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Regulatory Sanctions

Cyprus Securities and exchange commission (cysec)

CySec suspended the license of a Cyprus Investment Firm

11/10/2017(0)
The Cyprus Securities and Exchange Commission (CySec) has issued today an announcement to inform that, following a decision in the meeting dated 25.09.2017, the authorisation of the Cyprus Investment Firm ... Read More
red Fraud-Stamp image

International fraudulent scheme controller fined for more than $2 million

11/10/2017(0)
The Commodity Futures Trading Commission (CFTC) announced that the Honorable Joan B. Gottschall of the U.S. District Court for the Northern District of Illinois entered a Final Judgment and ... Read More
insider trading 2

Stock Market Analyst charged with insider trading

27/09/2017(0)
The Securities and Exchange Commission charged a stock market analyst with insider trading prior to the publication of research reports and articles he authored with the false disclaimer that ... Read More
bank-fines

Citibank and Citigroup Global Markets Limited to pay hundreds of thousands dollars penalty

26/09/2017(0)
The U.S. Commodity Futures Trading Commission (CFTC) issued an Order filing and simultaneously settling charges against Citibank, N.A. (CBNA) and Citigroup Global Markets Limited (CGML) (collectively, Citi), for failing to ... Read More
Merrill Lynch building is shown in downtown San Diego, California

Merrill Lynch to pay millions for supervision failures

25/09/2017(0)
The U.S. Commodity Futures Trading Commission (CFTC) issued an Order filing and simultaneously settling charges against Merrill, Lynch, Pierce, Fenner & Smith Incorporated (Merrill Lynch), a registered Futures Commission ... Read More
finra1

FINRA fines broker dealer $750,000

13/09/2017(0)
FINRA Hearing Panel Fines C.L. King & Associates $750,000 for Negligent Misrepresentations and Omissions in Connection with Death Put Investments and AML-Related Violations The Financial Industry Regulatory Authority (FINRA) ... Read More
Cyprus Securities and exchange commission (cysec)

CySec announced: New Cyprus Investment Firm authorisation

12/09/2017(0)
The Cyprus Securities and Exchange Commission (CySec), the financial regulatory authority of Cyprus, has issued an announcement to inform that a new firm has been approved by the Commission as ... Read More
ASIC_regulator

Merrill Lynch (Australia) Futures pays $60,000 in infringement notice penalty

12/09/2017(0)
Merrill Lynch (Australia) Futures Limited (“MLAF”) has paid a penalty of $60,000 to comply with an infringement notice given to it by the Markets Disciplinary Panel (“the MDP”). The ... Read More
ASIC_regulator

ASIC bans former financial adviser for five years

11/09/2017(0)
ASIC has banned former financial adviser Daniel Gerard Manley from providing financial services for five years. ASIC found that Mr Manley engaged in conduct that was misleading or deceptive, ... Read More
bank-fines

Ikon Global Markets ordered to Pay $200,000

04/09/2017(0)
The U.S. Commodity Futures Trading Commission (CFTC) issued an Order filing and simultaneously settling charges against Ikon Global Markets, Inc. (Ikon) for failing to keep and promptly produce documentation ... Read More
Broker Cyprus TopFX