Regulatory Sanctions

fraud - red stamp

Individuals charged in international unlawful stock sales scheme

17/05/2018(0)
The Securities and Exchange Commission (SEC) charged four individuals for their roles in a fraudulent scheme that generated nearly $34 million from unlawful stock sales and caused significant harm ... Read More
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USA Regulator ordered a penalty of more than $2.2 million for Forex fraud scheme

14/05/2018(0)
The Commodity Futures Trading Commission (CFTC) announced that Judge Esther Salas of the U.S. District Court for the District of New Jersey has entered an Order of default judgment ... Read More
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$85 million ponzi scheme shuts down

03/05/2018(0)
The Securities and Exchange Commission announced the unsealing of fraud charges against a Mississippi company and its principal who allegedly bilked at least 150 investors in an $85 million ... Read More
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Yahoo agrees to pay $35 million for misleading investors after data breach

27/04/2018(0)
The Securities and Exchange Commission (SEC) announced that Altaba formerly known as Yahoo! Inc. has agreed to pay a $35 million penalty to settle charges that it misled investors ... Read More
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Malta’s supervisory authority issued a notice against a bank and its director

23/03/2018(0)
Malta Financial Services Authority (MFSA), the single regulator for financial services in Malta, has issued a notice to inform public concerning Pilatus Bank Limited and its director Mr Ali ... Read More
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Directors of Storm Financial penalised for breach of duties

22/03/2018(0)
The Australian Securities and Investments Commission has issued an announcement to inform investors and public that the Federal Court has imposed civil penalties of $70,000 each on the directors ... Read More
ASIC_regulator

Director to pay $400,000 and cease to provide financial services for five years

16/02/2018(0)
ASIC has accepted an Enforceable Undertaking from director Mr David Orth under which he will cease to provide financial services for five years. In addition, Mr Orth will make ... Read More
Cyprus Securities and exchange commission (cysec)

The Cyprus Regulator fined €20.000 an Administrative Service Provider

09/02/2018(0)
The Board of the Cyprus Securities and Exchange Commission (‘CySEC’) has issued today an announcement to inform the public that, at its meeting held on 20th November 2017, decided ... Read More
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SFC reprimands and fines Credit Suisse millions for regulatory breaches

09/02/2018(0)
The Securities and Futures Commission (SFC) has resolved its concerns with Credit Suisse (Hong Kong) Limited (CSHK), Credit Suisse Securities (Hong Kong) Limited (CSSHK) and Credit Suisse AG (CSAG) ... Read More
Cyprus Securities and exchange commission (cysec)

CySEC fined €30.000 a Cyprus Investment Firm

06/02/2018(0)
The Board of the Cyprus Securities and Exchange Commission (‘the CySEC’) has issued today an announcement to inform the public that, at the meeting held on 20th November 2017, decided ... Read More
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