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Regulatory Sanctions

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$76 Million penalties for Forex Ponzi Scheme

03/08/2015(0)
In Related Criminal Actions, Simmons Sentenced to 40 Years’ and Salazar Sentenced to 4.5 Years’ Incarceration and Ordered to Pay in Total $40 Million in Criminal Restitution Both Simmons ... Read More
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SEC charged Two men and Eight companies with defrauding investors

31/07/2015(0)
The Securities and Exchange Commission today charged two men and eight companies with defrauding investors, many of them upstate New York residents, who purchased the companies’ securities and so-called ... Read More
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NFA takes emergency enforcement action against commodity trading advisor

31/07/2015(0)
National Futures Association (NFA) announced today that it has taken an emergency enforcement action against Jonathan Parker (Parker), an NFA Member commodity trading advisor (CTA) located in Woodstock, Ga. This action ... Read More
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FCA bans former Rabobank trader, Lee Stewart, following LIBOR fraud

30/07/2015(0)
The Financial Conduct Authority (FCA) has banned Lee Stewart, a former trader at Coöperatieve Centrale Raiffeisen-Boerenleenbank B.A. (Rabobank) from the UK financial services industry for lacking honesty and integrity ... Read More
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ASIC takes civil action against two for unlicensed financial services business

30/07/2015(0)
ASIC has commenced civil proceedings in the Supreme Court of Queensland against Dr Roger Gareth Munro and Mrs Kathleen Susan Munro. ASIC is seeking declarations and other orders in ... Read More
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ASIC bans former director of Provident Capital Limited

28/07/2015(0)
ASIC has banned Mr Trevor John Seymour, a former director of Provident Capital Limited (Provident Capital), from managing corporations for three years and providing financial services for three years. ... Read More
fca-building

Cash Genie agree with FCA to provide £20 million redress to over 92,000 customers

27/07/2015(0)
Ariste Holding Limited, trading as Cash Genie, has entered into an agreement with the Financial Conduct Authority (FCA) to provide over £20 million of redress to more than 92,000 ... Read More
Bank of Russia, Moschow

Central Bank of Russia cancel the licenses of professional securities market participant

24/07/2015(0)
The Central Bank of Russia has issued a Notice to inform public on cancelling licences of professional securities market participant. The Bank of Russia took a decision to cancel ... Read More
ASIC_regulator

ASIC bans former GTL Tradeup Pty Ltd director

23/07/2015(0)
Mr Andrew Jeffers, a Certified Practising Accountant from Sydney, NSW, has been banned from providing any financial services until 21 May 2018. Mr Jeffers was banned after ASIC found that ... Read More
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SEC Charges Purported Investment Adviser With Stealing Client Funds and Conducting a Ponzi Scheme

17/07/2015(0)
The Securities and Exchange Commission charged a purported investment adviser in San Diego with stealing money from clients for personal use and conducting a Ponzi scheme to pay customers making ... Read More
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