Enforcement Actions
Settlements and Resolutions
Settlements, Orders and Judgments for the Investor Protection Bureau
- BlockFi Lending LLC, Assurance No. 22-032 (June 7, 2022)
- Morgan Stanley & Co., LLC and Morgan Stanley Smith Barney LLC, Letter Agreement (Oct. 28, 2021)
- GTV Media Group, Inc., and Saraca Media Group, Inc., Assurance No. 21-062 (Sept. 13, 2021)
- People v. Coinseed, Inc., Decision and Default Judgment, Index No. 450366/2021 (Sup. Ct. N.Y. Cty. Sept. 9, 2021)
- TIAA-CREF Individual & Institutional Services, LLC, Assurance No. 21-035 (July 13, 2021)
- People v. Coinseed, Inc., Decision and Order, Index No. 450366/2021 (Sup. Ct. N.Y. Cty. June 4, 2021)
- iFinex, Inc., Settlement Agreement, Assurance No. 21-012 (Feb. 18, 2021)
- People v. Allen, Decision After Trial, Index No. 452378/2019 (Sup. Ct. N.Y. Cty. Feb. 4, 2021)
- Solium Financial Services LLC, Assurance No. 20-075 (Nov. 12, 2020)
- People v. Mustaphalli, Order and Judgment on Consent, Index No. 451705/2017 (Sup. Ct. N.Y. Cty. Aug. 4, 2020)
- State of New York v. Van Zandt, Order and Judgment on Consent, Index No. 450713/2012 (Sup. Ct. N.Y. Cty. July 10, 2020)
- Gold Bullion International, LLC and GoldSilver, LLC, Assurance No. 20-041 (July 2, 2020)
- People v. Kean Wind Turbines, Inc., Consent Order and Judgment, Index No. 804397/2020 (Sup. Ct. Erie Cty. June 4, 2020)
- People v. Allen, Decision and Order on Motion, Index No. 452378/2019 (Sup. Ct. N.Y. Cty. Feb. 2, 2020)
- James v. Wright, CPLR 13-A Settlement Agreement, Index No. EFCA2019-1673 (Sup. Ct. Oneida Cty. Nov. 25, 2019)
- People v. Fischman, Decision and Order, Index No. 452353/2018 (Sup. Ct. N.Y. Cty. Oct. 3, 2019)
- LPL Financial LLC, Assurance No. 19-067 (June 28, 2019)
Complaints
Complaints and Petitions for the Investor Protection Bureau
- People v. Lear Capital, Inc., Verified Petition, Index No. 807970/2021 (Sup. Ct. Erie Cty. June 17, 2021)
- James v. Eastman Kodak, Petition, Index No. 451652/2021 (Sup. Ct. N.Y. Cty. June 1, 2021)
- People v. Coinseed, Inc., Complaint, Index No. 450366/2021 (Sup. Ct. N.Y. Cty. Feb. 17, 2021)
- People v. GPB Capital Holdings LLC, Complaint, Index No. 450287/2021 (Sup. Ct. N.Y. Cty. Feb. 4, 2021)
- CFTC v. TMTE, Inc. (metals.com), Complaint, Civ. No. 20-2910 (N.D. Tex. Sept. 22, 2020)
- People v. Kean Wind Turbines, Inc., Verified Complaint, Index No. 804397/2020 (Sup. Ct. Erie Cty. Apr. 27, 2020)
- People v. Allen, Verified Complaint, Index No. 452378/2019 (Sup. Ct. N.Y. Cty. Dec. 4, 2019)
- James v. Wright, Summons and Verified Complaint, Index No. EFCA2019-1673 (Sup. Ct. Oneida Cty. June 26, 2019)
- James v. iFinex Inc., Petition, Index No. 450545/2019 (Sup. Ct. N.Y. Cty. Apr. 25, 2019)