A broker-dealer settled FINRA charges for failing to supervise the suitability of its representatives' recommendations to customers on early rollovers of Unit Investment Trusts.

The CFTC awarded approximately $6 million to an individual whistleblower for information provided in connection with a CFTC action.

Assistant Attorney General Brian A. Benczkowski of the DOJ's Criminal Division will step down effective July 3, 2020.

The SEC charged a California penny stock trader for engaging in a COVID-19 testing "pump and dump" scheme.

The CFTC's Division of Swap Dealer and Intermediary Oversight and Division of Market Oversight extended relief previously provided to registrants due to compliance challenges caused by COVID-19.