| State | Class | Description | Cancellation | Min | Max | Action |
|---|---|---|---|---|---|---|
| SC | License/Permit | South Carolina Broker Dealer | 30 | $50,000 | $50,000 | |
| SC | License/Permit | South Carolina Broker Dealer | 30 | $35,000 | $35,000 | |
| SC | License/Permit | South Carolina Investment Adviser | 30 | $50,000 | $50,000 | |
| SC | License/Permit | South Carolina Investment Adviser | 30 | $35,000 | $35,000 |