| Blaine Capital, LLC | | | investor protection violation | 2018 | CT-SEC | $5,000 |
| Blackboard, Inc. | | | investor protection violation | 2004 | DC-DISB | $5,000 |
| J.P. Morgan Securities LLC | JPMorgan Chase | financial services | investor protection violation | 2018 | DC-DISB | $5,000 |
| Miller Johnson Steichen Kinnard, Inc. | | | investor protection violation | 2005 | DE-SEC | $5,000 |
| Condor and Eagle, Inc., Contact Generation, Inc. and TCI | | | investor protection violation | 2000 | FL-OFR | $5,000 |
| The Providence Group dba The Providence Investment Club | | | investor protection violation | 2001 | FL-OFR | $5,000 |
| Trinity Investment Club Ltd. | | | investor protection violation | 2001 | FL-OFR | $5,000 |
| Sterling Associates | | | investor protection violation | 2002 | FL-OFR | $5,000 |
| C.J.M. Planning Corp. | | | investor protection violation | 2002 | FL-OFR | $5,000 |
| Rushmore Securities Corp. | | | investor protection violation | 2002 | FL-OFR | $5,000 |
| ICMA-RC Services, LLC | | | investor protection violation | 2002 | FL-OFR | $5,000 |
| International Securities Corp. | | | investor protection violation | 2002 | FL-OFR | $5,000 |
| Triad Advisors, Inc. | | | investor protection violation | 2002 | FL-OFR | $5,000 |
| PRS Latam, LLC | | | investor protection violation | 2003 | FL-OFR | $5,000 |
| Veravest Investments, Inc. | | | investor protection violation | 2003 | FL-OFR | $5,000 |
| Sine Capital, Inc. | | | investor protection violation | 2016 | FL-OFR | $5,000 |
| Investment Planning, LLC | | | investor protection violation | 2017 | GA-SEC | $5,000 |
| CSG Wealth Management | | | investor protection violation | 2018 | GA-SEC | $5,000 |
| Blazer Financial Advisors, Inc. | | | investor protection violation | 2019 | GA-SEC | $5,000 |
| Power Supplies & Equipment Ltd. | | | investor protection violation | 2020 | GA-SEC | $5,000 |
| Morgan Sterling Currency Exchange, Inc. | | | investor protection violation | 2001 | ID-SEC | $5,000 |
| Lost Rivers Hospital District dba Lost Rivers Medical Center | | | investor protection violation | 2003 | ID-SEC | $5,000 |
| Multi-Financial Securities Corp. | | | investor protection violation | 2004 | ID-SEC | $5,000 |
| John Thomas Financial | | | investor protection violation | 2009 | ID-SEC | $5,000 |
| Strategic Capital Alternatives, LLC | | | investor protection violation | 2012 | ID-SEC | $5,000 |
| Beacon Rock Investment Advisors, LLC | | | investor protection violation | 2013 | ID-SEC | $5,000 |
| SeaQuest Holdings LLC | | | investor protection violation | 2017 | ID-SEC | $5,000 |
| Russ Trading Inc. and Cactus Partners LP | | | investor protection violation | 2017 | ID-SEC | $5,000 |
| Polite and Company | | | investor protection violation | 2003 | IL-SEC | $5,000 |
| High Tech Financial Products aka EBD Consulting, Inc. | | | investor protection violation | 2004 | IL-SEC | $5,000 |
| Janney Montgomery Scott LLC | Penn Mutual | financial services | investor protection violation | 2004 | IL-SEC | $5,000 |
| G.D. Castillo M.D. Ltd. Profit Sharing Plan | | | investor protection violation | 2005 | IL-SEC | $5,000 |
| Stralem & Company, Inc. | | | investor protection violation | 2006 | IL-SEC | $5,000 |
| Z Touch Systems, Inc. | | | investor protection violation | 2006 | IL-SEC | $5,000 |
| SilverShore Investment Group | | | investor protection violation | 2009 | IL-SEC | $5,000 |
| Ghetzler Aero-Power Corp. | | | investor protection violation | 2010 | IL-SEC | $5,000 |
| Tax Recovery Team | | | investor protection violation | 2011 | IL-SEC | $5,000 |
| Fran Span Global, LLC et al. | | | investor protection violation | 2011 | IL-SEC | $5,000 |
| Government Benefit Advisors, LLC | | | investor protection violation | 2015 | IL-SEC | $5,000 |
| Elite Group Financial, LLC | | | investor protection violation | 2015 | IL-SEC | $5,000 |
| LT Solutions Corp. | | | investor protection violation | 2016 | IL-SEC | $5,000 |
| 72Vest Level Three, LLC | | | investor protection violation | 2016 | IL-SEC | $5,000 |
| Elite Group Financial, LLC | | | investor protection violation | 2016 | IL-SEC | $5,000 |
| Beard Financial Services, Inc. | | | investor protection violation | 2016 | IL-SEC | $5,000 |
| Resources Planning Group, Inc. | | | investor protection violation | 2018 | IL-SEC | $5,000 |
| Aggressive Lending Co. | | | investor protection violation | 2019 | IL-SEC | $5,000 |
| Swift Excelsior Investments, Inc. | | | investor protection violation | 2009 | IN-SEC | $5,000 |
| Christian Service Foundation, Inc. | | | investor protection violation | 2010 | IN-SEC | $5,000 |
| Global Wealth Investments, LLC | | | investor protection violation | 2011 | IN-SEC | $5,000 |
| The McCormick Group, LLC | | | investor protection violation | 2011 | IN-SEC | $5,000 |
