In an effort to keep you informed of recent and relevant regulatory enforcement activity, we are providing a downloadable Excel spreadsheet. Once downloaded, you can take advantage of standard Excel search and sorting features. This spreadsheet is updated regularly so check back often.We have included state, SEC and FINRA actions against broker-dealers in which the total amount of fines and restitution exceeds $100,000. Please contact FSI's government affairs counsel Matthew Schwartz with any questions or comments.