New York Attorney General Letitia James sued a bank for failing to (i) protect victims of electronic fraud and (ii) reimburse their losses.
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The SEC fined a broker-dealer and its former executive for disclosing confidential information in advance of block sales of securities.
The CFPB reviewed federal student loan servicing practices since required repayments have resumed.
An investment adviser settled SEC charges for disclosing to investors, potential investors and industry contacts material non-public information in violation of the adviser's policies and procedures.
A Connecticut-based commodities firm settled CFTC charges for trading on misappropriated material non-public information.