| Genesis Advisors, LLC | | | investor protection violation | 2011 | IN-SEC | $5,000 |
| Steven W. Songer & Associates, Inc. | | | investor protection violation | 2012 | IN-SEC | $5,000 |
| Twin Rocks Asset Management, Inc. | | | investor protection violation | 2013 | IN-SEC | $5,000 |
| 5 Star Investment Group, LLC | | | investor protection violation | 2015 | IN-SEC | $5,000 |
| Kovack Securities Inc. | | | investor protection violation | 2015 | IN-SEC | $5,000 |
| Legacy Practice Management, LLC | | | investor protection violation | 2016 | IN-SEC | $5,000 |
| Blue Crab Partners, LLC | | | investor protection violation | 2017 | IN-SEC | $5,000 |
| RSF Social Investment Fund, Inc. | | | investor protection violation | 2017 | IN-SEC | $5,000 |
| Martin Financial Management, Inc. | | | investor protection violation | 2017 | IN-SEC | $5,000 |
| Legacy Wealth Management | | | investor protection violation | 2018 | IN-SEC | $5,000 |
| DS VI, LLC and DS VII, LLC and DS X, LLC and DS XII, LLC | | | investor protection violation | 2019 | IN-SEC | $5,000 |
| Kingdom Oil, Inc. | | | investor protection violation | 2006 | KY-FIN | $5,000 |
| Berry Resources, Inc. | | | investor protection violation | 2007 | KY-FIN | $5,000 |
| Mammoth Resource Partners, Inc., Mammoth Resource Partners, LLC | | | investor protection violation | 2007 | KY-FIN | $5,000 |
| Money Concepts Capital Corp. | | | investor protection violation | 2008 | KY-FIN | $5,000 |
| East Fork Energy Partners, Inc. | | | investor protection violation | 2010 | KY-FIN | $5,000 |
| Envit Capital Holdings, Inc. | | | investor protection violation | 2011 | KY-FIN | $5,000 |
| Envit Holdings, Inc. | | | investor protection violation | 2011 | KY-FIN | $5,000 |
| Envit Capital, LLC | | | investor protection violation | 2011 | KY-FIN | $5,000 |
| Angel Rose Energy, LLC | | | investor protection violation | 2012 | KY-FIN | $5,000 |
| Louisa Community Bank, Inc. | | | banking violation | 2017 | KY-FIN | $5,000 |
| M Holdings Securities, Inc. | | | investor protection violation | 2018 | KY-FIN | $5,000 |
| Euclid Systems Corp. | | | investor protection violation | 2004 | MD-SEC | $5,000 |
| Quizno's Franchising LLC and Quizno's Franchising II LLC | | | investor protection violation | 2006 | MD-SEC | $5,000 |
| JHJ Funding, LLC | | | investor protection violation | 2009 | MD-SEC | $5,000 |
| Money Management Advisory, Inc. | | | investor protection violation | 2010 | MD-SEC | $5,000 |
| AFC Asset Management Services, Inc. | | | investor protection violation | 2010 | MD-SEC | $5,000 |
| Dominion Partners Worldwide, LLC | | | investor protection violation | 2010 | MD-SEC | $5,000 |
| Vocelli, LLC | | | investor protection violation | 2013 | MD-SEC | $5,000 |
| First Command Financial Planning, Inc. | | | investor protection violation | 2013 | MD-SEC | $5,000 |
| 1-800-Flowers.com Franchise Co., Inc. | | | investor protection violation | 2014 | MD-SEC | $5,000 |
| Bambu Desserts and Drinks, Inc. | | | investor protection violation | 2016 | MD-SEC | $5,000 |
| Balsam Capital Group, LLC and River Source Wealth Management, LLC | | | investor protection violation | 2017 | MD-SEC | $5,000 |
| Caffebene, Inc. | | | investor protection violation | 2018 | MD-SEC | $5,000 |
| Prosper Marketplace, Inc. | Prosper Marketplace | financial services | investor protection violation | 2011 | ME-SEC | $5,000 |
| Tech Financial Group | | | investor protection violation | 2014 | ME-SEC | $5,000 |
| SF Investments, Inc. | | | investor protection violation | 2017 | ME-SEC | $5,000 |
| Option Mint | | | investor protection violation | 2018 | ME-SEC | $5,000 |
| Kensington I.P. Limited | | | investor protection violation | 2018 | ME-SEC | $5,000 |
| Salem Advisory Group LLC | | | investor protection violation | 2018 | ME-SEC | $5,000 |
| Real Estate Man LLC | | | investor protection violation | 2018 | ME-SEC | $5,000 |
| Solium Financial Services, LLC | Morgan Stanley | financial services | investor protection violation | 2020 | ME-SEC | $5,000 |
| Rein Construction, LLC | | | investor protection violation | 2015 | MI-SEC | $5,000 |
| Wedgewood Properties, LLC | | | investor protection violation | 2016 | MI-SEC | $5,000 |
| Wealth Management Group, Inc. | | | investor protection violation | 2017 | MI-SEC | $5,000 |
| Manaia Capital Management, Inc. | | | investor protection violation | 2017 | MI-SEC | $5,000 |
| Legacy Planning & Associates, Inc. | | | investor protection violation | 2017 | MI-SEC | $5,000 |
| Goldeneye Asset Management, LLC | | | investor protection violation | 2018 | MI-SEC | $5,000 |
| Royal Securities Co. and Royal Advisers, LLC | | | investor protection violation | 2018 | MI-SEC | $5,000 |
| ASI Capital, LLC et al. | | | investor protection violation | 2020 | MI-SEC | $5,000 |
| FSC Securities Corp. | | | investor protection violation | 2000 | MN-FIN | $5,000 |
