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Regulatory Sanctions

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Deutsche Bank subsidiaries will pay nearly $75 million to settle charges

23/07/2018(0)
The Securities and Exchange Commission (SEC) announced that two U.S.-based subsidiaries of Deutsche Bank AG will pay nearly $75 million to settle charges of improper handling of “pre-released” American Depositary ... Read More
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Firm to pay $3.4 Million Penalty for attempted manipulation of agricultural markets

16/07/2018(0)
The Commodity Futures Trading Commission (CFTC) issued an Order filing and settling charges against Lansing Trade Group, LLC (Lansing), a commodity merchandising firm with headquarters in Overland Park, Kansas, ... Read More
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Credit Suisse to pay millions in dollars to settle criminal penalty and charges

09/07/2018(0)
The Securities and Exchange Commission announced that Credit Suisse Group AG will pay approximately $30 million to resolve SEC charges that it obtained investment banking business in the Asia-Pacific ... Read More
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Cyprus Regulator decided to withdraw the license of a Cyprus Investment Company

03/07/2018(0)
The Cyprus Securities and Exchange Commission (CySEC) has issued an announcement to inform that, on its meeting of 25th June 2018, has decided to wholly withdraw the Cyprus Investment ... Read More
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Operator of commodity trading fund charged with defrauding fund participants

03/07/2018(0)
The Commodity Futures Trading Commission (CFTC or Commission) filed a civil enforcement action in the U.S. District Court for the Eastern District of New York, charging Defendant Harris Bruce ... Read More
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U.S. court fined company for fraud in a commodity futures day-trading system

27/06/2018(0)
Federal Court orders Jody Dupont of Anderson, South Carolina, and his company, Open Range Trading LLC, to pay $192,000 for defrauding customers in connection with offering and selling futures ... Read More
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U.S. Regulatory Authority shuts Down $102 Million Ponzi Scheme

21/06/2018(0)
The Securities and Exchange Commission (SEC) filed charges and obtained an asset freeze against the individuals and companies behind a $102 million Ponzi scheme that bilked investors throughout the ... Read More
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Merrill Lynch will pay a $42 Million penalty to settle charges

20/06/2018(0)
The Securities and Exchange Commission charged Merrill Lynch, Pierce, Fenner & Smith with misleading customers about how it handled their orders. Merrill Lynch agreed to settle the charges, admit wrongdoing, ... Read More
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Omega Knight 2 and two individuals charged with $5.5 Million precious metals fraud

14/06/2018(0)
The Commodity Futures Trading Commission (CFTC) filed a civil enforcement action in the U.S. District Court for the Southern District of Florida against Defendants Omega Knight 2, LLC (Omega ... Read More
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UK regulator fined a Bank for anti-money laundering systems failings

07/06/2018(0)
The UK regulator Financial Conduct Authority (FCA), has issued an announcement to inform that has fined Canara Bank £896,100 and has imposed a restriction, preventing it from accepting deposits ... Read More
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