Advertise With Us
Sign up for our Newsletter
Join Our Directory
Open an Account

Regulatory Sanctions

cftc-logo

CFTC Orders Deutsche Bank AG to Pay a $2.5 Million Civil Monetary Penalty

02/10/2015(0)
CFTC Orders Deutsche Bank AG to Pay a $2.5 Million Civil Monetary Penalty for Swaps Reporting Violations and Related Supervision Failures CFTC Finds that Deutsche Bank Did Not Diligently ... Read More
cftc

CFTC Orders Michael E. Simmons and Global Consortiums, LLC to Pay More than $589,000

29/09/2015(0)
CFTC Orders Georgia Resident Michael E. Simmons and His Company Global Consortiums, LLC to Pay Restitution and a Civil Monetary Penalty Totaling More than $589,000 for Engaging in Foreign ... Read More
SEC_logo

Credit Suisse to Pay $4.25 Million and Admits to Providing Deficient “Blue Sheet” Trading Data

29/09/2015(0)
The Securities and Exchange Commission today charged Credit Suisse Securities (USA) LLC with submitting deficient information to the agency over a two-year period about trades done by its customers, ... Read More
cftc-logo

Federal Court Orders Futures International LLC and its Chief Operating Officer, to Pay $500,000 Penalty

28/09/2015(0)
Federal Court in Illinois Orders Futures International LLC and its Chief Operating Officer, Amedeo Cerrone, to Pay $500,000 Penalty for Recordkeeping Violations, False Statements, Unauthorized Trading, and Supervision Failures ... Read More
fma

Fourth and final director sentenced in OPI Pacific Finance case

28/09/2015(0)
A former director of OPI Pacific Finance, David Mark Anderson, has today been sentenced in the Auckland High Court for misleading investors. Mr Anderson was sentenced to 300 hours ... Read More
cftc

CFTC charged FOREXNPOWER for Forex Fraud Scheme

28/09/2015(0)
CFTC Charges New York Corporations Safety Capital Management, Inc. and GNS Capital, Inc., both d/b/a FOREXNPOWER, and New York City Residents John Won, Sungmi Kang, and Tae Hung (“Kevin”) ... Read More
cftc-image-jpeg

CFTC Settles with TeraExchange LLC

25/09/2015(0)
CFTC Settles with TeraExchange LLC, a Swap Execution Facility, for Failing to Enforce Prohibitions on Wash Trading and Prearranged Trading in Bitcoin Swap The U.S. Commodity Futures Trading Commission ... Read More
CySEC

CySec announces the suspension of the authorisation of CIF ‘Falcon Brokers Ltd’

24/09/2015(0)
The Cyprus Securities and Exchange Commission (CySec), the Cypriot financial regulatory authority, has announced that: The authorisation of the Cyprus Investment Firm ‘Falcon Brokers Ltd’, number 128/10, is suspended, ... Read More
CySEC

CySec announced an administrative fine to a Firm providing Administrative Services

24/09/2015(0)
The Board of the Cyprus Securities Exchange Commission (‘CySEC’) would like to inform the public that, at the meeting held on August 3rd, 2015, decided to impose an administrative fine of ... Read More
FCA_regulator

FCA UK fined Investment Firm’s former finance director

23/09/2015(0)
FCA publishes Final Notice for Keydata’s former finance director, Craig McNeil, fining him £350,000 and prohibiting him from performing any significant influence function The Financial Conduct Authority (FCA) has ... Read More
Broker Cyprus TopFX