Penalties: $5,000.00
Respondent: Stephen Paul Florio
Violation: From January 5, 2016 through July 10, 2018, Florio exercised discretion without written authorization in a customer’s account, thereby violating NASD Rule 2510(b) and FINRA Rule 2010… Read More
125 Enforcement Actions in the U.S. over past 30 days
OFAC enforcements increased 50% over the past 30 days
SEC issued enforcements: $88,633,075.00 over the past 30 days
123 Final Rules go into effect in the next 30 days
51 Mortgage Lending docs published in the last 7 days
149 docs with 7429 extracted obligations from the last 7 days
40 new Proposed and Final Rules were published in the past 7 days
9248 new docs in pro.compliance.ai within the last 7 days
Download the Q3 Enforcement eBook now!
Join us Feb 4th at Comply 2021