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Regulatory Sanctions

ASIC_regulator

OCM pays $30,600 penalty for misleading advertising

03/11/2015(1)
O.C.M. Online Capital Markets Pty Ltd (OCM) has paid $30,600 in penalties after ASIC issued three infringement notices for false or misleading online advertising. Each infringement notice imposed a ... Read More
SEC_logo

SEC Bars Brokers Who Played Favorites to Double Their Commissions

02/11/2015(0)
The Securities and Exchange Commission today barred two brokers at a now-defunct Connecticut brokerage for giving customer order information to certain favored customers, helping those customers get better prices ... Read More
CySEC

CySec informs regarding the Continuance of Suspension of CIF license of an investment firm

02/11/2015(0)
The Cyprus Securities and Exchange Commission (CySec) has issued today an announcement to inform on its decision in the meeting dated 26 October for Continuance of Suspension of CIF ... Read More
goldman-sachs

NYDFS Announces Goldman Sachs to Pay $50 Million

30/10/2015(0)
NYDFS Announces Goldman Sachs to Pay $50 Million; Accept Three-Year Regulatory Consulting Abstention; Admit Failure to Supervise For Banking Law Violations Goldman Sachs Employee Schemed to Steal Confidential Regulatory ... Read More
cftc-image-jpeg

CFTC charges individial for fraud involving a Futures Trading System and Advisory Service

22/10/2015(0)
Gramalegui also Charged with Violating a CFTC Administrative Order Entered in 2001, Settling Prior Fraud Charges Brought against Him The U.S. Commodity Futures Trading Commission (CFTC) today announced the ... Read More
finra1

FINRA Sanctions 12 Firms a Total of $6.7 Million

21/10/2015(0)
More than $4 Million in Restitution Ordered to Affected Customers The Financial Industry Regulatory Authority (FINRA) has issued an announcement to inform that: That it has ordered 12 firms ... Read More
cftc-logo

Over $31 Million in penalties for Fraud and Ponzi Scheme Operator

21/10/2015(0)
In a Related Criminal Action, John R. Bullar was sentenced to 8 Years 4 Months in Prison and Ordered to Pay over $6 Million in Criminal Restitution The U.S. ... Read More
bank of russia

Bank of Russia Warnings: Perspective Plus Investment Company

20/10/2015(0)
On cancelling licence of professional securities market participant On 8 October 2015, the Bank of Russia took a decision to cancel licence of a professional securities market participant to carry out securities management No. 163-03386-001000, dated 29 November 2000, ... Read More
SEC_logo

SEC announced settlement of charges with two UBS Advisory Firms

20/10/2015(0)
Two UBS Advisory Firms Settle Charges Arising From Failure to Disclose Change in Investment Strategy Settlement Will Return More Than $13 Million to Harmed Investors The Securities and Exchange ... Read More
FCA_regulator

FCA bans former UBS senior trader from any regulated financial activity

19/10/2015(0)
The Financial Conduct Authority (FCA) bans Kweku Mawuli Adoboli from the financial services industry FCA UK, the financial regulatory authority of UK, has issued a press release to inform ... Read More
Broker Cyprus TopFX