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 Scam Center Strike Force Seizes $702M in Crypto: What Pig-Butchering Means for Your AML Program
The DOJ restrained $702M in crypto from pig-butchering scams and OFAC sanctioned 29 Cambodian entities including a bank. Here's what US compliance teams must do now.
The $50 Million Cookie Jar: SEC Charges PE Firm Founder Jay Lucas with Investment Adviser Fraud
SEC filed a civil complaint against Jay Lucas and Lucas Brand Equity LLC on April 24, 2026, alleging he raised $50M from investors and spent it on his wife's skincare company, alimony, and luxury expenses.
$5 Million Final Judgment: SEC's Forex Ponzi Case Against John Fernandez Shows How Unregistered Offerings Collapse
A federal court entered a $5 million final judgment against John Fernandez, Avail Progression LLC, and Elite Generators LLC for running unregistered forex Ponzi schemes targeting 100+ investors.
FINRA Fines JPMorgan Securities $3.25M for Ignoring 10,000 Supervisory Alerts
FINRA's JPMorgan Securities action shows Rule 3110 compliance requires actual review — not just alert generation. Here's what compliance teams must fix now.
Sripetch v. SEC: The Supreme Court Case That Could Reshape Every SEC Enforcement Settlement
SCOTUS heard oral argument April 20 in Sripetch v. SEC. The ruling will determine if the SEC must prove investor losses before seeking disgorgement — $6B+ per year at stake.
Voyager Pacific Capital's $25M Ponzi: What the SEC + DOJ Double Tap Means for Investment Advisers
The SEC charged Voyager Pacific Capital Management in a $25M real estate Ponzi that ran five years. Here's what compliance teams must fix before examiners ask.
Immaterial Findings ✉️
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