Regulatory Sanctions


Four Guilty In Relation To £1.4 Million Investment Scheme

In a criminal prosecution brought by the Financial Conduct Authority (FCA), Samrat Bhandari and Dr Muhammad Aleem Mirza have been found guilty for their roles in operating an investment ... Read More
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Individuals And Their Companies Ordered To Pay Millions For Futures Trading Fraud

The Commodity Futures Trading Commission (CFTC) obtained a Consent Order against Defendants Joseph Dufresne (a/k/a/ Joseph James) and Megan Renkow (a/k/a Megan James), both of Palos Verdes Estates, California, ... Read More

Volkswagen Financial Services Australia pays $216,000 penalty for misleading advertising

Volkswagen Financial Services Australia Pty Ltd has paid a penalty of $216,000 after ASIC issued 20 infringement notices for alleged misleading statements made by VWFSA as part of its ... Read More

J.P. Morgan Securities fined $1.25 Million

The Financial Industry Regulatory Authority (FINRA) announced it has fined J.P. Morgan Securities, LLC $1.25 million for failing to conduct timely or adequate background checks on approximately 8,600, or ... Read More
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FCStone Financial Ordered To Pay A Penalty

The Commodity Futures Trading Commission (CFTC) issued an order filing and settling charges against FCStone Merchant Services LLC (FCStone Merchant) for entering into multiple noncompetitive trades and against INTL ... Read More

CFTC Orders Cargill to Pay a $10 Million Civil Monetary Penalty

The Commodity Futures Trading Commission (CFTC) announced the filing and simultaneous settlement of charges against Cargill, Inc. (Cargill), of Minnesota, for providing mid-market marks (marks) that concealed from counterparties and ... Read More
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Morgan Stanley to pay a $350,000 penalty

CFTC Orders Morgan Stanley and Co. Incorporated to Pay $350,000 Penalty for Omitting Futures and Options Data from Part 17 Large Trader Reports The Commodity Futures Trading Commission (CFTC) issued ... Read More

Investment advisory firm to pay more than $630,000 to settle charges

Investment advisory firm Millennium Management LLC has agreed to pay more than $630,000 to settle charges that it shorted U.S. stocks in companies planning follow-on offerings and then illegally ... Read More

Merrill Lynch fined £34.5 million for failures under EMIR

Merrill Lynch International (MLI) has been fined £34,524,000 by the Financial Conduct Authority (FCA) for failing to report 68.5 million exchange traded derivative transactions between 12 February 2014 and ... Read More
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CySec announced fines for executive directors

The Board of the Cyprus Securities and Exchange Commission (CySec) has issued today an announcement to inform the public that, at its meeting held on 6 February 2017, it ... Read More
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