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Regulatory Sanctions

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FINRA Sanctions Fidelity Brokerage Services LLC $1 Million for Supervisory Failures

21/12/2015(0)
Firm Failed to Follow Up on Red Flags to Detect or Prevent Theft of Funds From Senior Investors by Fraudster Posing as Fidelity Broker The Financial Industry Regulatory Authority ... Read More
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Central Bank of Cyprus fined FBME Bank for €1.2 million

11/12/2015(0)
The Central Bank of Cyprus (CBC), within the remit of exercising its supervisory role, may take, under subsection (6) of section 59 of the Prevention and Suppression of Money ... Read More
ASIC_regulator

ASIC: Etrade Australia Securities Limited pays $65,000

09/12/2015(0)
Etrade Australia Securities Limited (Etrade) has paid a penalty of $65,000 to comply with an infringement notice given to it by the Markets Disciplinary Panel (MDP). The MDP found ... Read More
Bcsc canada regulator

BCSC panel issues lifetime ban against self-employed “Forex” trader

09/12/2015(0)
A British Columbia Securities Commission (BCSC) panel has fined and permanently banned Hong Liang Zhong from the province’s capital markets for fraud, unregistered trading and offering clients false guarantees to reimburse ... Read More
ASIC_regulator

ASIC: Australian Investment Exchange Limited pays $130,000

09/12/2015(0)
Australian Investment Exchange Limited (AUSIEX) has paid a penalty of $130,000 to comply with an infringement notice given to it by the Markets Disciplinary Panel (MDP). The penalty was ... Read More
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CFTC fines individual and Forex Trading Advisors Firms

08/12/2015(0)
CFTC Finds that Respondents Made False Statements to the CFTC, Committed Foreign Currency Solicitation Fraud, and Failed to Register with the CFTC The U.S. Commodity Futures Trading Commission (CFTC) ... Read More
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ASIC permanently bans insurance broker convicted of fraud

08/12/2015(0)
ASIC has permanently banned Mr Mark Chapple from providing financial services after he was convicted of fraud in the NSW Magistrates Court (Tamworth). In May 2015, Mr Chapple pleaded guilty ... Read More
Bcsc canada regulator

BCSC panel issues lifetime ban against B.C. man for fraud

03/12/2015(0)
A British Columbia Securities Commission (BCSC) panel has fined and permanently banned Rodney Jack Wharram from the province’s capital markets for fraud. In February 2015, the panel found that Wharram, West ... Read More
ASIC_regulator

ASIC: Former CEO of a Fund Manager Firm (in liquidation) is permanently banned

03/12/2015(0)
The Australian Securities and Investment Commission has issued a press release to inform about its decision to permanently ban former Equititrust CEO. According to ASIC, the Commission has permanently ... Read More
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SEC Charges Bitcoin Mining Companies

02/12/2015(0)
The Securities and Exchange Commission today charged two Bitcoin mining companies and their founder with conducting a Ponzi scheme that used the lure of quick riches from virtual currency ... Read More
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