Regulatory Sanctions

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Cyprus Investment Firm paid €250.000 to settle possible violations

The Cyprus Securities and Exchange Commission (CySEC), the independent public supervisory Authority responsible for the supervision of the investment services market in Cyprus, has issued an announcement to inform that ... Read More

FCA banned four former directors of an online consumer credit broker

The Financial Conduct Authority (FCA) has banned David James Carter Mullins, Edward John Booth, Christopher Paul Brotherton and Mark Robert Kennedy, the former directors and shareholders of Secure My ... Read More

EU Authority fines five Banks for €2.48 million in total

The European Securities and Markets Authority (ESMA) has fined Danske Bank, Nordea Bank, SEB, Svenska Handelsbanken and Swedbank €495,000 each and issued five public notices for negligently breaching the ... Read More
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Deutsche Bank subsidiaries will pay nearly $75 million to settle charges

The Securities and Exchange Commission (SEC) announced that two U.S.-based subsidiaries of Deutsche Bank AG will pay nearly $75 million to settle charges of improper handling of “pre-released” American Depositary ... Read More
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Firm to pay $3.4 Million Penalty for attempted manipulation of agricultural markets

The Commodity Futures Trading Commission (CFTC) issued an Order filing and settling charges against Lansing Trade Group, LLC (Lansing), a commodity merchandising firm with headquarters in Overland Park, Kansas, ... Read More
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Credit Suisse to pay millions in dollars to settle criminal penalty and charges

The Securities and Exchange Commission announced that Credit Suisse Group AG will pay approximately $30 million to resolve SEC charges that it obtained investment banking business in the Asia-Pacific ... Read More
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Cyprus Regulator decided to withdraw the license of a Cyprus Investment Company

The Cyprus Securities and Exchange Commission (CySEC) has issued an announcement to inform that, on its meeting of 25th June 2018, has decided to wholly withdraw the Cyprus Investment ... Read More
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Operator of commodity trading fund charged with defrauding fund participants

The Commodity Futures Trading Commission (CFTC or Commission) filed a civil enforcement action in the U.S. District Court for the Eastern District of New York, charging Defendant Harris Bruce ... Read More

U.S. court fined company for fraud in a commodity futures day-trading system

Federal Court orders Jody Dupont of Anderson, South Carolina, and his company, Open Range Trading LLC, to pay $192,000 for defrauding customers in connection with offering and selling futures ... Read More
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U.S. Regulatory Authority shuts Down $102 Million Ponzi Scheme

The Securities and Exchange Commission (SEC) filed charges and obtained an asset freeze against the individuals and companies behind a $102 million Ponzi scheme that bilked investors throughout the ... Read More
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