The Commodity Futures Trading Commission (CFTC) announced today that it filed and settled charges against Jacob Bourne, a former managing director of Deutsche Bank Securities Inc., for fraudulently mismarking ... Read More
The Securities and Exchange Commission (SEC) announced that Citibank N.A. has agreed to pay $38.7 million to settle charges of improper handling of “pre-released” American Depositary Receipts (ADRs). ADRs ... Read More
The Financial Conduct Authority (FCA), the conduct regulator for financial services firms and financial markets in the UK, has issued a press release to inform that The Upper Tribunal ... Read More
National Futures Association (NFA), a self-regulatory organization for the U.S. derivatives industry, has issued a press release to inform that has decided to order New York, NY swap dealer ... Read More
The Board of the Cyprus Securities and Exchange Commission (‘CySEC’) has issued an announcement to inform the public that, at its meeting held on 3rd September 2018, decided to impose ... Read More
The Securities and Exchange Commission has filed an emergency action and obtained an asset freeze against two individuals and their companies in a scheme that generated more than $165 ... Read More
The Financial Conduct Authority (FCA), the conduct regulator for financial services firms and financial markets in the UK, has fined Tesco Personal Finance plc (Tesco Bank) £16,400,000 for failing ... Read More
The Securities and Exchange Commission (SEC) announced it has obtained a court order halting an ongoing Ponzi-like scheme that raised more than $345 million from over 230 investors across the ... Read More
The U.S. financial regulator Securities and Exchange Commission (SEC) announced that Convergex Execution Solutions LLC, now known as Cowen Execution Services LLC, will pay $2.75 million to settle charges ... Read More
The Financial Conduct Authority (FCA), the conduct regulator for financial services firms and financial markets in the UK, has issued an announcement to inform about FCA’s second largest ever ... 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