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We seek to provide information, insights and direction that may enable the Financial Community to effectively and efficiently operate in a regulatory risk-free environment by curating content from all over the web.


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Browsing Hashtag: #Restitution

Regulatory Sanctions

Short-Term Trading of UITs – A Firm Gets Called Out

July 18, 2018

Regulatory Sanctions

CFPB 'Defanged’ – Metes Out Lopsided Justice to Citibank

July 2, 2018

Regulatory Sanctions

FINRA Nabs Fifth Third Securities on Variable Annuity Exchanges

May 8, 2018

Regulatory Sanctions

FINRA Disciplinary Actions for April 2018

April 16, 2018

Regulatory Sanctions

FINRA Mutual Fund Sweep Claims Sanctions Against 9 More Firms

February 21, 2018

Regulatory Sanctions

Good Execution Falls Short When 'Best Execution' is Required

December 14, 2017


CFTC Enforcement Actions Were Down for 2017

November 27, 2017

Regulatory Sanctions

Muni ‘Mini’ Denominations – More Brokers-Dealers Cross the Line

October 17, 2017

Regulatory Sanctions

FINRA Sweep Nabs B/D for Unfair Pricing on Muni Bond Trades with Customers

September 27, 2017

Regulatory Sanctions

Morgan Stanley Pays $13Mn for Lax Supervision of UITs

September 25, 2017


SEC Closes Book on Boiler Room Operation

May 11, 2017

Regulatory Sanctions

Purshe Kaplan Sterling to Pay $4.1Mn, Hire Consultant to Settle FINRA Charges

February 22, 2017

Regulatory Sanctions

FINRA Hearing Panel Expels B/D, Bars CEO, Orders $24Mn in Restitution

February 15, 2017


Ex-Marine Fund Manager Gets 52 Months in Prison – Defrauded Fellow Vets

January 31, 2017

Regulatory Sanctions

Massachusetts Orders LPL To Pay $3.7 Mln In Relief For Older Investors

January 30, 2017

Regulatory Sanctions

Citi Subs Fined $29Mn for Giving U.S. Homeowners 'Runaround' - CFPB

January 23, 2017

Regulatory Sanctions

TransUnion, Equifax to Pay $23Mn for Allegedly Deceiving Consumers Over Credit Scores

January 4, 2017

Regulatory Sanctions

Merrill Lynch Pays $7Mn over Securities-Backed Leverage in Customer Brokerage Accounts

November 30, 2016

Regulatory Sanctions

Oppenheimer Ordered to Pay $3.4Mn in Fines and Restitution - FINRA

November 17, 2016

Regulatory Sanctions

Eight Firms to Pay $12.5Mn to Settle Annuity Charges - FINRA

November 3, 2016