A broker-dealer settled FINRA charges for imposing unfair commissions on equity transactions and for failing to file required private placement documents.

SEC Commissioner Hester M. Peirce criticized asset managers, companies and governments for "embracing ESG without considering the long-term consequences to, respectively, their clients, shareholders, and citizens."

A firm settled FINRA charges for making unlawful compensation payments to an unregistered entity.

A US holding company and its state registered bank settled charges brought by the SEC, Federal Reserve and the California Department of Financial Protection and Innovation for anti-money laundering compliance deficiencies and misleading statements.

An individual and a trading firm settled separate disciplinary actions for violating CME and NYMEX "wash trade" rules.