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Financial Enforcement Action Summary for 05 12 2024
 
Enforcement action change
 
  This week - ending May 12, 2024
  Most recent 90 days - Feb 12, 2024 - May 12, 2024
  Previous 90 days - Nov 13, 2023 - Feb 11, 2024
 

SEC
36%

    225 docs
 
  165 docs
 

CFTC
N/A

    17 docs
 
  17 docs
 

FTC
-10%

    174 docs
 
  194 docs
 

FINRA
-19%

    112 docs
 
  138 docs
 

OCC
-50%

    16 docs
 
  32 docs
 

FDIC
-67%

    14 docs
 
  42 docs
 

NCUA
N/A

     
952 docs
 
  2 docs
 

TREAS
N/A

    6 docs
 
  4 docs
 

HUD
N/A

    3 docs
 
  2 docs
 

CFPB
N/A

     
 
  14 docs
 

FINCEN
N/A

     
 
  2 docs
 

FRS
N/A

     
 
  2 docs
 
See full report     See further insights

This week's documents

SEC 13 Enforcement Documents
$265,000.0 in Fines
Title: C-Bond Systems, Inc. and Scott Silverman
Doc Type: Enforcement
Published: 05/08/2024
Violation: -
Penalty: -
Title: Gene Daniel Levoff, Esq.
Doc Type: Enforcement
Published: 05/08/2024
Violation: On June 30, 2022, Levoff pled guilty to six counts of securities fraud in connection with the criminal complaint. On December 11, 2023, the United States District Court for the District of New Jers...
Penalty: -

See all 13 Documents
FTC 3 Enforcement Documents
$0.0 in Fines
Title: Non-Party Uber Technologies, Inc.'s Unopposed Motion to Extend the Time to Move to Quash or Limit Subpoena -- Kroger Company/Albertsons Companies, Inc., In the Matter of
Doc Type: Motion
Published: 05/07/2024
Violation: -
Penalty: -
Title: Order Setting Scheduling Conference -- Tapestry, Inc./Capri Holdings Limited, In the Matter of
Doc Type: Enforcement Order
Published: 05/07/2024
Violation: -
Penalty: -

See all 3 Documents
FINRA 7 Enforcement Documents
$750,000.0 in Fines
Title: Merrill Lynch, Pierce, Fenner & Smith Incorporated AWCs (Letters of Acceptance, Waiver, and Consent)
Doc Type: AWCs (Letters of Acceptance, Waiver, and Consent)
Published: 05/09/2024
Violation: -
Penalty: -
Title: Kris Min Lee-Kim AWCs (Letters of Acceptance, Waiver, and Consent)
Doc Type: AWCs (Letters of Acceptance, Waiver, and Consent)
Published: 05/09/2024
Violation: -
Penalty: -

See all 7 Documents
NCUA 949 Enforcement Documents
$216,766,680.90999997 in Fines
Title: Pogue, Joseph E. Former officials of Unified Singers Federal Credit Union of Thomasville, Georgia
Doc Type: Enforcement
Published: 05/10/2024
Violation: -
Penalty: -
Title: Edraney, Stephen E. Former Manager/Consultant Bethlehem Municipal Employees FCU Bethlehem, Pennsylvania
Doc Type: Enforcement
Published: 05/10/2024
Violation: N/A
Penalty: -

See all 949 Documents
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