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Regulatory Sanctions

The corporate logo of financial firm Morgan Stanley is pictured on a building in San Diego

Morgan Stanley agreed to pay an $8 million penalty and admit wrongdoing

15/02/2017(0)
The Securities and Exchange Commission (SEC) announced that Morgan Stanley Smith Barney has agreed to pay an $8 million penalty and admit wrongdoing to settle charges related to single ... Read More
hsbc logo

The Securities and Futures Commission bans former employee of HSBC for life

13/02/2017(0)
The Securities and Futures Commission (SFC) has banned Ms Li Lee, a former employee of The Hongkong and Shanghai Banking Corporation Limited (HSBC), from re-entering the industry for life ... Read More
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SEC is freezing brokerage accounts holding more than $29 million in illegal profits

13/02/2017(0)
SEC Charges Chinese Citizens Who Reaped Massive Profits From Insider Trading on Comcast-Dreamworks Acquisition Obtains Court Order Freezing More Than $29 Million in U.S. Accounts The Securities and Exchange ... Read More
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Oden Capital Management ordered to Pay a $100,000 Penalty

10/02/2017(0)
CFTC Orders John B. Oden and His Company, Oden Capital Management, LLC, to Pay a $100,000 Penalty for Failure to Register with the CFTC and Failure to Comply with ... Read More
SFC - Hong Kong

SFC reprimands and fines GMO-Z.com Forex HK Limited $1.6 million

09/02/2017(1)
The Securities and Futures Commission (SFC) has reprimanded and fined GMO-Z.com Forex HK Limited (GMOHK) $1.6 million for deficiencies in its order execution and slippage handling procedures, and failures ... Read More
deutche

FCA fines Deutsche Bank £163 million for serious anti-money laundering controls failings

31/01/2017(0)
Soon after the New York’s Department of Financial Services fined Deutsche Bank $425 million for Russian Mirror-Trading scheme, the U.K. regulators FCA announced a fined of £163,076,224 to Deutsche ... Read More
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CFPB Orders Citi Subsidiaries to Pay $28.8 Million

24/01/2017(0)
CFPB Orders Citi Subsidiaries to Pay $28.8 Million for Giving the Runaround to Borrowers Trying to Save Their Homes Mortgage Servicers Kept Borrowers in the Dark About Options, Demanded ... Read More
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SEC Announces Fraud Charges, Asset Freeze in Alleged Nursing Home Investment Scheme

24/01/2017(0)
The Securities and Exchange Commission (SEC) announced fraud charges and an emergency asset freeze obtained against a businessman in South Carolina accused of siphoning funds he raised from investors for ... Read More
CySEC

CySec announced a €150.000 Settlement with a Cyprus Investment Firm

23/01/2017(0)
The Cyprus Securities and Exchange Commission (CySec) has issued an announcement  to note the following: CySec, under article 37(4) of the Cyprus Securities and Exchange Commission Law of 2009, ... Read More
CySEC

CySec imposed more than €1,9 million in Administrative Fines on Investment firms in 2016

18/01/2017(0)
The Cyprus Securities and Exchange Commission (CySec) has imposed the total of €1,911 million of fines on Cyprus Investment Firms in 2016. In this amount is included a settlement ... Read More
Broker Cyprus TopFX