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Regulatory Sanctions

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NFA permanently barred firms from commodity trading advisor and pool operator membership

21/09/2015(1)
NFA bars Burnet, Texas firm McElhannon Group from membership National Futures Association (NFA) has permanently barred the McElhannon Group, Inc. (McElhannon Group), an NFA Member commodity trading advisor, from ... Read More
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ASIC seeks court orders to wind up Management Firm of Investment Schemes

16/09/2015(0)
The Australian Securities & Investments Commission (ASIC) has issued a media release to inform that the Commission seeks court orders to wind up Avestra Asset Management. According the Commissions’s ... Read More
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FINRA Sanctions 10 Former Global Arena Representatives

16/09/2015(0)
The Financial Industry Regulatory Authority (FINRA) announced that as a result of a 2014 onsite exam, it found securities violations including various misleading sales pitches, customer account churning and ... Read More
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SEC Obtains $30 Million From Traders Who Profited on Hacked News Releases

15/09/2015(0)
Litigation Continues Against 32 Other Defendants in Alleged $100 Million Scheme The Securities and Exchange Commission today announced that Ukrainian-based Jaspen Capital Partners Limited and CEO Andriy Supranonok have ... Read More
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CFTC Charges Hannes Tulving, Jr., through his company for a $17.8 Million Precious Metals Scheme

15/09/2015(0)
At Least 381 Customers Nationwide Allegedly Defrauded in the Scheme The U.S. Commodity Futures Trading Commission (CFTC) today filed a civil Complaint against Defendants Hannes Tulving, Jr. of Newport Beach, ... Read More
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SEC Announces Fraud Charges Against Financial Adviser

10/09/2015(0)
SEC Announces Fraud Charges Against Financial Adviser Accused of Greatly Exaggerating Assets Under Management and Investment Returns on Paid Radio Program The Securities and Exchange Commission announced fraud charges ... Read More
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SEC Charges BDO and Five Partners in Connection With False and Misleading Audit Opinions

10/09/2015(0)
The Securities and Exchange Commission today charged national audit firm BDO USA with dismissing red flags and issuing false and misleading unqualified audit opinions about the financial statements of ... Read More
Bank of Russia, Moschow

The Bank of Russia reports on cancelling licences of firms offer broker activity

09/09/2015(0)
The Central Bank of Russia has issued a press release to inform that took a decision to cancel licences of a professional securities market participant following requests of the ... Read More
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SEC Charges Three RMBS Traders With Defrauding Investors

09/09/2015(0)
The Securities and Exchange Commission today announced fraud charges against three traders accused of repeatedly lying to customers relying on them for honest and accurate pricing information about residential ... Read More
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CFTC Orders FXCM to Pay More Than $843,000

09/09/2015(0)
The U.S. Commodity Futures Trading Commission (CFTC) has issued a press release to inform on its decision to order Forex Capital Markets, LLC to pay more than $843,000 for Supervision ... Read More
Broker Cyprus TopFX