Financial Crime & Regulatory Capture A $20,000 Fine for Years of Money Laundering Violations Sonenshine & Company ignored federal anti-money laundering law for over six years. The penalty? Less than most Americans earn in a year. TL;DR Sonenshine & Company,…
TL;DR Financial Northeastern Securities, a New Jersey brokerage, missed the legally required 15-minute trade reporting window on approximately 1,000 bond transactions between January 2022 and June 2024. FINRA had already warned the firm twice in 2021 about the exact same…
TL;DR Joseph Stone Capital, a registered broker-dealer with roughly 30 reps, broke FINRA’s Taping Rule for nearly three years, from September 2021 through July 2024. The firm failed to record client phone calls for six of its registered representatives, losing…
EvilCorporations.com Investigates · Financial Industry · FINRA Enforcement The CEO Who Looted His Own Firm on the Way Down Source: FINRA AWC No. 2022076084101 · Percival Financial Partners, Ltd. & Kenneth P. Taylor, Sr. · Published April 21, 2025 TL;DR…
Financial Misconduct Investigation | FINRA AWC No. 2021072004801 How TP ICAP Failed to Police Market Manipulation for Five Years Reported by EvilCorporations.com | Source: FINRA Letter of Acceptance, Waiver, and Consent, accepted April 4, 2025 TL;DR WHO: TP ICAP Global…
Financial Crimes Investigation | FINRA Enforcement | Wall Street Accountability 250 Violations. One Censure. $150,000. J.P. Morgan broke the rules protecting you from stock manipulation two hundred and fifty times. The regulator charged with stopping them let them write a…
Financial Crime Investigation A $17 Billion Credit Line With Zero Justification: How SpeedRoute LLC Ran a Financial Compliance Black Hole for Years Source: FINRA AWC No. 2019062225601 | Enforcement Action Signed April 22, 2025 | EvilCorporations.com Investigative Desk TL;DR Who:…
Financial Fraud Investigation • FINRA AWC No. 2019063566201 30,000 Messages Disappeared.Will We Ever Know the Full Truth? EvilCorporations.com • FINRA AWC No. 2019063566201 • 12 min read TL;DR A Pittsburgh securities firm operating as NewEdge Securities LLC (previously Mid Atlantic…
Financial Industry Regulatory Authority • AWC No. 2020067553301 How to Hide a Crime in 90,000 Transactions: The Northern Trust Method EvilCorporations.com • FINRA Enforcement Case / Chicago, IL • 7 min read TL;DR Northern Trust Securities, Inc. ran a broken,…
Regulatory Enforcement • FINRA AWC No. 2018060034002 Why Did Tigress Financial Let 2,398 Investors Trade Blind? EvilCorporations.com • FINRA AWC No. 2018060034002 • 12 min read TL;DR Tigress Financial Partners, a New York brokerage firm, ran a compliance operation so…