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Latest News
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NYDFS fines dental plan firm $2m in phishing breach
Failure to use MFA to protect data of 90,000 customers leads to fine and raises legal questions.
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HHS secures $175,000 HIPAA settlement over phishing ransomware breach
The case underscores HHS’s growing focus on business associates and the Risk Analysis Enforcement Initiative.
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DOJ FCPA declination points to continuation of policies and importance of robust compliance
The company’s voluntary disclosure and full and proactive cooperation in the matter were highlighted among the reasons to decline prosecution.
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FINRA disciplinary action update 2025/30
Disciplinary decisions issued August 9 – 15, 2025.
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FINRA sues broker at center of investor complaints, cites failure to testify
Registered rep failed to respond to two FINRA staff requests to provide information and documents, and another two requests to appear for on-the record testimony.
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ASIC roundup: Insider trading, and Mercer Super sued
The Australian Securities & Investments Commission’s latest actions and news, August 11 – 15, 2025.
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Seven‑year forex Ponzi case ends with $3.5m judgment
A judge imposed trading bans, restitution, and civil penalties on unregistered commodity pool operator GDLogix and its founder after years of apparent misconduct and legal delays.
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New York AG sues Zelle parent for antifraud deficiencies
Alleging $1 billion in money lost to scams, New York takes up the mantle of a weakened Consumer Finance Protection Bureau.