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Enforcement action change
 
  This week - ending Apr 09, 2023
  Most recent 90 days - Jan 09, 2023 - Apr 09, 2023
  Previous 90 days - Oct 10, 2022 - Jan 08, 2023
 

DOJ
143%

    17 docs
 
  7 docs
 

SEC
41%

     
290 docs
 
  205 docs
 

FTC
1%

    100 docs
 
  99 docs
 

CFTC
-6%

    16 docs
 
  17 docs
 

OFAC
-10%

    46 docs
 
  51 docs
 

CFPB
-12%

    7 docs
 
  8 docs
 

FINRA
-39%

    83 docs
 
  135 docs
 

OCC
-56%

    7 docs
 
  16 docs
 

FDIC
-67%

    13 docs
 
  39 docs
 

FRS
N/A

    3 docs
 
  30 docs
 

HUD
N/A

    3 docs
 
  4 docs
 

TREAS
N/A

    3 docs
 
  4 docs
 

FINCEN
N/A

     
 
  1 doc
 
See full report     See further insights

This week's documents

SEC 8 Enforcement Documents
$0.0 in Fines
Title: Bobby Peavler
Doc Type: Enforcement
Published: 04/07/2023
Violation: -
Penalty: -
Title: William Eric Meek
Doc Type: Enforcement
Published: 04/07/2023
Violation: -
Penalty: -

See all 8 Documents
FTC 1 Enforcement Document
$0.0 in Fines
Title: Stipulated Order for Permanent Injunction and Monetary Judgments -- Legacy Cremation Services
Doc Type: Enforcement Order
Published: 04/07/2023
Violation: -
Penalty: -

See all 1 Document
CFPB 1 Enforcement Document
$0.0 in Fines
Title: James R. Carnes; Melissa C. Carnes; James R. Carnes Revocable Trust; Melissa C. Carnes Revocable Trust Complaint
Doc Type: Complaint
Published: 04/05/2023
Violation: -
Penalty: -

See all 1 Document
FINRA 3 Enforcement Documents
$0.0 in Fines
Title: William F. Winchester III AWCs (Letters of Acceptance, Waiver, and Consent)
Doc Type: AWCs (Letters of Acceptance, Waiver, and Consent)
Published: 04/06/2023
Violation: -
Penalty: -
Title: SpeedRoute LLC AWCs (Letters of Acceptance, Waiver, and Consent)
Doc Type: AWCs (Letters of Acceptance, Waiver, and Consent)
Published: 04/04/2023
Violation: -
Penalty: -

See all 3 Documents
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