| Punch TV Studios, Inc. | | | investor protection violation | 2022 | KY-FIN | $10,000 |
| Hynes Financial Services, LLC | | | investor protection violation | 2022 | MA-SEC | $69,888 |
| New Harbor Financial Group, LLC | | | investor protection violation | 2022 | MA-SEC | $100,000 |
| DevCoH, LLC | | | investor protection violation | 2022 | MO-SEC | $15,000 |
| Planner Securities LLC | | | investor protection violation | 2022 | NE-DBF | $5,000 |
| Grand River Enterprises Six Nations, Ltd. | | | tax violations | 2022 | NY-AG | $25,000,000 |
| Native Wholesale Supply Company, Inc. | | | tax violations | 2022 | NY-AG | $25,000,000 |
| ORAG, LLC | | | investor protection violation | 2022 | OR-FIN | $110,000 |
| Investment Capital Advisors, LLC | | | investor protection violation | 2022 | PA-BKG | $60,000 |
| Philadelphia Investment Partners, LLC | | | investor protection violation | 2022 | PA-BKG | $108,000 |
| CBD USA Grown, Inc. | | | investor protection violation | 2022 | PA-BKG | $40,000 |
| J.H. Smith Partners & Co., LLC | | | investor protection violation | 2022 | PA-BKG | $30,000 |
| Wexford Wealth Advisors, LLC | | | investor protection violation | 2022 | PA-BKG | $6,000 |
| Alpha Financial Planning, Inc. | | | investor protection violation | 2022 | PA-BKG | $5,000 |
| WSG Advisors, LLC | | | investor protection violation | 2022 | SC-SEC | $50,000 |
| United Pentecostal Church Developemnt Fund, Inc., dba United Pentecostal Church Loan Fund | | | investor protection violation | 2022 | TN-SEC | $5,000 |
| KP Financials, LLC | | | investor protection violation | 2022 | TX-SEC | $36,760 |
| Avantax Investment Services, Inc. | | | investor protection violation | 2022 | VT-FIN | $60,000 |
| Permanens Capital L.P. | | | investor protection violation | 2022 | VA-SEC | $8,000 |
| Gunn Capital Management, LLC | | | investor protection violation | 2022 | WA-SEC | $10,000 |
| Osage Pacific Advisors | | | investor protection violation | 2022 | WA-SEC | $15,000 |
| Rosland Capital LLC | | | investor protection violation | 2022 | WA-SEC | $20,000 |
| Morrow Capital LLC and More Solar LLC | | | investor protection violation | 2022 | WI-FIN | $144,000 |
| Midway Wholesalers, Inc. | | | tax violations | 2022 | ATTTB | $250,000 |
| MOA Rifles, LLC | | | tax violations | 2022 | ATTTB | $100,000 |
| Payward, Inc. d/b/a Kraken | | | economic sanction violation | 2022 | OFAC | $362,158 |
| PFP Entrust Corp. | | | investor protection violation | 2022 | SEC | $100,000 |
| Two Point Capital Management, Inc. | | | investor protection violation | 2022 | SEC | $75,000 |
| Legal & General Investment Management America, Inc. | | | investor protection violation | 2022 | SEC | $500,000 |
| Welther Oaks, LLC | | | investor protection violation | 2022 | CFTC | $441,232 |
| Walleye Capital LLC | | | investor protection violation | 2022 | CFTC | $550,000 |
| In Ovations Holdings, Inc. | | | investor protection violation | 2022 | SEC | $150,000 |
| Nexo Capital, Inc. | | | investor protection violation | 2023 | MULTI-FIN | $22,500,000 |
| Monex Deposit Company et al. | | | investor protection violation | 2022 | CFTC | $38,000,000 |
| KCCW Accountancy Corporation | | | accounting fraud or deficiencies | 2022 | PCAOB | $20,000 |
| MaloneBailey, LLP | | | accounting fraud or deficiencies | 2022 | PCAOB | $25,000 |
| Alvarez & Associates, Inc. | | | accounting fraud or deficiencies | 2022 | PCAOB | $50,000 |
| Nexo Capital Inc. | | | investor protection violation | 2023 | SEC | $22,500,000 |
| Moors & Cabot, Inc. | | | investor protection violation | 2023 | SEC | $1,899,456 |
| National Trust and Fiduciary Services Company, Inc. | | | investor protection violation | 2023 | SEC | $346,799 |
| Exela Technologies, Inc. | | | investor protection violation | 2022 | SEC | $175,000 |
| The Options Clearing Corporation | | | investor protection violation | 2023 | CFTC | $5,000,000 |
| Popular Bank | | | banking violation | 2023 | FED | $2,300,000 |
| Yellowstone Capital et al. | | | investor protection violation | 2023 | NJ-AG | $27,375,000 |
| Energy & Environmental Investments, LLC and Energy & Environment, Inc. | | | investor protection violation | 2023 | SEC | $5,428,694 |
| Back to Green Mining, LLC | | | investor protection violation | 2023 | SEC | $3,442,175 |
| African Gold Acquisition Corp. | | | investor protection violation | 2023 | SEC | $103,591 |
| Ensign Peak Advisers Inc. | | | investor protection violation | 2023 | SEC | $4,000,000 |
| Church of Jesus Christ of Latter-day Saints | | | investor protection violation | 2023 | SEC | $1,000,000 |
| HITE Hedge Asset Management LLC et al. | | | investor protection violation | 2023 | SEC | $214,591 |
| Candlestick Capital Management LP | | | investor protection violation | 2023 | SEC | $810,000 |
