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
79+
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 $3.02M Doximity Insider Trading Judgment: The MNPI Control Test
The SEC's Doximity insider trading judgment exposes two MNPI control tests: earnings access and post-termination trading.
Regulatory Compliance
FinCEN Health Care Fraud Analysis: $17.5 Billion in Suspicious Activity
FinCEN's health care fraud analysis reveals $17.5B in suspicious activity. Here is how BSA teams should update monitoring and SAR controls.
Regulatory Compliance
The OCC's New Two-Tier Violation Framework: What 'Substantive vs. Technical' Means for Your Compliance Program
OCC Bulletin 2026-42, published September 1, proposes for the first time a formal distinction between 'substantive' and 'technical' violations of banking law — with MRAs limited to substantive violations only. Comment deadline is October 1.
Regulatory Compliance
Colorado Just Sued EarnIn for $16 Million in Tips. Every EWA Provider Should Read the Complaint.
On August 27, 2026, Colorado AG Phil Weiser sued EarnIn for unlicensed payday lending — 3.1 million advances, 388% average APR, and a tip interface designed to make $0 nearly impossible. Here's what EWA providers need to audit right now.
Regulatory Compliance
Lugano Diamonds SEC Fraud Case: How $1B in Alleged Fake Revenue Beat the Control Stack
The Lugano Diamonds SEC fraud case shows how alleged fake revenue, inventory, and vendor records survived acquisition and audit controls.
Regulatory Compliance
SAR Confidentiality and Customer Communications: What Banks Can Now Say
The 2026 SAR confidentiality joint statement clarifies what banks can tell customers about fraud reviews, restrictions, and account closures.