Financial Enforcement Action Summary | December 2018

Financial Enforcement Action Summary | December 2018

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FRS

Dec 08 – Dec 14

1

Enforcement Documents

Dec 22 – Dec 28

Dec 29 – Dec 31

NYSE

$435,000.00 in Fines

3

Enforcement Documents

Dec 15 – Dec 21

Dec 22 – Dec 28

Dec 29 – Dec 31

CFPB

$528,869.00 in Fines

1

Enforcement Documents

Dec 08 – Dec 14

Dec 15 – Dec 21

Dec 22 – Dec 28

Dec 29 – Dec 31

FTC

$4,351,810.00 in Fines

4

Enforcement Documents

1

Enforcement Documents

1

Enforcement Documents

Dec 22 – Dec 28

Dec 29 – Dec 31

FINRA

$22,982,263.68 in Fines

7

Enforcement Documents

13

Enforcement Documents

12

Enforcement Documents

2

Enforcement Documents

Dec 29 – Dec 31

SEC

$403,045,903.86 in Fines

16

Enforcement Documents

32

Enforcement Documents

52

Enforcement Documents

13

Enforcement Documents

Dec 29 – Dec 31

$16,000,000.00

1

Enforcement Documents

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