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White Collar Crimes › Penalties › Financial Industry Regulatory Authority (FINRA)

Vinson & Elkins LLP

Small Gains Yield Big Pain: How a $2,400 Profit Triggered an SEC, FBI, and FINRA Cavalry

Vinson & Elkins LLP on

On July 11, 2025, the Securities and Exchange Commission (“SEC” or the “Commission”) announced that it had settled an enforcement action against two individuals who were alleged to have engaged in insider trading. The SEC’s...more

The Volkov Law Group

FINRA Fines BNP Paribas $15 Million for Anti-money Laundering Violations

The Volkov Law Group on

The Financial Industry Regulatory Authority is not known for its aggressive enforcement record.  But that may be changing. FINRA recently fined BNP Paribas for $15 million for anti-money laundering deficiencies in the...more

The Volkov Law Group

Regulators Slap Banks, MSBs and Card Club with AML Violation Penalties

The Volkov Law Group on

Financial institutions face enormous pressures with respect to anti-money laundering compliance. These burdens are about to grow with implementation of customer due diligence rules. In 2017, federal and state regulators...more

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