Regulatory Sanctions

wells-fargo

Wells Fargo Broker-Dealers to Pay $3.4 Million

17/10/2017(0)
The Financial Industry Regulatory Authority (FINRA) announced that it has ordered Wells Fargo Clearing Services, LLC and Wells Fargo Advisors Financial Network, LLC to pay more than $3.4 million ... Read More
FCA_regulator

FCA UK bans and fines financial advisors

13/10/2017(0)
The Financial Conduct Authority (FCA) has banned Mrs Colette Chiesa and Mr John Chiesa from working in financial services for integrity failings. Additionally, Mrs Chiesa has been fined £50,000 ... Read More
Cyprus Securities and exchange commission (cysec)

CySec suspended the license of a Cyprus Investment Firm

11/10/2017(0)
The Cyprus Securities and Exchange Commission (CySec) has issued today an announcement to inform that, following a decision in the meeting dated 25.09.2017, the authorisation of the Cyprus Investment Firm ... Read More
red Fraud-Stamp image

International fraudulent scheme controller fined for more than $2 million

11/10/2017(0)
The Commodity Futures Trading Commission (CFTC) announced that the Honorable Joan B. Gottschall of the U.S. District Court for the Northern District of Illinois entered a Final Judgment and ... Read More
insider trading 2

Stock Market Analyst charged with insider trading

27/09/2017(0)
The Securities and Exchange Commission charged a stock market analyst with insider trading prior to the publication of research reports and articles he authored with the false disclaimer that ... Read More
bank-fines

Citibank and Citigroup Global Markets Limited to pay hundreds of thousands dollars penalty

26/09/2017(0)
The U.S. Commodity Futures Trading Commission (CFTC) issued an Order filing and simultaneously settling charges against Citibank, N.A. (CBNA) and Citigroup Global Markets Limited (CGML) (collectively, Citi), for failing to ... Read More
Merrill Lynch building is shown in downtown San Diego, California

Merrill Lynch to pay millions for supervision failures

25/09/2017(0)
The U.S. Commodity Futures Trading Commission (CFTC) issued an Order filing and simultaneously settling charges against Merrill, Lynch, Pierce, Fenner & Smith Incorporated (Merrill Lynch), a registered Futures Commission ... Read More
finra1

FINRA fines broker dealer $750,000

13/09/2017(0)
FINRA Hearing Panel Fines C.L. King & Associates $750,000 for Negligent Misrepresentations and Omissions in Connection with Death Put Investments and AML-Related Violations The Financial Industry Regulatory Authority (FINRA) ... Read More
Cyprus Securities and exchange commission (cysec)

CySec announced: New Cyprus Investment Firm authorisation

12/09/2017(0)
The Cyprus Securities and Exchange Commission (CySec), the financial regulatory authority of Cyprus, has issued an announcement to inform that a new firm has been approved by the Commission as ... Read More
ASIC_regulator

Merrill Lynch (Australia) Futures pays $60,000 in infringement notice penalty

12/09/2017(0)
Merrill Lynch (Australia) Futures Limited (“MLAF”) has paid a penalty of $60,000 to comply with an infringement notice given to it by the Markets Disciplinary Panel (“the MDP”). The ... Read More
Broker Cyprus TopFX