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Enforcement action change
 
  This week - ending Aug 07, 2022
  Most recent 90 days - May 09, 2022 - Aug 07, 2022
  Previous 90 days - Feb 07, 2022 - May 08, 2022
 

CFPB
133%

    14 docs
 
  6 docs
 

FINRA
16%

    125 docs
 
  108 docs
 

SEC
-3%

    289 docs
 
   
298 docs
 

CFTC
-17%

    24 docs
 
  29 docs
 

FDIC
-29%

    22 docs
 
  31 docs
 

OFAC
-45%

    41 docs
 
  74 docs
 

FTC
-61%

    66 docs
 
  168 docs
 

TREAS
N/A

    3 docs
 
  5 docs
 

NYSE
N/A

    1 doc
 
  7 docs
 

FINCEN
N/A

     
 
  2 docs
 

NYSE Arca
N/A

     
 
  5 docs
 

OCC
N/A

     
 
  6 docs
 
See full report     See further insights

This week's documents

FINRA 10 Enforcement Documents
$27,500.0 in Fines
Title: John A. Orlando Orders Accepting Offers of Settlement
Doc Type: Orders Accepting Offers of Settlement
Published: 08/05/2022
Violation: -
Penalty: -
Title: James R. Pecoraro AWCs (Letters of Acceptance, Waiver, and Consent)
Doc Type: AWCs (Letters of Acceptance, Waiver, and Consent)
Published: 08/04/2022
Violation: -
Penalty: -

See all 10 Documents
SEC 16 Enforcement Documents
$3,714,501.0 in Fines
Title: Distribution Plan -- Houston American Energy Corp., et al.
Doc Type: Enforcement
Published: 08/05/2022
Violation: -
Penalty: -
Title: Houston American Energy Corp., et al.
Doc Type: Enforcement
Published: 08/05/2022
Violation: -
Penalty: -

See all 16 Documents
CFTC 1 Enforcement Document
$0.0 in Fines
Title: Complaint: Daniel Lawrence Shak
Doc Type: Complaint
Published: 08/05/2022
Violation: -
Penalty: -

See all 1 Document
OFAC 2 Enforcement Documents
$0.0 in Fines
Title: Issuance of Russia-related General Licenses
Doc Type: Financial Sanction
Published: 08/03/2022
Violation: N/A
Penalty: -
Title: Russia-related Designations, Designations Updates, and Designation Removal; Issuance of Russia-related General Licenses; Publication of Russia-related Frequently Asked Questions
Doc Type: Financial Sanction
Published: 08/02/2022
Violation: N/A
Penalty: -

See all 2 Documents
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