Financial Services Enforcement Actions
346 from Securities and Exchange Commission, 158 from Financial Industry Regulatory Authority, 92 from Consumer Financial Protection Bureau, 86 from New York Attorney General, 51 from Department of Justice, 31 from California Attorney General, 12 from Florida Attorney General, 7 from Federal Trade Commission, 3 from Texas Attorney General, 1 from Illinois Attorney General
Showing 1–50 of 787 cases
Case NameOutcomePenaltyDate Filed
In the Matter of Danish RaufSettled—— · FINRA
In the Matter of Danish RaufSettled——
FINRA In the Matter of Stash Capital LLCSettled$450K— · FINRA
FINRA In the Matter of Stash Capital LLCSettled$450K—
DOJ v. LeechPending—— · DOJ
DOJ v. LeechPending——
DOJ v. Misam M. AbidiPending—— · DOJ
DOJ v. Misam M. AbidiPending——
TX-AG v. GreenSky Holdings, LLC and GreenSky, LLCSettled—— · TX-AG
TX-AG v. GreenSky Holdings, LLC and GreenSky, LLCSettled——
NY-AG v. Marshall, Miles BurtonConvicted—— · NY-AG
NY-AG v. Marshall, Miles BurtonConvicted——
NY-AG v. Uphold HQ, Inc.Settled—— · NY-AG
NY-AG v. Uphold HQ, Inc.Settled——
CA-AG v. Select Portfolio ServicingSettled—— · CA-AG
CA-AG v. Select Portfolio ServicingSettled——
FINRA v. William Steven CookeSettled—— · FINRA
FINRA v. William Steven CookeSettled——
In the Matter of Anthony SicaSettled—— · FINRA
In the Matter of Anthony SicaSettled——
In the Matter of Avinesh K. ShankarSettled—— · FINRA
In the Matter of Avinesh K. ShankarSettled——
In the Matter of ScholnickSettled—— · FINRA
In the Matter of ScholnickSettled——
In the Matter of Roger Allan RoemmichSettled—— · FINRA
In the Matter of Roger Allan RoemmichSettled——
FINRA v. Justin KimSettled—— · FINRA
FINRA v. Justin KimSettled——
In the Matter of David Nathan CohenSettled—— · FINRA
In the Matter of David Nathan CohenSettled——
In the Matter of Chapin Davis, Inc.Settled$45K— · FINRA
In the Matter of Chapin Davis, Inc.Settled$45K—
FINRA In the Matter of BTIG, LLCSettled$600K— · FINRA
FINRA In the Matter of BTIG, LLCSettled$600K—
In the Matter of VectorGlobal WMG, Inc.Settled$200K— · FINRA
In the Matter of VectorGlobal WMG, Inc.Settled$200K—
In the Matter of The Ultima Global Markets (USA), Inc. fka BCS Global MarketsSettled$100K— · FINRA
In the Matter of The Ultima Global Markets (USA), Inc. fka BCS Global MarketsSettled$100K—
FINRA In the Matter of Arcadia Securities, LLCSettled$40K— · FINRA
FINRA In the Matter of Arcadia Securities, LLCSettled$40K—
FINRA In the Matter of Canaccord Genuity LLCSettled—— · FINRA
FINRA In the Matter of Canaccord Genuity LLCSettled——
In the Matter of Herold & Lantern Investments, Inc.Settled$125K— · FINRA
In the Matter of Herold & Lantern Investments, Inc.Settled$125K—
FINRA In the Matter of Aegis Capital Corp.Settled$400K— · FINRA
FINRA In the Matter of Aegis Capital Corp.Settled$400K—
FINRA v. Tradier Brokerage, Inc.Settled$75K— · FINRA
FINRA v. Tradier Brokerage, Inc.Settled$75K—
In the Matter of Kipling Jones & Co., Ltd. and Robbi Julene JonesPending$38K— · FINRA
In the Matter of Kipling Jones & Co., Ltd. and Robbi Julene JonesPending$38K—
In the Matter of Alpaca Securities LLCSettled$300K— · FINRA
In the Matter of Alpaca Securities LLCSettled$300K—
FTC v. Cliq Inc. d/b/a Cardflex Inc.Settled—— · FTC
FTC v. Cliq Inc. d/b/a Cardflex Inc.Settled——
FTC v. National Amendment AssistancePending—— · FTC
FTC v. National Amendment AssistancePending——
FTC v. Golden Home ServicesSettled—— · FTC
FTC v. Golden Home ServicesSettled——
DOJ v. Bob HunterConvicted—— · DOJ
DOJ v. Bob HunterConvicted——
CA-AG v. Crossroads Equipment Lease and FinanceSettled—— · CA-AG
CA-AG v. Crossroads Equipment Lease and FinanceSettled——
FTC v. PaddleSettled—— · FTC
FTC v. PaddleSettled——
FTC v. PayPal, Stripe, Visa and MastercardPending—— · FTC
FTC v. PayPal, Stripe, Visa and MastercardPending——
DOJ v. ZHAN PETROSYANTSPending—— · DOJ
DOJ v. ZHAN PETROSYANTSPending——
DOJ v. Luciano SchipellitiPending$250K— · DOJ
DOJ v. Luciano SchipellitiPending$250K—
USA v. Frank HamiltonConvicted$6.1M— · DOJ
USA v. Frank HamiltonConvicted$6.1M—
IL-AG v. Bank of AmericaSettled—— · IL-AG
IL-AG v. Bank of AmericaSettled——
TX-AG v. S&P Global Inc.Pending—— · TX-AG
TX-AG v. S&P Global Inc.Pending——
TX-AG v. Morningstar, Inc.Pending—— · TX-AG
TX-AG v. Morningstar, Inc.Pending——
FL-AG v. Matthew Vincent MuratoriConvicted—— · FL-AG
FL-AG v. Matthew Vincent MuratoriConvicted——
FL-AG v. Frazee, Shafer, Penn, Akushe, Nevarez, Durrant, Phillips, and ClaytonPending—— · FL-AG
FL-AG v. Frazee, Shafer, Penn, Akushe, Nevarez, Durrant, Phillips, and ClaytonPending——
FL-AG v. Bernard Joseph McBride, Jr.Convicted—— · FL-AG
FL-AG v. Bernard Joseph McBride, Jr.Convicted——
FL-AG v. Tyler AndersonPending—— · FL-AG
FL-AG v. Tyler AndersonPending——
FL-AG v. Tamer EliaPending—— · FL-AG
FL-AG v. Tamer EliaPending——
FL-AG v. Ricardo KarnsPending—— · FL-AG
FL-AG v. Ricardo KarnsPending——
FL-AG v. Juan Paulo Galeano and Carlos Andrews Cardona GomezPending—— · FL-AG
FL-AG v. Juan Paulo Galeano and Carlos Andrews Cardona GomezPending——
FL-AG v. Chargebacks911Settled$150K— · FL-AG
FL-AG v. Chargebacks911Settled$150K—
FL-AG v. Western UnionPending—— · FL-AG
FL-AG v. Western UnionPending——
FL-AG v. Leandro ObenauerConvicted—— · FL-AG
FL-AG v. Leandro ObenauerConvicted——
NY-AG v. PHH Mortgage CorporationSettled—— · NY-AG
NY-AG v. PHH Mortgage CorporationSettled——