| Tri-County Bank | | | banking violation | 2015 | FED | $5,000 |
| BCBank, Incorporated | | | banking violation | 2015 | FED | $5,000 |
| Altima Inc. | | | anti-money-laundering deficiencies | 2011 | FINCEN | $5,000 |
| Mariola International Co. | | | tax violations | 2016 | ATTTB | $5,000 |
| Mariola International Co. | | | tax violations | 2015 | ATTTB | $5,000 |
| Blue Label Products GP, LLC | | | tax violations | 2015 | ATTTB | $5,000 |
| Nimbus Brewing Company, LLC | | | tax violations | 2010 | ATTTB | $5,000 |
| Folio Wine Company, LLC | | | tax violations | 2010 | ATTTB | $5,000 |
| Spirits of the USA, LLC | | | tax violations | 2010 | ATTTB | $5,000 |
| Brenntag Northeast Inc. | Brenntag | wholesalers | tax violations | 2016 | ATTTB | $5,000 |
| Vidon Vineyard, LLC | | | tax violations | 2008 | ATTTB | $5,000 |
| Ka Keoki Brewing Company, LLC | | | tax violations | 2007 | ATTTB | $5,000 |
| Clipper City Brewing Company. L.P. | | | tax violations | 2006 | ATTTB | $5,000 |
| Matanzas Creek Winery | | | tax violations | 2003 | ATTTB | $5,000 |
| Cadierno Corp. | | | tax violations | 2001 | ATTTB | $5,000 |
| V. Suarez & Company, Inc | | | tax violations | 2001 | ATTTB | $5,000 |
| Viroment, Inc. | | | tax violations | 2001 | ATTTB | $5,000 |
| Cadierno Corp. | | | tax violations | 2000 | ATTTB | $5,000 |
| DELAWARE COUNTY BANK AND TRUST COMPANY, THE | | | banking violation | 2009 | FDIC | $5,000 |
| SLOVAK SAVINGS BANK | | | banking violation | 2009 | FDIC | $5,000 |
| BEDFORD LOAN & DEPOSIT BANK | | | banking violation | 2009 | FDIC | $5,000 |
| TRICENTURY BANK | | | banking violation | 2008 | FDIC | $5,000 |
| WESTERN STATE BANK | | | banking violation | 2007 | FDIC | $5,000 |
| LABE BANK | | | banking violation | 2006 | FDIC | $5,000 |
| HUDSON VALLEY BANK | | | banking violation | 2005 | FDIC | $5,000 |
| ROSLYN SAVINGS BANK | | | banking violation | 2002 | FDIC | $5,000 |
| WEST DES MOINES STATE BANK | | | banking violation | 2001 | FDIC | $5,000 |
| R-G PREMIER BANK OF PUERTO RICO | | | banking violation | 2001 | FDIC | $5,000 |
| Guaranty Bank | | | economic sanction violation | 2004 | OFAC | $5,000 |
| Silicon Semiconductor | | | economic sanction violation | 2004 | OFAC | $5,000 |
| Bancomer S.A. | | | economic sanction violation | 2003 | OFAC | $5,000 |
| Charmilles Techonologies Manufacturing Corporation | | | economic sanction violation | 2003 | OFAC | $5,000 |
| UBS (USA) Inc | UBS | financial services | economic sanction violation | 2003 | OFAC | $5,000 |
| Amcore Bank, National Association | | | banking violation | 2003 | OCC | $5,000 |
| First National Bank & Trust | | | banking violation | 2003 | OCC | $5,000 |
| The Fremont National Bank and Trust Company | | | banking violation | 2003 | OCC | $5,000 |
| Home National Bank | | | banking violation | 2000 | OCC | $5,000 |
| PanaMed Corp. | | | investor protection violation | 2004 | SEC | $5,000 |
| Bank of Lake Mills | | | banking violation | 2018 | FDIC | $5,000 |
| Sussex Bank | | | banking violation | 2018 | FDIC | $5,000 |
| BNB Capital, Inc. | | | investor protection violation | 2002 | SEC | $5,000 |
| National Stock Transfer Inc. | | | investor protection violation | 2000 | SEC | $5,000 |
| WWW Advisors, Inc. | | | investor protection violation | 2000 | SEC | $5,000 |
| Asset Timing Corp. | | | investor protection violation | 2000 | SEC | $5,000 |
| 39 Lispenard Project, LLC | | | investor protection violation | 2015 | NY-AG | $5,000 |
| AsymmetRx, Inc. | | | tax violations | 2013 | CT-AG | $5,000 |
| Commercial Truck & Lift Center, Inc. | | | tax violations | 2002 | HI-AG | $5,000 |
| Harrison Bros. Oysters, LLC | | | tax violations | 2008 | MD-AG | $5,000 |
| CLEVELAND STATE BANK | | | banking violation | 2011 | FDIC | $5,000 |
| PREMIER COMMUNITY BANK OF THE EMERALD COAST | | | banking violation | 2011 | FDIC | $5,000 |
| THE KANSAS STATE BANK | | | banking violation | 2011 | FDIC | $5,000 |
| GATEWAY BANK OF SOUTHWEST FLORIDA | | | banking violation | 2011 | FDIC | $5,000 |
| COLORADO EAST BANK & TRUST | | | banking violation | 2011 | FDIC | $5,000 |
| PATRIOTS BANK | | | banking violation | 2011 | FDIC | $5,000 |
| MICHIGAN COMMERCE BANK | | | banking violation | 2011 | FDIC | $5,000 |
