Regulatory Sanctions

SEC- Headquarters

SEC fined brokerage firm for violated anti-money laundering rules

05/02/2016(0)
The Securities and Exchange Commission announced that a Miami-based brokerage firm agreed to pay a $1 million penalty to settle charges that it violated anti-money laundering rules by allowing foreign ... Read More
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CFTC Charges Financial services Firm

04/02/2016(0)
CFTC Charges Florida-Based Oakmont Financial, Inc. and Joseph Charles DiCrisci with Engaging in Illegal, Off-Exchange Precious Metals Transactions The U.S. Commodity Futures Trading Commission (CFTC) filed a civil injunctive ... Read More
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SEC Charges Lending Company and Brokerage Firm With Fraud

04/02/2016(0)
The Securities and Exchange Commission announced fraud charges against a Manhattan-based lending company and its owner accused of repeatedly lying to investors purchasing high-yield securities. The SEC also charged the ... Read More
CySEC

CySec announced settlement with a Cyprus Investment Firm for €350.000

27/01/2016(0)
The Cyprus Securities and Exchange Commission (CySec) has issued a press release to inform that the Commission has reached a settlement with the CIF Banc De Binary Ltd (“BDB”) ... Read More
CySEC

CySec announced administrative fine of €156.000 on a Cyprus Investment Firm

27/01/2016(0)
The Cyprus Securities and Exchange Commission (CySec) has issued a press release to inform that: The Board of the Cyprus Securities and Exchange Commission (the ‘CySEC’) wishes to inform investors ... Read More
ASIC_regulator

Former Brisbane financial advisor jailed after pleading guilty to fraud charges

18/01/2016(0)
The Australian Securities and Investment Commission (ASIC), the financial regulator of Australia, has issued a announcemnet to inform that: Following an ASIC investigation, Mr Thanh Tu, 38 years old, ... Read More
SEC- Headquarters

SEC Charges Goldman Sachs

15/01/2016(0)
SEC Charges Goldman Sachs With Improper Securities Lending Practices The Securities and Exchange Commission announced that Goldman, Sachs & Co. has agreed to pay $15 million to settle charges that ... Read More
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CFTC orders a London based financial services company to Pay a Civil Monetary Penalty

14/01/2016(0)
CFTC Orders Otkritie Capital International, Ltd. to Pay a $140,000 Civil Monetary Penalty for Violating a CFTC Registration Regulation The U.S. Commodity Futures Trading Commission (CFTC) issued an Order ... Read More
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Traders in China and Hong Kong Paying $920,000 to Settle Insider Trading Case

29/12/2015(0)
The Securities and Exchange Commission today announced that two traders in China and Hong Kong have agreed to pay more than $920,000 to settle an insider trading case against ... Read More
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FINRA Sanctions Fidelity Brokerage Services LLC $1 Million for Supervisory Failures

21/12/2015(0)
Firm Failed to Follow Up on Red Flags to Detect or Prevent Theft of Funds From Senior Investors by Fraudster Posing as Fidelity Broker The Financial Industry Regulatory Authority ... Read More
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