The NYMEX Business Conduct Committee fined and suspended two traders for spoofing in the NYMEX Energy Futures markets.

OFAC designated two Taiwanese individuals and three entities for conducting ship-to-ship transfers to help North Korea obtain petroleum products, in violation of U.S. sanctions and UN resolutions.

The NYMEX Business Conduct Committee fined an introducing broker for reporting failures relating to block trades.

OFAC targeted several entities and individuals for providing financial services to Hizballah and Hamas.

The SEC charged a dually-registered investment adviser and broker-dealer with defrauding advisory clients by investing their assets in high-cost share classes and failing to disclose conflicts of interest.