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Regulatory Agency Updates 28 Jan
 
Enforcement action change
 
  This week - ending Jan 28, 2024
  Most recent 90 days - Oct 30, 2023 - Jan 28, 2024
  Previous 90 days - Jul 31, 2023 - Oct 29, 2023
 

FINRA
70%

    138 docs
 
  81 docs
 

FTC
34%

    183 docs
 
  137 docs
 

FDIC
8%

    27 docs
 
  25 docs
 

CFPB
7%

    16 docs
 
  15 docs
 

OCC
N/A

    9 docs
 
  9 docs
 

CFTC
-65%

    20 docs
 
  57 docs
 

SEC
-84%

    80 docs
 
   
485 docs
 

TREAS
N/A

    5 docs
 
  3 docs
 

FRS
N/A

    2 docs
 
  5 docs
 

HUD
N/A

    2 docs
 
  4 docs
 

FINCEN
N/A

    1 doc
 
  2 docs
 
See full report     See further insights

This week's documents

FINRA 7 Enforcement Documents
$0.0 in Fines
Title: Christina D. Peterman AWCs (Letters of Acceptance, Waiver, and Consent)
Doc Type: AWCs (Letters of Acceptance, Waiver, and Consent)
Published: 01/26/2024
Violation: -
Penalty: -
Title: James V. Scheidel Jr. AWCs (Letters of Acceptance, Waiver, and Consent)
Doc Type: AWCs (Letters of Acceptance, Waiver, and Consent)
Published: 01/26/2024
Violation: -
Penalty: -

See all 7 Documents
FTC 13 Enforcement Documents
$7,722,137.66 in Fines
Title: Appellant's Request for Continuance of Hearing -- Derrick Parram, In the Matter of
Doc Type: Enforcement
Published: 01/26/2024
Violation: -
Penalty: -
Title: Order Granting Motion for Continuance and Resetting Date for Evidentiary Hearing -- Derrick Parram, In the Matter of
Doc Type: Enforcement Order
Published: 01/26/2024
Violation: -
Penalty: -

See all 13 Documents
SEC 3 Enforcement Documents
$31,084,548.75 in Fines
Title: Jesus Rodriguez
Doc Type: Enforcement
Published: 01/25/2024
Violation: -
Penalty: -
Title: Aryeh Goldstein, Adar Bays, LLC, and Adar Alef, LLC
Doc Type: Enforcement
Published: 01/23/2024
Violation: The SEC’s complaint, filed in the U.S. District Court for the Southern District of Florida, alleges that, from at least 2014 through October 2021, the defendants operated as unregistered securities...
Penalty: $1,250,000.00

See all 3 Documents
HUD 1 Enforcement Document
$0.0 in Fines
Title: HUD Charges Montana Property Manager and Apartment Complex Owner with Retaliation
Doc Type: Enforcement
Published: 01/23/2024
Violation: -
Penalty: -

See all 1 Document
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