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Enforcement action change
 
  This week - ending Nov 13, 2022
  Most recent 90 days - Aug 15, 2022 - Nov 13, 2022
  Previous 90 days - May 16, 2022 - Aug 14, 2022
 

FRS
329%

    30 docs
 
  7 docs
 

CFTC
140%

    48 docs
 
  20 docs
 

SEC
83%

     
523 docs
 
  286 docs
 

OFAC
33%

    60 docs
 
  45 docs
 

FINRA
4%

    131 docs
 
  126 docs
 

FDIC
-32%

    19 docs
 
  28 docs
 

FTC
-33%

    91 docs
 
  136 docs
 

OCC
-33%

    10 docs
 
  15 docs
 

CFPB
-60%

    6 docs
 
  15 docs
 

NYSE
N/A

    9 docs
 
   
 

TREAS
N/A

    5 docs
 
  3 docs
 

FINCEN
N/A

    1 doc
 
   
 

NYSE Arca
N/A

     
 
  5 docs
 
See full report     See further insights

This week's documents

SEC 11 Enforcement Documents
$0.0 in Fines
Title: SEC Complaint - Brian Wong
Doc Type: Enforcement
Published: 11/10/2022
Violation: -
Penalty: -
Title: Brian Wong
Doc Type: Enforcement
Published: 11/10/2022
Violation: -
Penalty: -

See all 11 Documents
OFAC 8 Enforcement Documents
$0.0 in Fines
Title: Issuance of Russia-related General License 8D
Doc Type: Financial Sanction
Published: 11/10/2022
Violation: -
Penalty: -
Title: Counter Terrorism Designations; Counter Narcotics Designations
Doc Type: Financial Sanction
Published: 11/09/2022
Violation: -
Penalty: -

See all 8 Documents
FINRA 9 Enforcement Documents
$0.0 in Fines
Title: James Walter Kondrasuk AWCs (Letters of Acceptance, Waiver, and Consent)
Doc Type: AWCs (Letters of Acceptance, Waiver, and Consent)
Published: 11/11/2022
Violation: -
Penalty: -
Title: Michael Joseph Lancaster AWCs (Letters of Acceptance, Waiver, and Consent)
Doc Type: AWCs (Letters of Acceptance, Waiver, and Consent)
Published: 11/11/2022
Violation: -
Penalty: -

See all 9 Documents
FTC 6 Enforcement Documents
$0.0 in Fines
Title: Order Granting Joint Motion for Extension of Time -- Intuit Inc., In the Matter of (TurboTax)
Doc Type: Enforcement Order
Published: 11/09/2022
Violation: -
Penalty: -
Title: Order Granting Respondent Altria Group Inc.'s Motion for Official Notice of Termination of the Non-Compete -- Altria Group/JUUL Labs, In the Matter of
Doc Type: Enforcement Order
Published: 11/09/2022
Violation: -
Penalty: -

See all 6 Documents
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