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Enforcement action change
 
  This week - ending Jan 15, 2023
  Most recent 90 days - Oct 17, 2022 - Jan 15, 2023
  Previous 90 days - Jul 18, 2022 - Oct 16, 2022
 

OFAC
39%

    61 docs
 
  44 docs
 

FTC
3%

    96 docs
 
  93 docs
 

FINRA
-12%

    108 docs
 
  123 docs
 

CFPB
-43%

    8 docs
 
  14 docs
 

FDIC
-54%

    13 docs
 
  28 docs
 

OCC
-60%

    6 docs
 
  15 docs
 

SEC
-61%

    212 docs
 
   
538 docs
 

CFTC
-63%

    17 docs
 
  46 docs
 

FRS
N/A

    3 docs
 
  30 docs
 

TREAS
N/A

    3 docs
 
  5 docs
 

FINCEN
N/A

     
 
  1 doc
 

NYSE
N/A

     
 
  9 docs
 
See full report     See further insights

This week's documents

OFAC 5 Enforcement Documents
$0.0 in Fines
Title: Issuance of Counter Terrorism General License and Amended Frequently Asked Question
Doc Type: Financial Sanction
Published: 01/12/2023
Violation: N/A
Penalty: -
Title: Implementation of the Federal Civil Penalties Inflation Adjustment Act
Doc Type: Financial Sanction
Published: 01/12/2023
Violation: N/A
Penalty: -

See all 5 Documents
FTC 4 Enforcement Documents
$3,544,712.44 in Fines
Title: Stipulated Order for Permanent Injunction, Monetary Judgment, Civil Penalty Judgment, and Other Relief -- WealthPress, Inc., et al., FTC v.
Doc Type: Enforcement Order
Published: 01/13/2023
Violation: The Complaint charges that Defendants participated in deceptive and unfair acts or practices that violate Section 5 of the FTC Act, 15 U.S.C. § 45, and Section 4 of ROSCA, 15 U.S.C. § 8403, and tha...
Penalty: $1,772,356.22
Title: Order -- WealthPress, Inc., et al., FTC v.
Doc Type: Enforcement Order
Published: 01/12/2023
Violation: The Complaint charges that Defendants participated in deceptive and unfair acts or practices that violate Section 5 of the FTC Act, 15 U.S.C. § 45, and Section 4 of ROSCA, 15 U.S.C. § 8403, and tha...
Penalty: $1,772,356.22

See all 4 Documents
FINRA 4 Enforcement Documents
$310,000.0 in Fines
Title: Electronic Transaction Clearing, Inc. AWCs (Letters of Acceptance, Waiver, and Consent)
Doc Type: AWCs (Letters of Acceptance, Waiver, and Consent)
Published: 01/13/2023
Violation: Between January 2020, and July 2020, ETC reported short interest positions for one customer that were also being reported by ETC's clearing firm, resulting in the firm overreporting its short inter...
Penalty: $150,000.00
Title: Nomura Securities International, Inc. AWCs (Letters of Acceptance, Waiver, and Consent)
Doc Type: AWCs (Letters of Acceptance, Waiver, and Consent)
Published: 01/13/2023
Violation: From June 2019 to March 2021, Nomura inaccurately calculated its net capital by misclassifying certain reverse repurchase agreements (reverse repos) with its corporate affiliate as allowable assets...
Penalty: $125,000.00

See all 4 Documents
SEC 20 Enforcement Documents
$10,383,244.06 in Fines
Title: Frontier Wealth Management, LLC and Shawn Sokolosky
Doc Type: Enforcement
Published: 01/13/2023
Violation: In the Order, the Commission found that from January 2016 to February 2018, Frontier failed to adopt and implement written policies and procedures reasonably designed to prevent its investment advi...
Penalty: -
Title: Blockchain Credit Partners d/b/a DeFi Money Market, Gregory Keough, and Derek Acree
Doc Type: Enforcement
Published: 01/13/2023
Violation: N/A
Penalty: -

See all 20 Documents
CFTC 1 Enforcement Document
$0.0 in Fines
Title: Complaint: Avraham Eisenberg
Doc Type: Complaint
Published: 01/10/2023
Violation: Between in or around October 11, 2022 and October 15, 2022 (“Relevant Period”), Avraham Eisenberg (“Eisenberg” or “Defendant“) engaged in a manipulative and deceptive scheme to artificially inflate...
Penalty: -

See all 1 Document
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