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Enforcement action change
 
  This week - ending Dec 19, 2021
  Most recent 90 days - Sep 20, 2021 - Dec 19, 2021
  Previous 90 days - Jun 21, 2021 - Sep 19, 2021
 

CFTC
71%

    36 docs
 
  21 docs
 

CFPB
29%

    9 docs
 
  7 docs
 

OFAC
9%

    50 docs
 
  46 docs
 

FINRA
-5%

    124 docs
 
  131 docs
 

OCC
-17%

    10 docs
 
  12 docs
 

SEC
-29%

    295 docs
 
   
414 docs
 

DOJ
-45%

    12 docs
 
  22 docs
 

FTC
-63%

    108 docs
 
  295 docs
 

FDIC
N/A

    5 docs
 
  26 docs
 

HUD
N/A

    4 docs
 
  3 docs
 

TREAS
N/A

    4 docs
 
  6 docs
 

FINCEN
N/A

     
 
  1 doc
 

NYSE
N/A

     
 
  11 docs
 

NYSE Arca
N/A

     
 
  3 docs
 
See full report     See further insights

This week's documents

OFAC 3 Enforcement Documents
$0.0 in Fines
Title: Central African Republic Designation
Doc Type: Financial Sanction
Published: 12/17/2021
Violation: -
Penalty: -
Title: Non-SDN Chinese Military-Industrial Complex Companies (NS-CMIC) List Updates; Administrative Updates to the SDN, Consolidated, NS-CMIC, and SSI Lists
Doc Type: Financial Sanction
Published: 12/16/2021
Violation: -
Penalty: -

See all 3 Documents
FINRA 11 Enforcement Documents
$0.0 in Fines
Title: Todd Franklin Kling AWCs (Letters of Acceptance, Waiver, and Consent)
Doc Type: AWCs (Letters of Acceptance, Waiver, and Consent)
Published: 12/17/2021
Violation: -
Penalty: -
Title: SagePoint Financial, Inc. AWCs (Letters of Acceptance, Waiver, and Consent)
Doc Type: AWCs (Letters of Acceptance, Waiver, and Consent)
Published: 12/17/2021
Violation: -
Penalty: -

See all 11 Documents
OCC 1 Enforcement Document
$0.0 in Fines
Title: Communitybank of Texas, National Association
Doc Type: Civil Money Penalty
Published: 12/16/2021
Violation: -
Penalty: -

See all 1 Document
SEC 10 Enforcement Documents
$0.0 in Fines
Title: J.P. Morgan Securities LLC
Doc Type: Enforcement
Published: 12/17/2021
Violation: -
Penalty: -
Title: John A. Paulsen
Doc Type: Enforcement
Published: 12/16/2021
Violation: -
Penalty: -

See all 10 Documents
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