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SEC Charges BNY Mellon With Foreign Corrupt Practices Act Violations

19/08/2015(0)
The Securities and Exchange Commission announced that BNY Mellon has agreed to pay $14.8 million to settle charges that it violated the Foreign Corrupt Practices Act (FCPA) by providing ... Read More
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Citigroup Affiliates to Pay $180 Million to Settle Hedge Fund Fraud Charges

18/08/2015(0)
The Securities and Exchange Commission announced that two Citigroup affiliates have agreed to pay nearly $180 million to settle charges that they defrauded investors in two hedge funds by ... Read More
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ASIC suspends retail OTC derivative licence

17/08/2015(0)
ASIC, the financial regulator of Australia, has issued a press release to inform that it has suspended the Australian financial services (AFS) Licence of retail OTC derivative provider Australian ... Read More
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FINRA Fines StockCross Financial Services, Inc. $800,000 for Regulation SHO Violations

14/08/2015(0)
The Financial Industry Regulatory Authority (FINRA) announced today that it has fined StockCross Financial Services, Inc. $800,000 for Regulation SHO violations and for related supervisory violations that spanned more ... Read More
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Edward Jones to Pay $20 Million for Overcharging Retail Customers in Municipal Bond Underwritings

14/08/2015(0)
The Securities and Exchange Commission today announced that St. Louis-based brokerage firm Edward Jones and the former head of its municipal underwriting desk have agreed to settle charges that ... Read More
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FCA bans and fines former director of advisory firm TailorMade Independent Ltd

13/08/2015(0)
FCA UK has issued a press release to inform on its decision to ban and fine Robert Shaw, of TailorMade Independent Ltd, for SIPP advisory failings. Robert Shaw, former director ... Read More
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SEC Charges ITG With Operating Secret Trading Desk and Misusing Dark Pool Subscriber Trading Information

13/08/2015(0)
The Securities and Exchange Commission today announced that ITG Inc. and its affiliate AlterNet Securities have agreed to pay $20.3 million to settle charges that they operated a secret ... Read More
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NFA bars N.Y. firm Grace Financial Group LLC and its principal Christopher T. Bondy

12/08/2015(0)
National Futures Association (NFA) has permanently barred Grace Financial Group LLC (Grace), an NFA Member introducing broker, and Christopher T. Bondy (Bondy), a principal and associated person (AP), from NFA membership. The Decisions ... Read More
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SEC Charges 32 Defendants in Scheme to Trade on Hacked News Releases

12/08/2015(0)
Hackers, Traders Allegedly Reaped More Than $100 Million of Illegal Profits The Securities and Exchange Commission today announced fraud charges against 32 defendants for taking part in a scheme ... Read More
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FINRA Bars Former Caldwell Broker for Churning Customer Accounts

10/08/2015(0)
The Financial Industry Regulatory Authority (FINRA) announced today that it has permanently barred Richard Adams, a former registered representative of Caldwell International Securities Corp., from the securities industry for ... Read More
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