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SEC Enforcement: SEC Obtains Emergency Relief Freezing Assets and Halting an Alleged Ongoing Investment Advisory Fraud (Litigation Release No. 25241)
October 13, 2021
FINRA Enforcement: Member Firm and The AMLCO Failed To Maintain A Reasonable AML Program (Complaint No. 2016049565901)
October 13, 2021
FINRA Enforcement: Registered Representative Fraudulently Misrepresented and Omitted Material Facts, Recommended Unsuitable Securities, Converted Funds, and Created and Used Marketing Materials That Violated Standards (Complaint No. 2016051493704)
October 13, 2021
CFTC Enforcement: CFTC Charges 14 Entities for Failing to Register as FCMs or Falsely Claiming to be Registered
October 13, 2021
CFTC Enforcement: CFTC Orders Société Générale S.A. to Pay $1.5 Million for Mid-Market Mark, Swap Valuation Data and Supervision Failures
October 13, 2021
CFTC Enforcement: CFTC Charges Unregistered Commodity Trading Advisor, its Manager and a Managed Fund with Misappropriation and Fraud
October 13, 2021
CFTC Enforcement: CFTC Charges Two Men and Their Companies with Commodity Pool Fraud, Other Violations
October 13, 2021
CFTC Enforcement: CFTC Charges North Carolina Companies and Their Owners in $1 Million Foreign Currency Fraud and Misappropriation Scheme
October 13, 2021
CFTC Enforcement: Federal Court Orders Suffolk New York Man and His Company to Pay $370,000 for Commodity Pool Fraud and Misappropriation
October 13, 2021
RegComp Alert: FINRA Disciplinary Actions (September 2021)
September 23, 2021
Comments on Rulemaking Petition to Amend or Repeal the Pattern Day Trader Rule
September 23, 2021
SEC Awards $11.5 Million to Two Whistleblowers
September 23, 2021
Enforcement: Ronald P. Haller Pled Guilty to One Count of Defrauding a Brokerage Firm At Which He was An Accountholder of More Than $5,000, in Violation of Section 380(1)(a) of the Criminal Code of Canada. (Release No. 34-93046)
September 23, 2021
Enforcement: SEC Charges Poloniex for Operating Unregistered Digital Asset Exchange
September 23, 2021
Update to OFAC's list of Specially Designated Nationals (SDN) and Blocked Persons
September 23, 2021
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