Enforcement Actions
What went wrong — and what
compliance teams should learn from it.
Every major SEC, DOJ, FINRA, and state enforcement action, broken down for practitioners. Not press release summaries — actual analysis of what failed, what regulators cited, and what your program needs to have ready.
Updated weekly. US-focused.
Practitioner Analysis
Not repackaged press releases. Every case is broken down into what failed, what regulators cited, and the specific compliance gaps that led to enforcement.
Compliance Lessons
Every case includes actionable takeaways. What controls were missing, what documentation would have helped, and what your program should have ready.
US-Focused
SEC, DOJ, FINRA, OCC, FinCEN, and state regulators. Covering the agencies and enforcement patterns that matter to US financial services teams.
When a Finding Hits Your Desk
Track issues before they become enforcement actions.
Every case on this page started with findings someone didn't track, remediate, or escalate. The Issues Management Tracker is built for teams managing MRAs, audit findings, and self-identified issues.
Issues Management Tracker & Template
A structured issues management system that tracks findings from internal audits, regulatory exams, and self-identified issues through to closure. Includes root cause analysis templates, remediation planning tools, and executive reporting dashboards designed for financial services governance. Whether it's an MRA from your last exam or an internal finding your ops team flagged, this tracker keeps everything in one place with clear owners, due dates, and status. The executive dashboard gives your board and risk committee a snapshot without you having to build a slide deck every month. Designed for teams managing 10–200 open issues at any given time.
- Issues log and tracking register
- Root cause analysis template
- Remediation action plan template
- Management reporting dashboard
- Regulatory exam tracking module
- Closure validation checklist
Enforcement actions analyzed
Agencies covered (SEC, DOJ, FINRA, OCC, state AGs)
Federal and state enforcement actions
Latest Cases
Enforcement Actions
DOJ's New National Fraud Enforcement Division: What Compliance Programs Need to Know Now
The DOJ's NFED consolidates healthcare fraud, tax, and market fraud units under one command. Here's what changes for compliance officers and risk managers.
CFPB Under the New Administration: What Changed and What Still Matters
The CFPB fired its director, dropped 40+ enforcement actions, and withdrew nearly 70 guidance documents. Here's what actually changed — and what compliance obligations remain regardless.
54 Months for $98M ERC Fraud: The DOJ Sentencing That Should Trigger Your Internal Audit
A Las Vegas business owner just got 54 months in prison for filing 1,227 fraudulent ERC returns. If your company claimed the credit, here's what to do now.
How a National Insurance Broker's Street Marketer Program Became a $160M ACA Fraud Machine
DOJ's $160M resolution with AssuredPartners and APSF for ACA enrollment fraud shows exactly what happens when broker compliance programs ignore third-party marketer risk.
SEC FY2025 Enforcement Report: The Lowest Case Count in 20 Years—and What It Actually Means for Your Program
SEC filed just 456 enforcement actions in FY2025—fewest in two decades. Here's what compliance officers must know about the SEC's priorities shift.
FinCEN's Record $80M BSA Fine Against Canaccord Genuity: Every Broker-Dealer's Wake-Up Call
FinCEN hit Canaccord Genuity with the largest-ever BSA penalty against a broker-dealer — $80M, coordinated with SEC and FINRA for $120M total. Here's what failed and what to fix now.
Immaterial Findings ✉️
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