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Enforcement action change
 
  This week - ending Jun 12, 2022
  Most recent 90 days - Mar 14, 2022 - Jun 12, 2022
  Previous 90 days - Dec 13, 2021 - Mar 13, 2022
 

CFTC
74%

    33 docs
 
  19 docs
 

SEC
67%

     
265 docs
 
  159 docs
 

OFAC
28%

    69 docs
 
  54 docs
 

FINRA
4%

    129 docs
 
  124 docs
 

FTC
-26%

    160 docs
 
  217 docs
 

FDIC
-43%

    16 docs
 
  28 docs
 

CFPB
N/A

    10 docs
 
  2 docs
 

NYSE
N/A

    8 docs
 
  3 docs
 

NYSE Arca
N/A

    5 docs
 
  1 doc
 

TREAS
N/A

    5 docs
 
  5 docs
 

OCC
N/A

    3 docs
 
  8 docs
 

FINCEN
N/A

    2 docs
 
  1 doc
 

DOJ
N/A

     
 
  3 docs
 
See full report     See further insights

This week's documents

SEC 37 Enforcement Documents
$43,773,612.07 in Fines
Title: SEC Complaint - A.G. Morgan Financial Advisors, LLC et al.
Doc Type: Enforcement
Published: 06/10/2022
Violation: -
Penalty: -
Title: A.G. Morgan Financial Advisors, LLC et al.
Doc Type: Enforcement
Published: 06/10/2022
Violation: -
Penalty: -

See all 37 Documents
OFAC 3 Enforcement Documents
$0.0 in Fines
Title: Issuance of Syria General License 21A, Venezuela General License 39A, and Iran General License N-1, "Authorizing Certain Activities to Respond to the Coronavirus Disease 2019 (COVID-19) Pandemic" and Related Frequently Asked Questions
Doc Type: Financial Sanction
Published: 06/10/2022
Violation: -
Penalty: -
Title: Publication of new Russia-related Frequently Asked Questions
Doc Type: Financial Sanction
Published: 06/09/2022
Violation: -
Penalty: -

See all 3 Documents
FINRA 13 Enforcement Documents
$5,000.0 in Fines
Title: JORGE ANTONIO NETTO OHO Decisions
Doc Type: OHO Decisions
Published: 06/10/2022
Violation: -
Penalty: -
Title: MEGURDITCH PATATIAN OHO Decisions
Doc Type: OHO Decisions
Published: 06/10/2022
Violation: -
Penalty: -

See all 13 Documents
FTC 8 Enforcement Documents
$0.0 in Fines
Title: Respondent's Memorandum of Law in Opposition to Complaint Counsel's Motion for Summary Decision -- HomeAdvisor, In the Matter of
Doc Type: Complaint
Published: 06/10/2022
Violation: -
Penalty: -
Title: Respondents' Motion for Official Notice of Myblu Marketing Denial Letter -- Altria Group/JUUL Labs, In the Matter of
Doc Type: Motion
Published: 06/07/2022
Violation: -
Penalty: -

See all 8 Documents
CFPB 2 Enforcement Documents
$0.0 in Fines
Title: Frank Ronald Gebase, Jr. Proposed Stipulated Final Judgment and Order
Doc Type: Judgement
Published: 06/09/2022
Violation: -
Penalty: -
Title: Frank Ronald Gebase, Jr. Complaint
Doc Type: Complaint
Published: 06/09/2022
Violation: -
Penalty: -

See all 2 Documents
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