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FINRA disciplinary action update 2025/14
Disciplinary decisions issued April 5 – 18, 2025.
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SEC sues operator of alleged $198m crypto Ponzi scheme
The case is the first crypto enforcement action initiated under Paul Atkins’s tenure.
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Independent review launched to tackle the UK’s “biggest crime” – fraud
The Independent Review will also evaluate incentives for criminal fraud networks informants and whistleblowers.
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Private radiology provider settles probe into data security failures
A radiology provider faces penalties after failing to safeguard patient data, exposing thousands to potential breaches.
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ASIC roundup: Wiluna Mining sued, and firms engaging in unlicensed credit activity
The Australian Securities & Investments Commission’s latest actions and news, April 14 – 17, 2025.
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Tackling fraud in Big Pharma: Realistic ambition or pipe dream?
Any suggestion of misleading clinical results, false advertising, or bribery to achieve medical approvals would clearly create massive negative publicity.
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Federal court orders Bank of America to pay FDIC $540m
The remedy is a quarter of what the agency had previously sought.
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16 firms rebuffed by SEC in bid to revisit off-channel comms settlements
SEC says ‘no-can-do to’ the 16 financial firms that submitted a motion to have their recordkeeping settlements modified.