Stay up-to-date on recent enforcement actions, alerts, and regulatory news.

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FINRA Expels Monmouth Capital Management

FCM and IB Members—FinCEN updates its list of FATF-identified jurisdictions with AML/CFT deficiencies

NFA orders Vero Beach, Fla. introducing broker Ocean Solutions LLC to pay a $140,000 fine

SEC Charges Police Chief, Four Others in Connection with Insider Trading Before Pharmaceutical Merger

SEC Charges Stockbroker and Friend with Insider Trading

SEC Charges Two Oregon Residents and Their Related Entities with $10 Million Ponzi-Like Scheme

SEC Charges Merrill Lynch and Parent Company for Failing to File Suspicious Activity Reports

SEC Adopts Money Market Fund Reforms and Amendments to Form PF Reporting Requirements for Large Liquidity Fund Advisers

SEC Proposes Rule Amendments to the Broker-Dealer Customer Protection Rule

SEC Charges RSE Markets Inc. for Operating an Unregistered Securities Exchange

SEC Charges Celsius Network Limited and Founder Alex Mashinsky with Fraud and Unregistered Offer and Sale of Securities

SEC Charges Florida Resident for Operating $112 Million Ponzi Scheme that Targeted Haitian-American Community

SEC Charges Convicted Fraudster in Real Estate Ponzi Scheme

SEC Charges Investment Fund Founder William K. Ichioka with $25 Million Offering Fraud

SEC Charges Audit Firm Marcum LLP for Widespread Quality Control Deficiencies