Regulatory Sanctions

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Penalty of $11 Million imposed for fraudulent commodity pool trading schemes

11/12/2018(0)
The Commodity Futures Trading Commission (CFTC) announced an Order of default judgment and permanent injunction has been issued against defendants Scott Allensworth (d/b/a Capital Growth Group Associates and Cobra ... Read More
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SEC halts alleged insider trading ring spanning three countries

07/12/2018(0)
The Securities and Exchange Commission (SEC) has filed insider trading charges against an IT contractor and two others he illegally tipped with confidential client information he stole while working ... Read More
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Individual sentenced to 5 years’ imprisonment for defrauding investors

03/12/2018(0)
The Financial Conduct Authority (FCA) has issued a press release to inform that an individual sentenced to 5 years’ imprisonment in FCA prosecution of £3m investment fraud. In accordance ... Read More
Breaking News

Breaking: Cyprus Investment Firm license suspended

20/11/2018(0)
The Cyprus Securities and Exchange Commission (CySEC) has issued an announcement to inform investors that on November 20, 2018, decided to suspend in whole the license of a Cyprus ... Read More
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Company and individual charged for $170 Million Ponzi Scheme

19/11/2018(0)
The Commodity Futures Trading Commission (CFTC) and the Utah Department of Commerce, Division of Securities, through its Attorney General, jointly filed a civil enforcement action in the U.S. District ... Read More
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The AFS licence of the retail OTC derivative issuer AGM Markets cancelled

14/11/2018(0)
The Australian Securities & Investments Commission (ASIC) has issued an announcement to inform that ASIC has cancelled the Australian financial services (AFS) licence of the retail OTC derivative issuer, ... Read More
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Former managing director of Deutsche Bank Securities Inc. charged for fraud

12/11/2018(0)
The Commodity Futures Trading Commission (CFTC) announced today that it filed and settled charges against Jacob Bourne, a former managing director of Deutsche Bank Securities Inc., for fraudulently mismarking ... Read More
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Citibank agreed to pay millions to settle charges

08/11/2018(0)
The Securities and Exchange Commission (SEC) announced that Citibank N.A. has agreed to pay $38.7 million to settle charges of improper handling of “pre-released” American Depositary Receipts (ADRs). ADRs ... Read More
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Individuals fined and banned from performing any role in regulated financial services

07/11/2018(0)
The Financial Conduct Authority (FCA), the conduct regulator for financial services firms and financial markets in the UK, has issued a press release to inform that The Upper Tribunal ... Read More
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Swap dealer ordered to pay a $900,000 fine

06/11/2018(0)
National Futures Association (NFA), a self-regulatory organization for the U.S. derivatives industry, has issued a press release to inform that has decided to order New York, NY swap dealer ... Read More
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