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Financial Enforcement Action Summary for 03 12 2023
 
Enforcement action change
 
  This week - ending Mar 12, 2023
  Most recent 90 days - Dec 12, 2022 - Mar 12, 2023
  Previous 90 days - Sep 12, 2022 - Dec 11, 2022
 

CFPB
12%

    9 docs
 
  8 docs
 

FTC
4%

    96 docs
 
  92 docs
 

OFAC
-15%

    52 docs
 
  61 docs
 

FINRA
-27%

    98 docs
 
  134 docs
 

SEC
-36%

    272 docs
 
   
424 docs
 

FDIC
-37%

    22 docs
 
  35 docs
 

CFTC
-59%

    18 docs
 
  44 docs
 

FRS
-78%

    6 docs
 
  27 docs
 

HUD
N/A

    2 docs
 
  10 docs
 

TREAS
N/A

    2 docs
 
  6 docs
 

FINCEN
N/A

     
 
  1 doc
 

NYSE
N/A

     
 
  9 docs
 

OCC
N/A

     
 
  17 docs
 
See full report     See further insights

This week's documents

FTC 3 Enforcement Documents
$129,416.0 in Fines
Title: Administrative Part 3 Complaint (Redacted Public Version) -- Intercontinental Exchange, Inc./Black Knight, Inc., In the Matter of
Doc Type: Complaint
Published: 03/09/2023
Violation: Count I – Illegal Agreement - The allegations of Paragraphs 1 through 137 above are incorporated by reference as though fully set forth herein. The Merger Agreement constitutes an unfair method of ...
Penalty: -
Title: Final Complaint and Decision and Order -- Prudential Security, et al., In the Matter of
Doc Type: Complaint
Published: 03/08/2023
Violation: Respondents’ imposition of Non-Compete Agreements took advantage of the unequal bargaining power between Respondents and their employees, particularly low-wage security guard employees. Respondents...
Penalty: -

See all 3 Documents
OFAC 4 Enforcement Documents
$0.0 in Fines
Title: Iran-related Designations; Non-Proliferation Designations
Doc Type: Financial Sanction
Published: 03/09/2023
Violation: N/A
Penalty: -
Title: Iran Sanctions
Doc Type: Financial Sanction
Published: 03/09/2023
Violation: N/A
Penalty: -

See all 4 Documents
FINRA 8 Enforcement Documents
$4,338,512.0 in Fines
Title: Jose M. Candelario Padilla AWCs (Letters of Acceptance, Waiver, and Consent)
Doc Type: AWCs (Letters of Acceptance, Waiver, and Consent)
Published: 03/10/2023
Violation: Between March 2020 and October 2020, Candelario Padilla recommended retail customers purchase leveraged and inverse exchange-traded funds (NT-ETFs) without having a sufficient understanding of the ...
Penalty: $28,922.00
Title: SageTrader, LLC AWCs (Letters of Acceptance, Waiver, and Consent)
Doc Type: AWCs (Letters of Acceptance, Waiver, and Consent)
Published: 03/09/2023
Violation: From July 2017 through November 2017, SageTrader mismarked approximately 9.7 million principal short sell orders, that resulted in approximately 390,000 executions, as long in violation of Rule 200...
Penalty: $175,000.00

See all 8 Documents
SEC 12 Enforcement Documents
$6,834,894.0 in Fines
Title: Jason P. Wootten
Doc Type: Enforcement
Published: 03/09/2023
Violation: The Commission’s Complaint alleged that, among other things, from October 2016 to February 2020, Wootten, through Family Tree, sold the Funds’ securities. None of the Funds’ securities offerings we...
Penalty: -
Title: Blackbaud, Inc.
Doc Type: Enforcement
Published: 03/09/2023
Violation: This matter concerns materially misleading disclosures by Blackbaud regarding a ransomware attack that resulted in the unauthorized access and exfiltration of sensitive customer information. Blackb...
Penalty: $3,000,000.00

See all 12 Documents
CFTC 1 Enforcement Document
$2,996,021.0 in Fines
Title: Consent Order: Coquest, Inc., et al.
Doc Type: Consent Order
Published: 03/08/2023
Violation: Plaintiff Commodity Futures Trading Commission is an independent federal regulatory agency that is charged by Congress with administering and enforcing the Act and the Regulations. Defendant Coques...
Penalty: $2,996,021.00

See all 1 Document
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