215 Enforcement Actions in the U.S. over past 30 days

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FINRA enforcements decreased 70% over the past 30 days

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CME issued enforcements: $1,241,754.92 over the past 30 days

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161 Final Rules go into effect in the next 30 days

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44 Mortgage Lending docs published in the last 7 days

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1460 docs with 2637 extracted obligations from the last 7 days

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86 new Proposed and Final Rules were published in the past 7 days

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5687 new docs in pro.compliance.ai within the last 7 days

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Enforcement action change
 
  This week - ending Oct 10, 2021
  Most recent 90 days - Jul 12, 2021 - Oct 10, 2021
  Previous 90 days - Apr 12, 2021 - Jul 11, 2021
 

CFTC
156%

    46 docs
 
  18 docs
 

OCC
117%

    13 docs
 
  6 docs
 

SEC
52%

     
467 docs
 
  307 docs
 

OFAC
14%

    42 docs
 
  37 docs
 

FTC
6%

    221 docs
 
  209 docs
 

CFPB
-11%

    8 docs
 
  9 docs
 

FINRA
-32%

    117 docs
 
  172 docs
 

NYSE
-33%

    8 docs
 
  12 docs
 

FDIC
-55%

    15 docs
 
  33 docs
 

DOJ
-62%

    9 docs
 
  24 docs
 

TREAS
N/A

    8 docs
 
  3 docs
 

NYSE Arca
N/A

    2 docs
 
  6 docs
 
See full report     See further insights

This week's documents

CFTC 4 Enforcement Documents
$507,000.0 in Fines
Title: Complaint: Purvesh Mankad, et al.
Doc Type: Complaint
Published: 10/08/2021
Violation: -
Penalty: -
Title: Complaint: Storm Bryant, et al.
Doc Type: Complaint
Published: 10/08/2021
Violation: From at least March 2018 through the present (the “Relevant Period”), Storm Bryant and Elijah Bryant III (“Elijah Bryant”), individually and through CapitalStorm LLC (“Capital Storm”), generationbl...
Penalty: -

See all 4 Documents
SEC 5 Enforcement Documents
$6,519,594.0 in Fines
Title: Steven Pagartanis
Doc Type: Enforcement
Published: 10/07/2021
Violation: The SEC's complaint, filed May 30, 2018, alleged that while working as an investment professional, Pagartanis defrauded retail investors by selling investments using false and misleading statements...
Penalty: $6,519,594.00
Title: SEC Complaint - CanaFarma Hemp Products Corp., et al.
Doc Type: Enforcement
Published: 10/06/2021
Violation: Defendants perpetrated an investment offering fraud through which they raised millions of dollars from investors for a start-up hemp company called CanaFarma on the basis of misrepresentations abou...
Penalty: -

See all 5 Documents
OFAC 2 Enforcement Documents
$0.0 in Fines
Title: Iran-related Designations Removals; Non-proliferation Designations Removals
Doc Type: Financial Sanction
Published: 10/08/2021
Violation: N/A
Penalty: -
Title: Kingpin Act Designations
Doc Type: Financial Sanction
Published: 10/06/2021
Violation: N/A
Penalty: -

See all 2 Documents
FTC 7 Enforcement Documents
$2,259,900.0 in Fines
Title: Analysis of Proposed Consent Order to Aid Public Comment (128.86 KB) Resident Home LLC, In the Matter of (Administrative)
Doc Type: Consent Order
Published: 10/08/2021
Violation: This matter involves Respondents’ advertising of DreamCloud mattresses as of U.S. origin. According to the FTC’s complaint, Respondents represented that DreamCloud mattresses were “proudly made wit...
Penalty: $753,300.00
Title: Agreement Containing Consent Order [Without Signatures] (564.09 KB) Resident Home LLC, In the Matter of (Administrative)
Doc Type: Consent Order
Published: 10/08/2021
Violation: The Commission considered the matter and determined that it had reason to believe that Respondents have violated the Federal Trade Commission Act, and that a Complaint should issue stating its char...
Penalty: $753,300.00

See all 7 Documents
CFPB 2 Enforcement Documents
$1,273,400.0 in Fines
Title: American Advisors Group Proposed Stipulated Judgment and Order
Doc Type: Judgement
Published: 10/08/2021
Violation: The Complaint alleges violations of § 1036(a)(1)(B) of the Consumer Financial Protection Act of 2010 (CFPA), 12 U.S.C. § 5536(a)(1)(B), and violation of the 2016 administrative order that the Burea...
Penalty: $1,273,400.00
Title: American Advisors Group Complaint
Doc Type: Complaint
Published: 10/08/2021
Violation: The Consumer Financial Protection Bureau (Bureau) commenced a civil action against American Advisors Group (AAG) on October 8, 2021, to obtain injunctive and monetary relief and a civil money penal...
Penalty: -

See all 2 Documents
FINRA 8 Enforcement Documents
$4,894,384.48 in Fines
Title: Jennifer Ayers AWCs (Letters of Acceptance, Waiver, and Consent)
Doc Type: AWCs (Letters of Acceptance, Waiver, and Consent)
Published: 10/08/2021
Violation: In September 2021, Ayers refused to provide on-the-record testimony as requested by FINRA staff pursuant to FINRA Rule 8210, in violation of FINRA Rules 8210 and 2010.
Penalty: -
Title: Eric Shea Hollifield AWCs (Letters of Acceptance, Waiver, and Consent)
Doc Type: AWCs (Letters of Acceptance, Waiver, and Consent)
Published: 10/07/2021
Violation: In connection with FINRA’s investigation into whether Hollifield converted funds of an elderly customer, FINRA staff issued Hollifield requests to provide documents and information and appear for o...
Penalty: -

See all 8 Documents
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