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
SEC's Final Judgment Against Black Hawk's Robert Newell: How a $37M Cannabis Fund Became a Ponzi Case Study
Robert Newell raised $37M for cannabis funds and used investor money to pay earlier investors. Here's the May 2026 SEC judgment and what private-fund advisers should learn from it.
SEC Adani $18M Settlement: When Anti-Bribery Disclosures Become Securities Fraud
SEC settles Adani Green bond offering case for $18M, charging Gautam and Sagar Adani with materially false anti-bribery statements to US investors.
SEC and DOJ Charge 21 in BigLaw M&A Insider Trading Ring — What the Document Management Trail Tells You
The SEC's May 6 complaint against 21 defendants tied to a decade-long Big Law M&A insider trading scheme is a master class in supervision failure. Here is what compliance functions should pull from the document-access trail.
OCC Consent Orders: From Issuance to Termination — A Practitioner's Walkthrough
What an OCC consent order actually is, how it differs from a Formal Agreement, what the articles require, and what it takes to get out — with Wells Fargo as the documented case study.
SEC Charges Reign Financial and Berone Capital in $26M Prime Bank Scheme: The Due Diligence Failures Every Adviser Should Audit
SEC's $26M Reign Financial fraud case shows what happens when 'due diligence' is just a Google search. Control gaps, red flags, and what advisers should fix this week.
Parmar's $212M Constellation Healthcare Sentencing: Take-Private Fraud Lessons for Risk and Compliance
Former Constellation Healthcare CEO Parmjit Parmar got 5 years and $125M restitution for a $212M securities fraud built on fake subsidiaries. Here's what risk teams should rebuild this week.
Immaterial Findings ✉️
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