{"catalog":{"title":"Fintech and Crypto Enforcement Actions","path":"/enforcement","updatedAt":"2026-09-30T13:41:57.408Z","fields":[{"id":"company","label":"Company (as named)","type":"text"},{"id":"agency","label":"Agency","type":"select","options":["SEC","CFTC","CFPB","FTC","NYDFS","NY AG"]},{"id":"date","label":"Date","type":"date"},{"id":"action_type","label":"Action","type":"select","options":["Settlement","Consent order","Charges","Judgment","Dismissal"]},{"id":"category","label":"Category","type":"select","options":["Crypto","Payments","Lending","Neobank","Investing app","Other fintech"]},{"id":"penalty_usd","label":"Civil penalty, USD","type":"number","format":{"style":"currency","currency":"USD","maximumFractionDigits":0}},{"id":"amounts","label":"Amounts (as stated)","type":"textarea"},{"id":"admission","label":"Admission","type":"text"},{"id":"announcement","label":"Agency announcement","type":"url"},{"id":"document","label":"Order or complaint","type":"url"},{"id":"sources","label":"Sources","type":"textarea"}]},"entries":[{"slug":"zoe-financial-inc-sec-2026-09","name":"Zoe Financial: SEC settlement (Sep 2026)","path":"/enforcement/zoe-financial-inc-sec-2026-09","category":null,"updatedAt":"2026-09-30T13:29:24.703Z","fields":{"company":"Zoe Financial Inc.","agency":"SEC","date":"2026-09-28","action_type":"Settlement","category":"Investing app","penalty_usd":450000,"amounts":"$450,000 civil monetary penalty","admission":"Without admitting the SEC's findings","announcement":"https://www.sec.gov/newsroom/press-releases/2026-94-sec-charges-registered-investment-adviser-zoe-financial-failure-disclose-conflict-interest","document":null,"sources":"SEC announcement · https://www.sec.gov/newsroom/press-releases/2026-94-sec-charges-registered-investment-adviser-zoe-financial-failure-disclose-conflict-interest"}},{"slug":"fleetcor-technologies-inc-now-ftc-2026-09","name":"FleetCor: FTC settlement (Sep 2026)","path":"/enforcement/fleetcor-technologies-inc-now-ftc-2026-09","category":null,"updatedAt":"2026-09-30T13:29:31.158Z","fields":{"company":"FleetCor Technologies Inc. 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https://ag.ny.gov/press-release/2026/attorney-general-james-calls-congress-preserve-states-ability-protect-americans"}},{"slug":"payward-inc-and-payward-sec-2025-03","name":"Kraken: SEC case dismissed (Mar 2025)","path":"/enforcement/payward-inc-and-payward-sec-2025-03","category":null,"updatedAt":"2026-09-30T13:32:52.752Z","fields":{"company":"Payward, Inc. and Payward Ventures, Inc. 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(Cash App)","agency":"CFPB","date":"2025-01-16","action_type":"Consent order","category":"Payments","penalty_usd":55000000,"amounts":"$175 million total: up to $120 million redress (at least $75 million) plus $55 million penalty","admission":null,"announcement":"https://www.consumerfinance.gov/about-us/newsroom/cfpb-orders-operator-of-cash-app-to-pay-175-million-and-fix-its-failures-on-fraud/","document":"https://files.consumerfinance.gov/f/documents/cfpb%5Fblock-inc-consent-order%5F2025-01.pdf","sources":"CFPB announcement · https://www.consumerfinance.gov/about-us/newsroom/cfpb-orders-operator-of-cash-app-to-pay-175-million-and-fix-its-failures-on-fraud/\ndate · https://www.consumerfinance.gov/enforcement/actions/block-inc/"}},{"slug":"gemini-trust-company-llc-cftc-2025-01","name":"Gemini: CFTC judgment (Jan 2025)","path":"/enforcement/gemini-trust-company-llc-cftc-2025-01","category":null,"updatedAt":"2026-09-30T13:34:08.210Z","fields":{"company":"Gemini Trust Company LLC","agency":"CFTC","date":"2025-01-13","action_type":"Judgment","category":"Crypto","penalty_usd":5000000,"amounts":"$5 million civil monetary penalty","admission":null,"announcement":"https://www.cftc.gov/PressRoom/PressReleases/9031-25","document":null,"sources":"CFTC announcement · https://www.cftc.gov/PressRoom/PressReleases/9031-25"}},{"slug":"mosaic-exchange-ltd-cftc-2025-01","name":"Mosaic Exchange: CFTC judgment (Jan 2025)","path":"/enforcement/mosaic-exchange-ltd-cftc-2025-01","category":null,"updatedAt":"2026-09-30T13:34:14.961Z","fields":{"company":"Mosaic Exchange Ltd.","agency":"CFTC","date":"2025-01-13","action_type":"Judgment","category":"Crypto","penalty_usd":660000,"amounts":"approximately $468,600 restitution, $60,980 disgorgement and $660,000 civil monetary penalty (joint and several)","admission":null,"announcement":"https://www.cftc.gov/PressRoom/PressReleases/9032-25","document":null,"sources":"CFTC announcement · https://www.cftc.gov/PressRoom/PressReleases/9032-25"}},{"slug":"robinhood-securities-llc-and-sec-2025-01","name":"Robinhood: SEC settlement (Jan 2025)","path":"/enforcement/robinhood-securities-llc-and-sec-2025-01","category":null,"updatedAt":"2026-09-30T13:34:02.369Z","fields":{"company":"Robinhood Securities LLC and Robinhood Financial LLC","agency":"SEC","date":"2025-01-13","action_type":"Settlement","category":"Investing app","penalty_usd":45000000,"amounts":"$45 million in combined civil penalties","admission":"Both firms admitted certain findings (off-channel communications; Robinhood Securities also blue sheets)","announcement":"https://www.sec.gov/newsroom/press-releases/2025-5","document":"https://www.sec.gov/files/litigation/admin/2025/34-102170.pdf","sources":"SEC announcement · https://www.sec.gov/newsroom/press-releases/2025-5"}}]}