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Enforcement action change
 
  This week - ending Sep 18, 2022
  Most recent 90 days - Jun 20, 2022 - Sep 18, 2022
  Previous 90 days - Mar 21, 2022 - Jun 19, 2022
 

SEC
24%

     
379 docs
 
  306 docs
 

CFPB
N/A

    11 docs
 
  11 docs
 

FINRA
-10%

    120 docs
 
  133 docs
 

OFAC
-26%

    46 docs
 
  62 docs
 

CFTC
-34%

    21 docs
 
  32 docs
 

FTC
-35%

    107 docs
 
  164 docs
 

FDIC
-70%

    11 docs
 
  37 docs
 

NYSE
N/A

    3 docs
 
   
 

NYSE Arca
N/A

    3 docs
 
  7 docs
 

TREAS
N/A

    2 docs
 
  5 docs
 

FINCEN
N/A

     
 
  1 doc
 

OCC
N/A

     
 
  1 doc
 
See full report     See further insights

This week's documents

SEC 56 Enforcement Documents
$5,554,590.96 in Fines
Title: TBG Holdings Corporation
Doc Type: Enforcement
Published: 09/16/2022
Violation: -
Penalty: -
Title: Martin A. Ruiz
Doc Type: Enforcement
Published: 09/16/2022
Violation: -
Penalty: -

See all 56 Documents
FINRA 5 Enforcement Documents
$5,000.0 in Fines
Title: Solomon Wei-En Hua AWCs (Letters of Acceptance, Waiver, and Consent)
Doc Type: AWCs (Letters of Acceptance, Waiver, and Consent)
Published: 09/16/2022
Violation: -
Penalty: -
Title: Raymond E. Jennison, Jr. AWCs (Letters of Acceptance, Waiver, and Consent)
Doc Type: AWCs (Letters of Acceptance, Waiver, and Consent)
Published: 09/16/2022
Violation: -
Penalty: -

See all 5 Documents
OFAC 16 Enforcement Documents
$0.0 in Fines
Title: Issuance of Russia-related General License
Doc Type: Financial Sanction
Published: 09/15/2022
Violation: -
Penalty: -
Title: Publication of Russia-related Determinations and Frequently Asked Questions
Doc Type: Financial Sanction
Published: 09/15/2022
Violation: -
Penalty: -

See all 16 Documents
CFTC 2 Enforcement Documents
$0.0 in Fines
Title: Consent order: Arie Bos
Doc Type: Consent Order
Published: 09/16/2022
Violation: -
Penalty: -
Title: Order: Caniff et, al
Doc Type: Enforcement Order
Published: 09/16/2022
Violation: -
Penalty: -

See all 2 Documents
FTC 4 Enforcement Documents
$0.0 in Fines
Title: Complaint Counsel's Expedited Motion to Continue Evidentiary Hearing Date and Prehearing Deadlines -- HomeAdvisor, In the Matter of
Doc Type: Complaint
Published: 09/16/2022
Violation: -
Penalty: -
Title: Complaint Counsel's Expedited Motion for Discovery Sanctions Against HomeAdvisor, Inc. -- HomeAdvisor, In the Matter of
Doc Type: Complaint
Published: 09/16/2022
Violation: -
Penalty: -

See all 4 Documents
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