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1558 Enforcement Actions in the U.S. over past 30 days

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FTC enforcements decreased 55% over the past 30 days

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SEC issued enforcements: $37,812,859 over the past 30 days

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50 Final Rules go into effect in the next 7 days

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49 Mortgage Lending docs published in the last 7 days

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1670 docs with extracted obligations from the last 7 days

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new Proposed and Final Rules were published in the past 7 days

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11906 new docs in pro.compliance.ai within the last 7 days

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Enforcement action change
 
  This week - ending Feb 02, 2025
  Most recent 90 days - Nov 04, 2024 - Feb 02, 2025
  Previous 90 days - Aug 05, 2024 - Nov 03, 2024
 

FDIC
36%

    30 docs
 
  22 docs
 

CFPB
22%

    22 docs
 
  18 docs
 

DOJ
16%

    58 docs
 
  50 docs
 

FRS
6%

    17 docs
 
  16 docs
 

FTC
-11%

    238 docs
 
  266 docs
 

NCUA
-14%

    6 docs
 
  7 docs
 

OFAC
-16%

    27 docs
 
  32 docs
 

FINRA
-17%

    158 docs
 
  190 docs
 

SEC
-31%

    310 docs
 
   
447 docs
 

OCC
-50%

    16 docs
 
  32 docs
 

CFTC
-77%

    14 docs
 
  60 docs
 

HUD
N/A

    4 docs
 
  6 docs
 

FINCEN
N/A

     
 
  2 docs
 
See full report     See further insights

This week's documents

DOJ 12 Enforcement Documents
$63,000.0 in Fines
Title: Complaint - United States v. The Town of Oyster Bay ( E.D. N.Y.)
Doc Type: Complaint
Published: 01/31/2025
Violation: -
Penalty: -
Title: Settlement Agreement United States v. Park City Communities, (fka Bridgeport Housing Authority) (D. Conn.)
Doc Type: Settlement Agreement
Published: 01/31/2025
Violation: -
Penalty: -

See all 12 Documents
FTC 2 Enforcement Documents
$0.0 in Fines
Title: Order Reassigning Administrative Law Judge -- Scott Shell, In the Matter of
Doc Type: Enforcement Order
Published: 01/29/2025
Violation: -
Penalty: -
Title: Order Denying Application for Review of Witness Caps in the Scheduling Order -- Caremark Rx, Zinc Health Services, et al., In the Matter of (Insulin)
Doc Type: Enforcement Order
Published: 01/28/2025
Violation: -
Penalty: -

See all 2 Documents
NCUA 1 Enforcement Document
$0.0 in Fines
Title: Administrative Order: In the Matter of Shana M. Ware
Doc Type: Enforcement
Published: 01/31/2025
Violation: -
Penalty: -

See all 1 Document
FINRA 13 Enforcement Documents
$121,405.81 in Fines
Title: Santiago J. Torres Complaints
Doc Type: Complaint
Published: 01/31/2025
Violation: -
Penalty: -
Title: Danielle M. Freeman AWCs (Letters of Acceptance, Waiver, and Consent)
Doc Type: Enforcement
Published: 01/31/2025
Violation: -
Penalty: -

See all 13 Documents
SEC 12 Enforcement Documents
$0.0 in Fines
Title: SEC Complaint -- Max Infinity Management LLC d/b/a Max Infinity Fund; Max Infinity Venture Partners, Inc.; Elder Fund Management LLC; JJRP United Corp; Grand Level Consulting Inc.; John S. Cangialosi, Jr.; Peter N. Girgis; Gene "Jerry" Sarabella; Enrico A. "Ed" Carini; Caner "John" Otar; Chester E. "Chett" Scotland; and Franz H. Lambert
Doc Type: Complaint
Published: 01/31/2025
Violation: -
Penalty: -
Title: VTB Capital plc and Credit Suisse Group AG
Doc Type: Enforcement Order
Published: 01/31/2025
Violation: -
Penalty: -

See all 12 Documents
CFTC 1 Enforcement Document
$0.0 in Fines
Title: Yukom Communications Ltd, et al
Doc Type: Enforcement Order
Published: 01/29/2025
Violation: -
Penalty: -

See all 1 Document
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