-
FTC alleges substance abuse clinic used online ads to pose as other clinics
Evoke Wellnesss and two of its executives sued by the regulator for the use of deceptive Google search ads and telemarketing.
-
Hotel asset manager settles with SEC over cyber breach misreporting
The charges reflect the SEC’s sustained focus on accurate cybersecurity statements.
-
SEC charges Navy Capital with misrepresenting AML processes to investors
The SEC said the company represented to private fund investors that the firm was voluntarily complying with AML due diligence laws despite actual processes for same being used.
-
SEC sues Musk over untimely beneficial ownership disclosure during Twitter stock buys
The 11th-hour lawsuit accused Musk of failing to disclose his stake in Twitter in a timely manner as he attempted to buy the company in 2022.
-
CFPB sues Capital One for withholding $2 billion in potential savings account interest
The agency has accused the bank of underpaying savings account interest and misleading customers.
-
Robinhood BDs dinged for violating more than 10 securities law provisions
Alleged violations include blue sheet filing, identity theft, and suspicious activity reporting, including a 2021 data breach that exposed customers’ data.
-
SEC still live and kicking as 12 firms fined combined $63m+ in recordkeeping failure charges
Each firm used unapproved communication methods, or off-channel communications, to send and receive messages that were required to be maintained under the securities laws, the SEC said.
-
FINRA disciplinary action update 2025/1
Disciplinary decisions issued January 1 – 10, 2025.