Financial Services Enforcement Actions
326 from Securities and Exchange Commission, 143 from Financial Industry Regulatory Authority, 92 from Consumer Financial Protection Bureau, 84 from New York Attorney General, 47 from Department of Justice, 29 from California Attorney General, 12 from Florida Attorney General, 2 from Federal Trade Commission, 2 from Texas Attorney General, 1 from Illinois Attorney General
Showing 1–50 of 738 cases
Case NameOutcomePenaltyDate Filed
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——
NY-AG v. Thomas LaganConvicted—— · NY-AG
NY-AG v. Thomas LaganConvicted——
NY-AG v. STAR Exemption AdvisorSettled$920K— · NY-AG
NY-AG v. STAR Exemption AdvisorSettled$920K—
In the Matter of CFPBPending—— · NY-AG
In the Matter of CFPBPending——
NY-AG v. ACS Education ServicesSettled—— · NY-AG
NY-AG v. ACS Education ServicesSettled——
NY-AG v. UBS AGSettled—— · NY-AG
NY-AG v. UBS AGSettled——
NY-AG v. Western UnionSettled—— · NY-AG
NY-AG v. Western UnionSettled——
NY-AG v. Anthony NyameConvicted—— · NY-AG
NY-AG v. Anthony NyameConvicted——
NY-AG v. Porsal Equities Ltd.Settled—— · NY-AG
NY-AG v. Porsal Equities Ltd.Settled——
NY-AG v. Reliance Star Payment Services, Inc.Settled—— · NY-AG
NY-AG v. Reliance Star Payment Services, Inc.Settled——
NY-AG v. Wells FargoSettled—— · NY-AG
NY-AG v. Wells FargoSettled——
NY-AG v. Credit SuisseSettled—— · NY-AG
NY-AG v. Credit SuisseSettled——
NY-AG v. TFS-ICAP LIMITEDConvicted—— · NY-AG
NY-AG v. TFS-ICAP LIMITEDConvicted——
NY-AG v. CFPBPending—— · NY-AG
NY-AG v. CFPBPending——
NY-AG v. Franklin MaroneConvicted—— · NY-AG
NY-AG v. Franklin MaroneConvicted——
NY-AG v. Franklin S. MaroneConvicted—— · NY-AG
NY-AG v. Franklin S. MaroneConvicted——
NY-AG v. CitibankSettled—— · NY-AG
NY-AG v. CitibankSettled——
NY-AG v. Richard SherwoodConvicted$3.7M— · NY-AG
NY-AG v. Richard SherwoodConvicted$3.7M—
NY-AG v. Bank of America Merrill LynchSettled—— · NY-AG
NY-AG v. Bank of America Merrill LynchSettled——
NY-AG v. UBSSettled—— · NY-AG
NY-AG v. UBSSettled——
NY-AG v. Jean Mythro DavilmarConvicted—— · NY-AG
NY-AG v. Jean Mythro DavilmarConvicted——
NY-AG v. Royal Bank of ScotlandSettled—— · NY-AG
NY-AG v. Royal Bank of ScotlandSettled——
NY-AG v. Trustage Insurance AgencySettled$75K— · NY-AG
NY-AG v. Trustage Insurance AgencySettled$75K—
NY-AG v. FlorisPending—— · NY-AG
NY-AG v. FlorisPending——
NY-AG v. Kevin Singleton-LeeConvicted$125K— · NY-AG
NY-AG v. Kevin Singleton-LeeConvicted$125K—
NY-AG v. STAR Exemption AdvisorUnknown—— · NY-AG
NY-AG v. STAR Exemption AdvisorUnknown——
NY-AG v. MaronePending—— · NY-AG
NY-AG v. MaronePending——
In the Matter of Investor Protection BureauPending—— · NY-AG
In the Matter of Investor Protection BureauPending——
CA-AG v. UnknownPending—— · CA-AG
CA-AG v. UnknownPending——
CA-AG v. Paul FlanaganConvicted$500K— · CA-AG
CA-AG v. Paul FlanaganConvicted$500K—
CA-AG v. UnknownPending—— · CA-AG
CA-AG v. UnknownPending——
CA-AG v. Artichoke Joe’s CasinoSettled—— · CA-AG
CA-AG v. Artichoke Joe’s CasinoSettled——
NY-AG v. Capital OneSettled—— · NY-AG
NY-AG v. Capital OneSettled——
NY-AG v. Wojeski & CompanySettled$60K— · NY-AG
NY-AG v. Wojeski & CompanySettled$60K—
NY-AG v. Capital OnePending—— · NY-AG
NY-AG v. Capital OnePending——