Wall Street’s self-funded watchdog fined a unit of Barclays PLC (BARC.L) $800,000 (512,377 pounds) for violations related to how the bank reported stock trades over a more than two-year ... Read More
The Cyprus Securities and Exchange Commission (CySec), the Cypriot financial regulatory authority, has announced that: The authorisation of the Cyprus Investment Firm ‘1 T.C.R CORP. LTD’, number 237/14, is ... Read More
The Securities and Exchange Commission today charged OZ Management LP with providing inaccurate trade data to four prime brokers, causing inaccuracies in the brokers’ books and records and in ... Read More
A British Columbia Securities Commission (BCSC) panel has fined Mark Aaron McLeary, Robert Hainey, and Jerry Williams for engaging in market manipulation of shares in a company quoted on ... Read More
The Cyprus Securities and Exchange Commission (CySec), the Cypriot financial regulatory authority, has announced that: The authorisation of the Cyprus Investment Firm ‘Asset Management Advisory Services (AMASS) Ltd’, number 167/12, ... Read More
The Cyprus Securities and Exchange Commission (CySec) the Cypriot financial regulatory authority, has issued an announcement informing that: On its meeting of 6 July 2015, has decided, pursuant, of ... Read More
The Cyprus Securities and Exchange Commission (‘CySEC’) has notified the public that has imposed an administrative fine of €15.000 to CIF Fidelisco Capital Markets Ltd for violating sections of the ... Read More
China’s securities regulator banned major shareholders, corporate executives and directors from selling stakes in listed companies for six months, its latest effort to stop the nation’s $3.5 trillion stock-market ... Read More
FINRA Orders Wells Fargo, Raymond James, and LPL Financial to Pay More Than $30 Million in Restitution to Retirement Accounts and Charities Overcharged for Mutual Funds The Financial Industry ... Read More
The Securities and Exchange Commission today charged a Bay Area oil and gas company and its CEO with running a $68 million Ponzi-like scheme and affinity fraud that targeted ... Read More
We use cookies to improve your browsing experience on our website. To find out more, please read our Privacy Policy and Cookies Policy, been updated and became effective May 24, 2018.
By continuing to navigate our website without changing your cookies settings, or by clicking 'Ok', you hereby acknowledge and agree to OneStopBrokers use of cookies.OkRead more