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United States SEC Fines Digital Currency Group & Subsidiary Genesis Global...

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United States SEC Fines Digital Currency Group & Subsidiary Genesis Global Capital ex-CEO Soichoro “Michael” Moro $38.5 Million for Misleading Investors About Genesis Financials...

United States Department of Justice & Federal Reserve Fine American Express...

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United States Department of Justice & Federal Reserve Fine American Express $230 Million to Resolve Fraud Investigation of Providing Tax Avoidance Schemes to Sell...

United States CFTC Fines Mosaic Exchange & Owner CEO Sean Michael...

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United States CFTC Fines Mosaic Exchange & Owner CEO Sean Michael $1.1 Million for Operating Fraudulent Digital Asset Commodity Scheme by Soliciting 18 Individuals...

United States SEC Fines LPL Financial $18 Million for Failures in...

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United States SEC Fines LPL Financial $18 Million for Failures in Money Laundering from 2018 to 2023 Including Failing to Close Accounts Which Had...

United States SEC Fines PMAC Consulting & Paul John McCabe Jr...

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United States SEC Fines PMAC Consulting & Paul John McCabe Jr $3 Million for Illegally Brokering Pre-IPO Shares & Received $16 Million in Compensation...

United States SEC Fines e-Commerce Food Company GrubMarket $8 Million for...

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United States SEC Fines e-Commerce Food Company GrubMarket $8 Million for Providing Unreliable Financial Information Overstating Revenue by $550 Million Over 5 Years &...

United States SEC Fines Hedge Fund Two Sigma $90 Million for...

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United States SEC Fines Hedge Fund Two Sigma $90 Million for Failure in Fiduciary Duties to Address Identified Vulnerabilities in Investment Models for 4...

United States SEC Fines Wells Fargo & Merrill Lynch $60 Million...

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United States SEC Fines Wells Fargo & Merrill Lynch $60 Million for Failing to Consider Best Interest of Clients in Cash Sweep Option &...

United States SEC Fines 2nd Largest Asset Manager Vanguard in $106...

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United States SEC Fines 2nd Largest Asset Manager Vanguard in $106 Million Settlement for Misleading Statements on Capital Gains Distributions & Tax to Retail...

United States Department of Justice Fines Cryptocurrency Exchange BitMEX (HDR Global...

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United States Department of Justice Fines Cryptocurrency Exchange BitMEX (HDR Global Trading) $100 Million & 2-Year Probation for Money Laundering & KYC Failures to...