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Regulatory Sanctions

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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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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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