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Regulatory Sanctions

finra1

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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CFTC Charges New York Resident Gary Creagh and his Company

10/08/2015(0)
CFTC Charges New York Resident Gary Creagh and his Company, Wall Street Pirate Management, LLC, with Making False Statements to the National Futures Association The U.S. Commodity Futures Trading ... Read More
ASIC_regulator

ASIC bans former representative of Macquarie Equities Limited

10/08/2015(0)
ASIC has banned Mr Shawn Hickman, of Middle Cove, New South Wales, from providing financial services for six years after he engaged in unauthorised discretionary trading on his clients’ ... Read More
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CFTC Orders Morgan Stanley & Co. LLC to Pay a $300,000 Civil Monetary Penalty

07/08/2015(0)
CFTC Orders Morgan Stanley & Co. LLC to Pay a $300,000 Civil Monetary Penalty for Violations of Customer Protection Rule for Cleared Swaps and Related Supervision Failures Order Finds ... Read More
cftc

New York Federal Court Orders New York Financial Advisor Wayne P. Weddington III and His Companies to Pay More than $1 Million

06/08/2015(0)
The U.S. Commodity Futures Trading Commission (CFTC) announced that Judge Colleen McMahon of the U.S. District Court for the Southern District of New York entered a Consent Order of ... Read More
Cyprus Securities and exchange commission (cysec)

CySec announces the suspension afresh of the authorisation of a Cyprus Investment Firm

06/08/2015(0)
The Cyprus Securities and Exchange Commission (CySec), the Cypriot financial regulatory authority, has announced that: Following previous announcements dated 12 June 2015 and 2 July 2015, the Cyprus Securities and ... Read More
finra1

FINRA USA Fines Aegis Capital Corp. $950,000

05/08/2015(0)
Two Chief Compliance Officers Fined and Suspended Aegis CEO Fined and Suspended for Failure to Report Liens The Financial Industry Regulatory Authority (FINRA) announced today that it has fined ... Read More
SFC-logo-office

SFC fines BNP Paribas Securities (Asia) Limited $15 million for dark liquidity pool-related failures

04/08/2015(0)
The Securities and Futures Commission (SFC) has fined BNP Paribas Securities (Asia) Limited (BNPP Securities Asia) $15 million for failures in relation to its dark liquidity pool trading services ... Read More
cftc

CFTC charges individual and two corporations for Forex fraud scheme

04/08/2015(0)
The U.S. Commodity Futures Trading Commission (CFTC) today announced the unsealing of a civil enforcement action filed in the U.S. District Court for the Middle District of Alabama, charging Husam ... Read More
Cyprus Securities and exchange commission (cysec)

CySec announced an administrative fine to Banc de Binary

03/08/2015(0)
The Cyprus Securities and Exchange Commission (‘CySEC’) has notified the public that at the meeting held 6th July 2015 decided to impose an administrative fine of €22.000 to Banc ... Read More
Broker Cyprus TopFX