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Financial Enforcement Action Summary for 11 12 2023
 
Enforcement action change
 
  This week - ending Nov 12, 2023
  Most recent 90 days - Aug 14, 2023 - Nov 12, 2023
  Previous 90 days - May 15, 2023 - Aug 13, 2023
 

CFTC
44%

    52 docs
 
  36 docs
 

CFPB
23%

    16 docs
 
  13 docs
 

SEC
21%

     
446 docs
 
  369 docs
 

FINRA
-20%

    81 docs
 
  101 docs
 

FDIC
-63%

    7 docs
 
  19 docs
 

FRS
N/A

    5 docs
 
  10 docs
 

HUD
N/A

    4 docs
 
  3 docs
 

OCC
N/A

    4 docs
 
  16 docs
 

TREAS
N/A

    4 docs
 
  16 docs
 

FINCEN
N/A

    2 docs
 
   
 

DOJ
N/A

     
 
  2 docs
 

FTC
N/A

     
 
  52 docs
 
See full report     See further insights

This week's documents

CFTC 1 Enforcement Document
$0.0 in Fines
Title: Addendum: FY 2023 Enforcement Actions
Doc Type: Enforcement Order
Published: 11/07/2023
Violation: -
Penalty: -

See all 1 Document
CFPB 2 Enforcement Documents
$0.0 in Fines
Title: Citibank, N.A. Stipulation
Doc Type: Enforcement Order
Published: 11/08/2023
Violation: -
Penalty: -
Title: Citibank, N.A. Consent Order
Doc Type: Consent Order
Published: 11/08/2023
Violation: -
Penalty: -

See all 2 Documents
SEC 7 Enforcement Documents
$0.0 in Fines
Title: SEC Complaint -- John A. Masanotti, Jr. and Middlesex Mortgage Group, LLC
Doc Type: Complaint
Published: 11/09/2023
Violation: -
Penalty: -
Title: John A. Masanotti, Jr. and Middlesex Mortgage Group, LLC
Doc Type: Enforcement
Published: 11/09/2023
Violation: -
Penalty: -

See all 7 Documents
FINRA 4 Enforcement Documents
$0.0 in Fines
Title: Home Financial Services, Inc. AWCs (Letters of Acceptance, Waiver, and Consent)
Doc Type: AWCs (Letters of Acceptance, Waiver, and Consent)
Published: 11/09/2023
Violation: -
Penalty: -
Title: Commonwealth Australia Securities, LLC AWCs (Letters of Acceptance, Waiver, and Consent)
Doc Type: AWCs (Letters of Acceptance, Waiver, and Consent)
Published: 11/09/2023
Violation: -
Penalty: -

See all 4 Documents
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