Enforcement
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FINRA disciplinary action update 2025/21
Disciplinary decisions issued May 31 – June 6, 2025.
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ASIC roundup: Choosi sued for misleading customers, action against RAMS for systemic misconduct
The Australian Securities & Investments Commission’s latest actions and news, June 2 – 6, 2025.
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€500,000 penalty imposed on LocalBitcoins Oy for AML failings
The Finnish company failed to comply with anti-money-laundering regulations.
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FIN-FSA issues combined €1m penalty payment on Alexandria Group Plc
The company failed to obtain required information about clients before providing investment advice.
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HHS settles with Comstar over cyber risk analysis failures
An investigation found that lapses in risk assessment contributed to a massive ransomware breach at the ambulance billing service.
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Final judgments secured in microcap manipulation case
The SEC finalized judgments against two individuals in a $27M microcap fraud case involving hidden control and undisclosed stock promotion.
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ASIC roundup: Former director sued, superannuation fund pays infringement notice
The Australian Securities & Investments Commission’s latest actions and news, May 26 – 30, 2025.
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FINRA disciplinary action update 2025/20
Disciplinary decisions issued May 24 – 30, 2025.