| BANK OF MARINGOUIN | | | banking violation | 2011 | FDIC | $5,000 |
| CITIZENS STATE BANK OF LULING | | | banking violation | 2011 | FDIC | $5,000 |
| MERCHANTS AND PLANTERS BANK | | | banking violation | 2010 | FDIC | $5,000 |
| FOUNDATION BANK | | | banking violation | 2010 | FDIC | $5,000 |
| MERRIMAC SAVINGS BANK | | | banking violation | 2010 | FDIC | $5,000 |
| HIGHLAND COMMUNITY BANK | | | banking violation | 2010 | FDIC | $5,000 |
| COMMERCE BANK | | | banking violation | 2006 | FDIC | $5,000 |
| L&L CPAs, PA | | | accounting fraud or deficiencies | 2017 | PCAOB | $5,000 |
| William T. McCallum CPA, P.C. | | | accounting fraud or deficiencies | 2017 | PCAOB | $5,000 |
| SEJONG LLP | | | accounting fraud or deficiencies | 2017 | PCAOB | $5,000 |
| Donahue Associates LLC | | | accounting fraud or deficiencies | 2016 | PCAOB | $5,000 |
| Stein & Company, LLP | | | accounting fraud or deficiencies | 2015 | PCAOB | $5,000 |
| HDSG & Associates | | | accounting fraud or deficiencies | 2015 | PCAOB | $5,000 |
| Touchstone Funds Group Trust | | | investor protection violation | 2013 | AK-DBS | $5,000 |
| Arbor Capital Management, Inc. | | | investor protection violation | 2013 | AK-DBS | $5,000 |
| McKinley Capital Non-US Small Cap Growth Fund | | | investor protection violation | 2015 | AK-DBS | $5,000 |
| Clean Energy Pathways, Inc. | | | investor protection violation | 2010 | AL-SEC | $5,000 |
| Global Financial Private Capital, LLC | | | investor protection violation | 2014 | AL-SEC | $5,000 |
| Girosol of Kentucky, Corp. | | | investor protection violation | 2008 | AR-SEC | $5,000 |
| Southwestern Union Conference of Seventh-day Adventists | | | investor protection violation | 2008 | AR-SEC | $5,000 |
| Key Financial Corp. | | | investor protection violation | 2009 | AR-SEC | $5,000 |
| PowerOne Corp. | | | investor protection violation | 2014 | AR-SEC | $5,000 |
| Texas Energy Mutual, LLC | | | investor protection violation | 2014 | AR-SEC | $5,000 |
| Crews and Associates, Inc. | | | investor protection violation | 2019 | AR-SEC | $5,000 |
| Solium Financial Services LLC | Morgan Stanley | financial services | investor protection violation | 2019 | AR-SEC | $5,000 |
| Truckville Inc. dba EZ Finance Auto Sales | | | investor protection violation | 2000 | AZ-CC | $5,000 |
| Steven S. Levine Chartered | | | investor protection violation | 2001 | AZ-CC | $5,000 |
| William R. Evans Chartered | | | investor protection violation | 2002 | AZ-CC | $5,000 |
| Beneficial Assistance | | | investor protection violation | 2002 | AZ-CC | $5,000 |
| Estate Conservation Strategies, Inc. | | | investor protection violation | 2002 | AZ-CC | $5,000 |
| Universal FX Incorporated | | | investor protection violation | 2005 | AZ-CC | $5,000 |
| Worldwide Forex, Inc. | | | investor protection violation | 2005 | AZ-CC | $5,000 |
| Centenarios Gold, Inc. | | | investor protection violation | 2005 | AZ-CC | $5,000 |
| WSK Energy, L.L.C. | | | investor protection violation | 2006 | AZ-CC | $5,000 |
| Panama Capital Funding, L.L.C. | | | investor protection violation | 2008 | AZ-CC | $5,000 |
| Sports Dimensions, Inc. | | | investor protection violation | 2010 | AZ-CC | $5,000 |
| Global Trading Partners, LLC | | | investor protection violation | 2010 | AZ-CC | $5,000 |
| La Bella Investments, LLC | | | investor protection violation | 2010 | AZ-CC | $5,000 |
| Sellman Weis Mortgage & Investment Corp. | | | investor protection violation | 2010 | AZ-CC | $5,000 |
| New Rise Investments, L.L.C. and AZ Real Estate Group, L.L.C | | | investor protection violation | 2011 | AZ-CC | $5,000 |
| MT Explorations, LLC | | | investor protection violation | 2012 | AZ-CC | $5,000 |
| Real Estate Monster, LLC | | | investor protection violation | 2013 | AZ-CC | $5,000 |
| Biltmore Wealth Advisors, LLC | | | investor protection violation | 2015 | AZ-CC | $5,000 |
| Priority Wealth Advisors, Inc. | | | investor protection violation | 2020 | AZ-CC | $5,000 |
| Simpson Capital Management, Inc. | | | investor protection violation | 2014 | CA-DFPI | $5,000 |
| WCM Global Wealth, LLC | | | investor protection violation | 2015 | CA-DFPI | $5,000 |
