| Amcore Bank, National Association | | | banking violation | 2003 | OCC | $5,000 |
| First National Bank & Trust | | | banking violation | 2003 | OCC | $5,000 |
| Guaranty National Bank of Tallahassee | | | banking violation | 2003 | OCC | $25,000 |
| The Fremont National Bank and Trust Company | | | banking violation | 2003 | OCC | $5,000 |
| Terre Haute First National Bank | | | banking violation | 2003 | OCC | $12,950 |
| Peoples National Bank | | | banking violation | 2003 | OCC | $175,000 |
| Cumberland Valley National Bank & Trust Company | | | banking violation | 2003 | OCC | $14,000 |
| Goleta National Bank | | | banking violation | 2002 | OCC | $75,000 |
| Fidelity National Bank | | | banking violation | 2002 | OCC | $50,000 |
| Home National Bank | | | banking violation | 2000 | OCC | $5,000 |
| Banco Do Estado Do Parana | | | banking violation | 2000 | OCC | $75,000 |
| The Park Avenue Bank, National Association | | | banking violation | 2000 | OCC | $55,000 |
| GMC Holding Corporation | | | investor protection violation | 2009 | SEC | $2,090,000 |
| SafeNet, Inc. | | | accounting fraud or deficiencies | 2009 | SEC | $1,000,000 |
| Value Line Inc. | | | investor protection violation | 2009 | SEC | $43,705,765 |
| Thompson Price Holding Inc. | | | investor protection violation | 2009 | SEC | $288,815 |
| Lion Gate Capital, Inc. | | | investor protection violation | 2009 | SEC | $150,000 |
| Marshall Holdings International, Inc. | | | investor protection violation | 2009 | SEC | $8,974,033 |
| Colonial Fund LLC and Colonial Investment Management LLC | | | investor protection violation | 2009 | SEC | $1,400,000 |
| M.A.G. Capital LLC | | | investor protection violation | 2009 | SEC | $100,000 |
| Conversion Solutions Holding Corporation | | | accounting fraud or deficiencies | 2008 | SEC | $250,000 |
| Halt, Buzas & Powell, Ltd. | | | accounting fraud or deficiencies | 2008 | SEC | $101,711 |
| K.W. Brown & Company, 21st Century Advisors Inc., and K.W. Brown Investments, Inc. | | | accounting fraud or deficiencies | 2008 | SEC | $9,983,586 |
| Nortel Networks Corporation | | | accounting fraud or deficiencies | 2007 | SEC | $35,000,000 |
| Electronic Data Systems Corporation | | | accounting fraud or deficiencies | 2007 | SEC | $490,902 |
| Mercury Interactive, LLC | | | accounting fraud or deficiencies | 2007 | SEC | $28,000,000 |
| Crestview Capital Partners | | | investor protection violation | 2007 | SEC | $394,640 |
| GetAnswers, Inc. | | | investor protection violation | 2007 | SEC | $15,713,676 |
| 1st Global Capital Corp. | | | investor protection violation | 2006 | SEC | $100,000 |
| BISYS Fund Services, Inc. | | | investor protection violation | 2006 | SEC | $21,400,000 |
| Doral Financial Corporation | | | accounting fraud or deficiencies | 2006 | SEC | $25,000,000 |
| American-Amicable Life Insurance Company of Texas, Pioneer American Insurance Company, and Pioneer Security Life Insurance Company | | | investor protection violation | 2006 | SEC | $10,000,000 |
| Endocare, Inc. | | | accounting fraud or deficiencies | 2006 | SEC | $750,000 |
| Lehman Brothers Inc. | | | investor protection violation | 2006 | SEC | $1,500,000 |
| Deephaven Capital Management, LLC | | | insider trading | 2006 | SEC | $5,709,958 |
| Zomax Inc. | | | insider trading | 2005 | SEC | $2,000,000 |
| Capital Concept Marketing, Inc. | | | investor protection violation | 2005 | SEC | $580,000 |
| PanaMed Corp. | | | investor protection violation | 2004 | SEC | $5,000 |
| First Command Financial Planning, Inc. | | | investor protection violation | 2004 | SEC | $12,000,000 |
| Beacon Hill Asset Management, LLC | | | investor protection violation | 2004 | SEC | $600,000 |
| A.C.L.N. Ltd. and Scandinavian Car Carriers | | | investor protection violation | 2004 | SEC | $27,000,000 |
| Bridgeway Capital Management | | | investor protection violation | 2004 | SEC | $5,116,464 |
| Digital Exchange Systems, Inc. | | | accounting fraud or deficiencies | 2004 | SEC | $100,000 |
| Kemps LLC, f/k/a Marigold Foods LLC | | | accounting fraud or deficiencies | 2004 | SEC | $150,000 |
| National Institute Companies of America, Inc. | | | investor protection violation | 2004 | SEC | $1,600,000 |
| ACI Inc. | | | investor protection violation | 2004 | SEC | $7,756,750 |
| Van Wagoner Capital Management, Inc. | | | investor protection violation | 2004 | SEC | $800,000 |
| Adams Harkness, Inc. f/k/a Adams Harkness & Hill, Inc. | | | investor protection violation | 2004 | SEC | $575,000 |
| Needham & Company, Inc. | | | investor protection violation | 2004 | SEC | $700,000 |
| Doeren Mayhew & Co. P.C. | | | accounting fraud or deficiencies | 2004 | SEC | $115,126 |
| Global Telecom Services, L.L.C. d/b/a Medical Disposal Devices | | | investor protection violation | 2004 | SEC | $1,431,369 |
