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Financial Enforcement Action Summary for 03 17 2024
 
Enforcement action change
 
  This week - ending Mar 17, 2024
  Most recent 90 days - Dec 18, 2023 - Mar 17, 2024
  Previous 90 days - Sep 18, 2023 - Dec 17, 2023
 

OCC
5%

    21 docs
 
  20 docs
 

TREAS
N/A

    6 docs
 
  6 docs
 

FTC
-12%

    161 docs
 
  182 docs
 

FINRA
-24%

    103 docs
 
  136 docs
 

FDIC
-33%

    22 docs
 
  33 docs
 

CFTC
-50%

    21 docs
 
  42 docs
 

SEC
-86%

    45 docs
 
   
325 docs
 

CFPB
N/A

    4 docs
 
  19 docs
 

HUD
N/A

    3 docs
 
  3 docs
 

FINCEN
N/A

    1 doc
 
  2 docs
 

FRS
N/A

    1 doc
 
  4 docs
 
See full report     See further insights

This week's documents

OCC 2 Enforcement Documents
$0.0 in Fines
Title: AA-EC-2023-49 - JPMorgan Chase Bank, National Association - Start Document
Doc Type: Civil Money Penalty
Published: 03/14/2024
Violation: -
Penalty: -
Title: AA-EC-2023-50 - JPMorgan Chase Bank, National Association - Start Document
Doc Type: Cease and Desist Order
Published: 03/14/2024
Violation: -
Penalty: -

See all 2 Documents
TREAS 5 Enforcement Documents
$0.0 in Fines
Title: Settlement Agreement between the U.S. Department of the Treasury's Office of Foreign Assets Control and Australia and New Zealand Banking Group, Ltd.
Doc Type: Settlement Agreement
Published: 03/14/2024
Violation: -
Penalty: -
Title: Settlement Agreement between the U.S. Department of the Treasury's Office of Foreign Assets Control and Construction Specialties Inc.
Doc Type: Settlement Agreement
Published: 03/14/2024
Violation: -
Penalty: -

See all 5 Documents
FTC 14 Enforcement Documents
$0.0 in Fines
Title: Appellant's Proposed Conclusions of Law, Brief in Support, and Proposed Order -- Jonathan Wong, In the Matter of
Doc Type: Enforcement Order
Published: 03/15/2024
Violation: -
Penalty: -
Title: Supplemental Appeal Book of HISA -- Jonathan Wong, In the Matter of
Doc Type: Enforcement
Published: 03/15/2024
Violation: -
Penalty: -

See all 14 Documents
FINRA 8 Enforcement Documents
$0.0 in Fines
Title: Stifel, Nicolaus & Company, Inc. AWCs (Letters of Acceptance, Waiver, and Consent)
Doc Type: AWCs (Letters of Acceptance, Waiver, and Consent)
Published: 03/15/2024
Violation: -
Penalty: -
Title: Osaic Wealth, Inc., formerly known as Royal Alliance Associates, Inc., Securities America, Inc. AWCs (Letters of Acceptance, Waiver, and Consent)
Doc Type: AWCs (Letters of Acceptance, Waiver, and Consent)
Published: 03/14/2024
Violation: -
Penalty: -

See all 8 Documents
CFTC 5 Enforcement Documents
$0.0 in Fines
Title: Consent Order: Empires Consulting Corp, et al
Doc Type: Consent Order
Published: 03/15/2024
Violation: -
Penalty: -
Title: WB Award No. 24-WB-04
Doc Type: Enforcement Order
Published: 03/14/2024
Violation: -
Penalty: -

See all 5 Documents
SEC 4 Enforcement Documents
$0.0 in Fines
Title: Evoqua Water Technologies Corp. and Imran Parekh
Doc Type: Enforcement
Published: 03/15/2024
Violation: -
Penalty: -
Title: SEC Complaint -- Ismael Zarco Sanchez, et al.
Doc Type: Complaint
Published: 03/14/2024
Violation: -
Penalty: -

See all 4 Documents
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