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Regulatory Sanctions

ASIC_regulator

ASIC cancels the license of Forex Broker Firm

15/10/2015(0)
Following its investigation, ASIC has cancelled the Australian financial service licence (AFSL) of LSG Group Pty Ltd , formerly known as NZ Global Financial Trading Pty Ltd, Easy Capital ... Read More
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UBS to Pay $19.5 Million Settlement Involving Notes Linked to Forex trading strategy

14/10/2015(0)
Case Is Agency’s First Against an Issuer of Retail Structured Notes The Securities and Exchange Commission today announced that UBS AG has agreed to pay $19.5 million to settle ... Read More
finra1

FINRA Sanctions Santander Securities LLC $6.4 Million

14/10/2015(0)
The Financial Industry Regulatory Authority (FINRA) announced today that it ordered Santander Securities LLC to pay approximately $4.3 million in restitution to certain customers who were solicited to purchase ... Read More
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SEC charged Trading Company With failing to maintain Policies to prevent misuse of Material Nonpublic Information

13/10/2015(0)
The Securities and Exchange Commission today charged Wolverine Trading LLC and Wolverine Asset Management LLC with failing to maintain and enforce policies and procedures to prevent the misuse of ... Read More
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SEC: Blackstone to Pay Nearly $39 Million Settlement

08/10/2015(0)
Blackstone Charged With Disclosure Failures Private Equity Advisers to Pay Nearly $39 Million Settlement The Securities and Exchange Commission announced that three private equity fund advisers within The Blackstone ... Read More
ASIC_regulator

ASIC bans two persons from providing financial services

06/10/2015(0)
The Australian Securities and Investments Commission (ASIC) has issued today two announcements to inform public that the Commission decided to ban two persons in different cases from providing financial ... Read More
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Federal Court charges Alexander Glytenko and Direct Investment Products, Inc.

06/10/2015(0)
Federal Court Orders Alexander Glytenko and His Company, Direct Investment Products, Inc., to Pay a Monetary Penalty and Restitution Totaling More than $3.8 Million in Connection with Commodity Pool ... Read More
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SEC: Worldwide pyramid scheme operator misled investors

05/10/2015(0)
SEC Halts $32 Million Scheme That Promised Riches From Amber Mining The USA regulator, Securities and Exchange Commission (SEC), has issued an announcement to inform that it has filed ... Read More
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SEC Charges Two Grant Thornton Firms With Violating Auditor Independence Rules

02/10/2015(0)
The Securities and Exchange Commission today charged Grant Thornton India LLP and Australia-based Grant Thornton Audit Pty Limited with auditor independence violations that occurred when two Grant Thornton Mauritius ... Read More
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CFTC Orders Deutsche Bank AG to Pay a $2.5 Million Civil Monetary Penalty

02/10/2015(0)
CFTC Orders Deutsche Bank AG to Pay a $2.5 Million Civil Monetary Penalty for Swaps Reporting Violations and Related Supervision Failures CFTC Finds that Deutsche Bank Did Not Diligently ... Read More
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