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Regulatory Sanctions

BNP Paribas

BNP Paribas fined millions for unsafe practices in the Forex markets

18/07/2017(0)
Federal Reserve Board announces $246 million fine against BNP Paribas S.A. and certain of its U.S. subsidiaries for unsafe and unsound practices The Federal Reserve Board on Monday announced ... Read More
ASIC_regulator

ASIC takes action to wind up land banking scheme and its operator

17/07/2017(1)
ASIC has commenced proceedings in the Federal Court of Australia to wind up a land banking scheme known as the VKK Investments Unit Trust (VKK scheme), as well as ... Read More
Cyprus Securities and exchange commission (cysec)

CySec suspends the license of a Cyprus Investment Firm

14/07/2017(0)
The Cyprus Securities and Exchange Commission (CySec) announces that the authorisation of the Cyprus Investment Firm OptionRally Financial Services Ltd (‘the Company’), number 220/13, is suspended, pursuant to section ... Read More
afm-large

Dutch Authority for the Financial Markets fined a company for market manipulation

12/07/2017(0)
The Dutch Authority for the Financial Markets (AFM) has imposed an administrative fine of € 10,000 on the Spanish company Lexon Capital S.L. (Lexon). The fine was imposed because ... Read More
cftc-logo

Assurance Capital Management and its owners fined $2.4 Million

12/07/2017(0)
The U.S. Commodity Futures Trading Commission (CFTC) has issued a press release to inform that the Federal Court in Florida Orders Anthony J. Klatch II, Lindsey Heim, and their ... Read More
Cyprus Securities and exchange commission (cysec)

CySec announced a total fines of €195,000 on directors of a Cyprus Investment Firm

10/07/2017(0)
The Cyprus Securities and Exchange Commission (CySec) has today announced a series of financial penalties on the directors of Falcon Brokers Limited (www.new.falconbrokers.com; the “Company”), and has banned all ... Read More
SFC-logo-office

QMIS Securities Limited and former responsible officer convicted of giving SFC false or misleading information

03/07/2017(0)
The Eastern Magistrates’ Court has convicted QMIS Securities Limited (QMIS) and its former responsible officer (RO), Mr Huang Kuang Cheng, of making false or misleading representations when submitting licensing ... Read More
cftc

DV Trading ordered to pay a $5 Million penalty

30/06/2017(0)
CFTC Orders Rosenthal Collins Capital Markets LLC, Now Known as DV Trading LLC, to Pay a Civil Penalty of $5 Million for Engaging in Illegal Wash Sales Designed to ... Read More
cftc-logo

Wall Street Pirate Management and its owner banned and to pay $125,000

27/06/2017(0)
Federal Court in New York Imposes Permanent Registration and Trading Bans against Defendants Gary Creagh and His Company, Wall Street Pirate Management, LLC, and Orders Them to Pay a ... Read More
Cyprus Securities and exchange commission (cysec)

CySec announced more than 1 Million euro in total fines to Members of the Board of Directors of Cyprus Popular Bank

22/06/2017(2)
The Board of the Cyprus Securities and Exchange Commission (CySec) has issued an announcement to inform the public that it has investigated the compliance of: Cyprus Popular Bank Public ... Read More
Broker Cyprus TopFX