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

NFA orders New York, N.Y. swap dealer Goldman Sachs & Co., LLC to pay a $2,500,000 fine

November 19, 2022

NFA orders Connecticut-based Interactive Brokers LLC to pay a $250,000 fine

November 19, 2022

NFA permanently bars Denver-based commodity pool operator Yas Castellum LLC and its principal Marcus Brisco from membership

November 19, 2022

NFA orders Houston, Texas introducing broker Empire Energy Group LLC never to reapply for NFA membership

November 19, 2022

CFTC Penalizes and Permanently Bans Texan from Trading and Registration for Virtual Currencies Fraud

November 19, 2022

CFTC Charges Former Energy Broker with Paying Brokerage Kickbacks and Misappropriating Nonpublic Information

November 19, 2022

SEC Charges Creator of Global Crypto Ponzi Scheme and Three US Promoters in Connection with $295 Million Fraud

November 19, 2022

SEC Charges Halal Capital Founder with Multimillion Dollar Fraudulent Scheme That Targeted Muslim Community

November 19, 2022

SEC Adopts Rules to Enhance Proxy Voting Disclosure by Registered Investment Funds and Require Disclosure of “Say-on-Pay” Votes for Institutional Investment Managers

November 19, 2022

Keith E. Cassidy and Natasha Vij Greiner Appointed Deputy Directors of Division of Examinations

November 19, 2022

SEC Announces Departure of Chief of Staff Prashant Yerramalli and Appointment of Amanda Fischer to the Role

November 19, 2022

SEC Charges S&P Global Ratings with Conflict of Interest Violations

November 19, 2022

SEC Charges Unregistered Brokers That Facilitated More Than $1.2 Billion in Primarily Penny Stock Trades

November 19, 2022

SEC Seeks to Stop the Registration of Misleading Crypto Asset Offerings

November 19, 2022

SEC Announces Enforcement Results for FY22

November 19, 2022