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Financial Enforcement Action Summary for 01 30 2023
 
Enforcement action change
 
  This week - ending Feb 05, 2023
  Most recent 90 days - Nov 07, 2022 - Feb 05, 2023
  Previous 90 days - Aug 08, 2022 - Nov 06, 2022
 

OFAC
28%

    60 docs
 
  47 docs
 

FINRA
-8%

    120 docs
 
  131 docs
 

FTC
-9%

    90 docs
 
  99 docs
 

CFPB
-12%

    7 docs
 
  8 docs
 

FDIC
-13%

    26 docs
 
  30 docs
 

SEC
-59%

    221 docs
 
   
535 docs
 

CFTC
-75%

    12 docs
 
  48 docs
 

OCC
N/A

    5 docs
 
  22 docs
 

FRS
N/A

    3 docs
 
  30 docs
 

TREAS
N/A

    2 docs
 
  5 docs
 

FINCEN
N/A

     
 
  1 doc
 

NYSE
N/A

     
 
  9 docs
 
See full report     See further insights

This week's documents

OFAC 6 Enforcement Documents
$0.0 in Fines
Title: Guidance on Implementation of the Price Cap Policy for Crude Oil and Petroleum Products of Russian Federation Origin; Publication of Russia-related Determinations; Issuance of Russia-related General Licenses
Doc Type: Financial Sanction
Published: 02/03/2023
Violation: -
Penalty: -
Title: Iran-related Designations and Designation Update; Non-Proliferation Designations; Counter Terrorism Designation Update
Doc Type: Financial Sanction
Published: 02/03/2023
Violation: -
Penalty: -

See all 6 Documents
FINRA 9 Enforcement Documents
$0.0 in Fines
Title: Jong Ik Lee AWCs (Letters of Acceptance, Waiver, and Consent)
Doc Type: AWCs (Letters of Acceptance, Waiver, and Consent)
Published: 02/03/2023
Violation: -
Penalty: -
Title: UBS Securities, LLC AWCs (Letters of Acceptance, Waiver, and Consent)
Doc Type: AWCs (Letters of Acceptance, Waiver, and Consent)
Published: 02/03/2023
Violation: -
Penalty: -

See all 9 Documents
FTC 7 Enforcement Documents
$0.0 in Fines
Title: Order Granting Third Agreed Motion for Extension of Time -- Microsoft/Activision Blizzard, In the Matter of
Doc Type: Enforcement Order
Published: 02/02/2023
Violation: -
Penalty: -
Title: Agreed Motion of Non-Party Sony Interactive Entertainment LLC For Extension of Time to Move to Limit or Quash or Otherwise Respond to Subpoena -- Microsoft/Activision Blizzard, In the Matter of
Doc Type: Motion
Published: 02/01/2023
Violation: -
Penalty: -

See all 7 Documents
SEC 20 Enforcement Documents
$0.0 in Fines
Title: SEC Complaint - Windsor Jones LLC and Anthony Collins
Doc Type: Enforcement
Published: 02/03/2023
Violation: -
Penalty: -
Title: Windsor Jones LLC and Anthony Collins
Doc Type: Enforcement
Published: 02/03/2023
Violation: -
Penalty: -

See all 20 Documents
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