OFAC | $5,625 |
| Leading Edge Coaching & Development, Inc. | | | tax violations | 2012 | CT-AG | $5,625 |
| Amada Capital Corp. | | | tax violations | 2013 | CT-AG | $5,610 |
| THE UNION BANK | | | banking violation | 2003 | FDIC | $5,600 |
| Pace University | | | economic sanction violation | 2004 | OFAC | $5,600 |
| Rich Worldwide Travel | | | economic sanction violation | 2004 | OFAC | $5,600 |
| AMBANK | | | banking violation | 2010 | FDIC | $5,600 |
| BANK OF MONTICELLO | | | banking violation | 2010 | FDIC | $5,600 |
| Mittler & Mercaldo Investment Advisors | | | investor protection violation | 2015 | CT-SEC | $5,600 |
