Penalties: N/A
Respondent: Liju Varghese
Violation: Varghese indicated that he would not appear for on-the-record testimony that was requested pursuant to FINRA Rule 8210. As a result, Varghese violated FINRA Rules 8210 and 2010… Read More
131 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
40 Mortgage Lending docs published in the last 7 days
149 docs with 7429 extracted obligations from the last 7 days
58 new Proposed and Final Rules were published in the past 7 days
6800 new docs in pro.compliance.ai within the last 7 days
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