The Australian Securities & Investments Commission (ASIC), has issued a press release to inform in relation to its decision to ban broker Mr. Raghwa Nand Prasad from providing financial ... Read More
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
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
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
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
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
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
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
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
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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