The OCC named Kevin Greenfield as the Deputy Comptroller for Operational Risk.

The CFTC and DOJ settled charges with a proprietary trading firm for engaging in spoofing in equity futures contracts over a two-year period.

A broker-dealer settled FINRA charges for share-class recommendations that resulted in clients paying excess fees on their investments.

An aviation group settled a potential civil liability with OFAC for apparent violations of the Sudanese Sanctions Regulations.