| Measurement Specialties, Inc. | | | accounting fraud or deficiencies | 2004 | SEC | $1,000,000 |
| Gemstar-TV Guide International, Inc. | | | accounting fraud or deficiencies | 2004 | SEC | $10,000,000 |
| i2 Technologies, Inc. | | | accounting fraud or deficiencies | 2004 | SEC | $10,000,000 |
| Del Global Technologies Corp., Inc. | | | accounting fraud or deficiencies | 2004 | SEC | $400,000 |
| Premier Marketing and Investments, Inc. | | | investor protection violation | 2003 | SEC | $4,497,451 |
| Gardere Wynne Sewell LLP | | | accounting fraud or deficiencies | 2003 | SEC | $2,000,000 |
| Lehman Brothers Inc. | | | investor protection violation | 2003 | SEC | $80,000,000 |
| North American Medical Products, Inc. | | | investor protection violation | 2003 | SEC | $120,000 |
| Texon Energy Corp. and Lonestar Petroleum Corp. | | | investor protection violation | 2002 | SEC | $1,268,253 |
| Moret Ernst & Young Accountants | | | accounting fraud or deficiencies | 2002 | SEC | $400,000 |
| Advance Local Development Corp. | | | investor protection violation | 2002 | SEC | $9,509,736 |
| Big Country AGS, Inc. d/b/a AGS, Inc. | | | investor protection violation | 2002 | SEC | $242,840 |
| Financial Asset Management, Inc. | | | accounting fraud or deficiencies | 2002 | SEC | $25,000 |
| World Financial & Investment Co., Inc. | | | investor protection violation | 2001 | SEC | $175,000 |
| Arthur Andersen LLP | | | accounting fraud or deficiencies | 2001 | SEC | $7,000,000 |
| Yes Entertainment, LLC | | | investor protection violation | 2000 | SEC | $14,546,808 |
| EquityAlert.com, Inc. | | | investor protection violation | 2000 | SEC | $20,000 |
| Chemical Trust, U.S. Guarantee Corp., and United Marketing Trust | | | investor protection violation | 2000 | SEC | $20,590,000 |
| JW Charles Financial Services, Inc. | | | investor protection violation | 2000 | SEC | $20,000 |
| Liberty Capital Group, Inc. | | | investor protection violation | 2000 | SEC | $35,000 |
| Sigue Corporation and Sigue LLC | | | anti-money-laundering deficiencies | 2008 | FINCEN | $12,000,000 |
| Deprez?s Quality Jewelry and Loans, Inc. | | | anti-money-laundering deficiencies | 2006 | FINCEN | $25,000 |
| Frosty Food Mart | | | anti-money-laundering deficiencies | 2006 | FINCEN | $10,000 |
| Tonkawa Tribe | | | anti-money-laundering deficiencies | 2006 | FINCEN | $1,000,000 |
| International Monetary Metals, Inc. | | | investor protection violation | 2016 | CFTC | $9,800,000 |
| My Global Leverage, LLC | | | investor protection violation | 2016 | CFTC | $1,465,528 |
| Advanced Trading Workshop, Inc. | | | investor protection violation | 2016 | CFTC | $940,000 |
| Angus Partners LLC | | | investor protection violation | 2016 | CFTC | $250,000 |
| The Yorkshire Group, Inc. | | | investor protection violation | 2016 | CFTC | $1,569,801 |
| IB Capital FX, LLC | | | investor protection violation | 2016 | CFTC | $35,420,000 |
| PanAmerican Seed Company | | | economic sanction violation | 2016 | OFAC | $4,320,000 |
| World Class Technology Corporation | | | economic sanction violation | 2016 | OFAC | $43,200 |
| Robert W. Baird & Co. | | | investor protection violation | 2016 | SEC | $250,000 |
| Portugal Telecom SGPS S.A. | | | accounting fraud or deficiencies | 2016 | SEC | $125,000 |
| Orrstown Financial Services, Inc. | | | accounting fraud or deficiencies | 2016 | SEC | $1,000,000 |
| Forcerank LLC | | | investor protection violation | 2016 | SEC | $50,000 |
| Lime Energy Co. | | | accounting fraud or deficiencies | 2016 | SEC | $1,000,000 |
| Powersecure International, Inc. | | | accounting fraud or deficiencies | 2016 | SEC | $470,000 |
| Pacific Investment Management Company (PIMCO) | | | investor protection violation | 2016 | SEC | $19,829,807 |
| CG Technology, L.P. dba Cantor Gaming | | | anti-money-laundering deficiencies | 2016 | FINCEN | $12,000,000 |
| Adams Capital Management | | | investor protection violation | 2017 | SEC | $45,000 |
| Aisling Capital | | | investor protection violation | 2017 | SEC | $70,456 |
| Alta Communications | | | investor protection violation | 2017 | SEC | $35,000 |
| Commonwealth Venture Management Corporation | | | investor protection violation | 2017 | SEC | $75,000 |
| Cypress Advisors | | | investor protection violation | 2017 | SEC | $35,000 |
| FFL Partners | | | investor protection violation | 2017 | SEC | $75,000 |
| Lime Rock Management | | | investor protection violation | 2017 | SEC | $75,000 |
| NGN Capital | | | investor protection violation | 2017 | SEC | $100,000 |
| Pershing Square Capital Management | | | investor protection violation | 2017 | SEC | $75,000 |
| The Banc Funds Company | | | investor protection violation | 2017 | SEC | $75,000 |
