Regulatory Sanctions

fraud - red stamp

Investment adviser charged with defrauding professional athlete and his wife

23/08/2017(0)
The Securities and Exchange Commission today charged investment adviser Jeremy Drake with defrauding two clients, a high profile professional athlete and the athlete’s wife, by deceiving them about the ... Read More
insider trading 2

Hedge Fund Adviser Charged for Inadequate Controls to Prevent Insider Trading

22/08/2017(0)
The Securities and Exchange Commission announced that hedge fund advisory firm Deerfield Management Company L.P. has agreed to pay more than $4.6 million to settle charges that it failed ... Read More
ASIC_regulator

ASIC permanently bans jailed company director from credit and financial services industries

22/08/2017(0)
The Australian Securities and Investments Commission (ASIC) has issued today a press release to inform that Mr Gavin Keith Hyland has been permanently banned from engaging in credit activities or ... Read More
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Individuals and their companies ordered to pay millions in restitution for defrauding investors

21/08/2017(0)
Federal Court Orders Jeffrey Slemmer, Christian Dorrian, Adam Roth, and Their Florida-Based Companies to Pay over $5.4 Million in Restitution and a Penalty in CFTC Precious Metals and Diamonds ... Read More
fraud - red stamp

Stock manipulator has agreed to pay nearly $800,000

03/08/2017(0)
The Securities and Exchange Commission today announced that an overseas stock manipulator has agreed to pay nearly $800,000 and be permanently barred from involvement in penny stocks after hiding ... Read More
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Trader ordered to pay hundreds of thousands dollars in “spoofing” incidents

02/08/2017(0)
CFTC Orders New York Trader Simon Posen to Pay a $635,000 Civil Monetary Penalty and Permanently Bans Him from Trading in CFTC-Regulated Markets for Spoofing in the Gold, Silver, ... Read More
Cyprus Securities and exchange commission (cysec)

CySec fined an executive director of a Cyprus Investment Firm

31/07/2017(0)
The Board of the Cyprus Securities and Exchange Commission (CySec) has issued an announcement to inform the public that, at its meeting held on 26 June 2017, decided to ... Read More
Cyprus Securities and exchange commission (cysec)

The Cyprus Securities and Exchange Commission imposed a €10.000 fine to a natural person

27/07/2017(0)
The Cyprus Securities and Exchange Commission (CySec) has issued today an announcement to inform public that at its meeting held on 6 February 2017, decided to impose an administrative ... Read More
ASIC_regulator

Australian financial services provider pays penalties

25/07/2017(0)
Financial Choice Pty Ltd (Financial Choice), an Australian financial services provider, has paid two ASIC infringement notice penalties totalling $21,600, after making misleading representations in marketing emails sent to ... Read More
BNP Paribas

BNP Paribas fined millions for unsafe practices in the Forex markets

18/07/2017(0)
Federal Reserve Board announces $246 million fine against BNP Paribas S.A. and certain of its U.S. subsidiaries for unsafe and unsound practices The Federal Reserve Board on Monday announced ... Read More
Broker Cyprus TopFX