| The Options Clearing Corporation | | | investor protection violation | 2023 | SEC | $17,000,000 |
| Payward Ventures, Inc. and Payward Trading Ltd. | | | investor protection violation | 2023 | SEC | $30,000,000 |
| Centaurus Financial, Inc. | | | investor protection violation | 2023 | SEC | $755,499 |
| Centaurus Financial Inc. | | | investor protection violation | 2023 | SC-AG | $650,000 |
| Tycoon Trading, LLC | | | investor protection violation | 2022 | AK-DBS | $14,439,086 |
| High Desert Naturals et al. | | | investor protection violation | 2022 | AZ-CC | $20,000 |
| Lofty Ai, Inc. | | | investor protection violation | 2022 | CA-DFPI | $37,500 |
| Laidlaw & Company (UK) Ltd. | | | investor protection violation | 2023 | CT-SEC | $200,000 |
| KF Pecksland, LLC | | | investor protection violation | 2022 | CT-SEC | $100,000 |
| Visual Group, LLC | | | investor protection violation | 2022 | CT-SEC | $100,000 |
| Summit Investment Management, LLC | | | investor protection violation | 2022 | CT-SEC | $10,000 |
| Heron Bay Capital, LLC | | | investor protection violation | 2022 | CT-SEC | $6,005 |
| Little Miss Whiskey's Golden Dollar and Jimmy Valentine's Lonely Hearts Club | | | tax violations | 2023 | DC-AG | $144,001 |
| MTRE VB2 LLC and Marcus Tam Real Estate Development & Investment Company LLC | | | investor protection violation | 2023 | ID-SEC | $798,859 |
| 72 Vest Level Three LLC | | | investor protection violation | 2023 | IL-SEC | $70,000 |
| Peak Energy Company | | | investor protection violation | 2022 | IL-SEC | $10,000 |
| Spencer & Associates and Spencer Enterprises Inc. | | | investor protection violation | 2021 | IL-SEC | $10,000 |
| Magna Bures Oil | | | investor protection violation | 2022 | KY-FIN | $60,000 |
| Osage Pacific Advisors, Inc. | | | investor protection violation | 2022 | MD-SEC | $75,000 |
| Voyager Digital Ltd. et al. | | | investor protection violation | 2023 | NH-BSR | $1,007,880 |
| Guardian Strategic Wealth Advisors, LLC | | | investor protection violation | 2023 | NH-BSR | $10,000 |
| Celsius Network, Inc. et al. | | | investor protection violation | 2023 | NH-BSR | $1,000,000 |
| Bio-Sunn Technologies, Inc. | | | investor protection violation | 2023 | ND-SEC | $540,000 |
| Equity Fund International (EFI), Inc. | | | investor protection violation | 2023 | ND-SEC | $540,000 |
| Jamieson Capital Financial LLC | | | investor protection violation | 2022 | ND-SEC | $3,250,000 |
| ADV, LLC and G2BIO, LLC | | | investor protection violation | 2022 | PA-BKG | $197,500 |
| CliftonLarsonAllen Wealth Advisors, LLC | | | investor protection violation | 2022 | PA-BKG | $60,000 |
| Mantei & Associates, LLC aka Cola Wealth Advisors | | | investor protection violation | 2023 | SC-SEC | $650,000 |
| Constructis, LLC and Constructis Group, Inc. and Constructis Energy, LLC | | | investor protection violation | 2023 | SC-SEC | $5,000 |
| Penrod Financial Services, Inc. | | | investor protection violation | 2023 | TX-SEC | $6,500 |
| Onpoint Financial Management, LLC fka Onpoint Financial Retirement, LLC | | | investor protection violation | 2022 | VA-SEC | $5,000 |
| Northlake Capital & Development LLC | | | investor protection violation | 2022 | WA-SEC | $10,000 |
| SFA Commercial LLC | | | investor protection violation | 2022 | WA-SEC | $20,000 |
| TangleTrade Management and Inception Capital Management | | | investor protection violation | 2022 | WA-SEC | $50,000 |
| Unity Bank | | | banking violation | 2022 | FDIC | $39,000 |
| Willamette Valley Bank | | | banking violation | 2022 | FDIC | $425,000 |
| First Chatham Bank | | | banking violation | 2022 | FDIC | $12,000 |
| PeoplesBank, a Codorus Valley Company | | | banking violation | 2023 | FDIC | $16,000 |
| Silver Edge Financial LLC | | | investor protection violation | 2023 | SEC | $3,475,000 |
| E. Magnus Oppenheim & Co. Inc | | | investor protection violation | 2023 | SEC | $50,000 |
| Equity Acquisition Company Ltd. | | | investor protection violation | 2023 | SEC | $3,917,436 |
| Chembio Diagnostics, Inc. | | | investor protection violation | 2023 | SEC | $500,000 |
| Cambria Capital, LLC | | | investor protection violation | 2023 | SEC | $100,000 |
| Huntleigh Advisors, Inc. | | | investor protection violation | 2023 | SEC | $843,502 |
| Datatex Investment Services, Inc. | | | investor protection violation | 2023 | SEC | $50,000 |
| Foresight Wealth Management, LLC | | | investor protection violation | 2023 | SEC | $1,893,486 |
| Automata FX Ltd | | | investor protection violation | 2023 | AZ-CC | $4,866,465 |
| Elite Benefits Group, LLC | | | investor protection violation | 2023 | AZ-CC | $28,985 |
| Seek Insurance, LLC and Elite Benefits Group, LLC | | | investor protection violation | 2023 | AZ-CC | $35,000 |
| PGH Advisors LLC | | | investor protection violation | 2023 | AZ-CC | $445,790 |
