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Regulatory Sanctions

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SEC Charges Hedge Fund Adviser

07/09/2015(0)
The Securities and Exchange Commission (SEC) has issued a press release to inform that the Commission charges Seattle-Area Hedge Fund Adviser With Taking Unearned Management Fees. Two Accountants Charged ... Read More
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NFA bars two British Virgin Islands firms from membership

31/08/2015(0)
National Futures Association (NFA) has permanently barred Primary Assets Management Corporation (Primary Assets), an NFA Member commodity trading advisor and commodity pool operator, and Accredited Investment Management Corp. (Accredited ... Read More
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Federal Court Enters Judgment against Ron Earl McCullough and David Christopher Mayhew in Foreign Currency Ponzi Scheme

31/08/2015(0)
The U.S. Commodity Futures Trading Commission (CFTC) announced that Senior Judge James C. Fox of the U.S. District Court for the Eastern District of North Carolina entered a default ... Read More
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ASIC cancels Financial Broking Consultants’ Australian Credit Licence

28/08/2015(0)
ASIC has cancelled the Australian credit licence of Financial Broking Consultants Pty Ltd (ACN 116 632 743) (Financial Broking Consultants). Financial Broking Consultants was a finance broking business organising ... Read More
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B.C. securities regulator alleges misrepresentation, illegal distributions and market manipulation

26/08/2015(0)
The Executive Director of the British Columbia Securities Commission (BCSC) has issued a notice of hearing alleging that three individuals issued false or misleading news releases, made illegal distributions, and participated ... Read More
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SEC Announces Asset Freeze Against Alleged EB-5 Fraudster in Seattle Area

26/08/2015(0)
The Securities and Exchange Commission today announced an asset freeze obtained against a man in Bellevue, Wash., accused of defrauding Chinese investors seeking U.S. residency through the EB-5 Immigrant ... Read More
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SEC Charges Former Investment Bank Analyst and Two Others With Insider Trading in Advance of Client Deals

26/08/2015(0)
The Securities and Exchange Commission today charged a former investment bank analyst with illegally tipping his close friend with confidential information about clients involved in impending mergers and acquisitions ... Read More
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FINRA Fines Charles Schwab & Co., Inc. $2 Million for Net Capital Deficiencies

25/08/2015(0)
The Financial Industry Regulatory Authority (FINRA) announced today that it has censured and fined Charles Schwab & Co., Inc. $2 million for net capital deficiencies and for related supervisory ... Read More
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CFTC Orders Swap Dealer to Pay $200,000

20/08/2015(0)
CFTC Orders Swap Dealer INTL FCStone Markets, LLC to Pay a $200,000 Civil Monetary Penalty for Failure to Supervise Swaps Trading in Violation of CFTC Regulation 23.602 The U.S. ... Read More
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SEC Charges Citigroup and agreed to pay $15 million

20/08/2015(0)
SEC Charges Citigroup Global Markets for Compliance and Surveillance Failures The Securities and Exchange Commission  announced that Citigroup Global Markets has agreed to settle charges that it failed to ... Read More
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