America December 4, 2025
FINRA Barclays Fine Hits $325K Over Pandemic-Era Supervision Breakdown
In a regulatory reprimand that lands like an overdue audit, the Financial Industry Regulatory Authority has fined Barclays’ broker-dealer unit…
Health July 7, 2021
SEC charges Parallax Health Sciences for making false claims about COVID-19 efforts
The U.S. Securities and Exchange Commission (SEC) sued Parallax Health Sciences (OTCMKTS: PRLX) for allegedly making false claims regarding its…
Business January 26, 2021
LendUp Loans to Pay $1.25 Million for Violating Military Lending Act (MLA)
LendUp Loans, LLC agreed to pay a total of $1.25 million in civil penalties and monetary relief to settle a…
Business November 25, 2020
JPMorgan Chase to pay $250M penalty over its deficient risk management and internal controls
JPMorgan Chase Bank, N.A. agreed to pay a civil penalty of $250 million for engaging in unsafe and unsound business…
Business July 29, 2020
VALIC Financial Advisors (VFA) to pay $40 million to settle SEC charges
The Securities and Exchange Commission (SEC) announced that VALIC Financial Advisors (VFA) agreed to pay approximately $40 million to settle…
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