Breaking 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
◆ What you'll find here
Not press releases. Practitioner analysis.
◆ 01
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.
◆ 02
Compliance lessons
Every case includes actionable takeaways. What controls were missing, what documentation would have helped, and what your program should have ready.
◆ 03
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
68+
Enforcement actions analyzed
5+
Agencies covered · SEC · DOJ · FINRA · OCC · state AGs
US
Federal & state enforcement actions
● Latest cases
Enforcement actions.
Regulatory Compliance
SEC’s New Financial Reporting and Accounting Unit: The ICFR Review to Start Now
The SEC Financial Reporting and Accounting Unit puts specialist scrutiny back on accounting fraud, ICFR, audit evidence, and auditor conduct.
Regulatory Compliance
Gotbit SEC Settlement: The Crypto Wash-Trading Controls That Matter Now
The Gotbit SEC settlement shows crypto market-manipulation risk is still live. Here are the wash-trading controls compliance teams should test.
Regulatory Compliance
The Exodus OFAC Settlement: What a $3.1M Crypto Wallet Enforcement Action Teaches About Sanctions Compliance Programs
OFAC's December 2025 settlement with Exodus Movement — $3.1 million for 254 apparent violations of the Iranian Transactions and Sanctions Regulations — is the clearest statement yet that non-custodial crypto wallets are in scope for sanctions obligations. The finding that staff advised Iranian users to use VPNs is the detail that turns a compliance failure into an egregious one.
Regulatory Compliance
Iuka State Bank Written Agreement: The Fed's 30-Day Credit Risk and BSA/AML Remediation List
The Iuka State Bank written agreement maps Fed findings to 30- and 60-day fixes across credit, capital, liquidity, and BSA/AML.
Regulatory Compliance
FinCEN's Venezuela BSA Enforcement Relief: What Banks Must Document Before Relying on It
FinCEN Venezuela BSA enforcement relief runs through January 29, 2027, but only for eligible institutions making reasonable compliance efforts.
Regulatory Compliance
SEC's Simplify Asset Management Order: Four ETF Controls That Failed at Once
The SEC Simplify Asset Management order ties a $400,000 penalty to affiliate trades, VaR escalation, Form N-RN delays, and distribution notices.