Global Regulators

Australia

ASIC

Date	Company/Person Name	Violation	Fine	Read more
07-04-2017	Channic Pty Ltd, Cash Brokers Pty Ltd and Colin William Hulbert.	For breaching consumer credit laws.	To pay over $1.2 million.	www.asic.gov.au/
06-04-2017	Motorguard EWM Pty Ltd	Failing to lodge annual statements.	Cancelled the AFS licence.	www.asic.gov.au/
06-04-2017	Rural & General Insurance Broking Pty Limited	Failing to lodge annual statements.	Cancelled the AFS licence.	www.asic.gov.au/
04-04-2017	Adrian Chenh and Bill El-Helou.	For breaches of best interests duty.	Banned for five years each.	www.asic.gov.au/
28-03-2017	Emparo Enterprises Pty Ltd and Quick Cash Advance Pty Ltd.	Failed to hold membership of an EDR scheme.	Cancelled credit licences.	Read OSB Post
24-03-2017	Rebate Financial Services Pty Ltd and Capstone Capital Pty Ltd.	Failing to lodge annual statements.	Cancelled the AFS licence.	Read OSB Post
22-03-2017	Daniel Peter Logan	Engaged in dishonest conduct.	Permanently banned.	Read OSB Post
22-03-2017	Aquaint Capital Limited	In liquidation.	Cancelled the AFS licence.	www.asic.gov.au/
20-03-2017	Angus Matthew Holt	Failed to notify market of his share trading.	$4,500	www.asic.gov.au/
17-03-2017	Roger Gareth Munro	Carried financial services business without an AFS licence.	Arrested and charged with fraud. To appear in the Southport Magistrates Court on 15 May 2017.	www.asic.gov.au/
17-03-2017	Wealth and Risk Management Pty Ltd (WRM), Yes FP Pty Ltd and Jeca Pty Ltd	Alleged contraventions of FoFA obligations.	First hearing before the Federal Court on 31 March 2017.	www.asic.gov.au/
16-03-2017	Michael Ian Davey	Various failures.	Disqualified from managing companies for two and a half years. He appealed against ASIC's disqualification.	www.asic.gov.au/
15-03-2017	Westpac Banking Corporation and Australia and New Zealand Banking Group Limited.	Inadequacies within their wholesale FX businesses.	Both will provide to ASIC an annual attestation and will make a community benefit payment of $3 million each.	Read OSB Post
15-03-2017	Credit Suisse Equities (Australia) Limited	Infringement notice penalty.	$170,000	Read OSB Post
10-03-2017	FAF Companies	Engaged in credit activities without holding an Australian credit licence.	$730,000	Read OSB Post
10-03-2017	Andrew Peter Panayiotides	Failed to act in the best interests of clients.	Permanently banned.	Read OSB Post
10-03-2017	Gavin Hyland	Misappropriating investor funds.	He will be sentenced on 12 May 2017.	www.asic.gov.au/
03-03-2017	Cymon Fontaine	Pleaded guilty to defrauding six clients.	Four years' imprisonment.	www.asic.gov.au/
01-03-2017	Westpac Banking Corporation	Breached home-loan responsible lending laws.	Commenced civil penalty proceedings.	Read OSB Post
23-02-2017	Anthony Doring	Various failures.	Permanently banned.	www.asic.gov.au/
23-02-2017	BGC Partners (Australia) Pty Limited	Infringement notice penalty.	$90,000	www.asic.gov.au/
22-02-2017	Shun Yuen Ken Li (also known as Leo Lee).	Pleaded guilty to dishonest use of his position.	Sentenced to 350 hours community service.	www.asic.gov.au/
21-02-2017	Inhouse Finance Group (Sydney) Pty Ltd	Charged consumers an interest rate higher than the maximum allowable.	To repay more than $400,000 to consumers.	www.asic.gov.au/
20-02-2017	Yingjie Wang (also known as Jay Wang).	Dishonest conduct.	Permanently banned.	www.asic.gov.au/
20-02-2017	Share Investing Limited	Infringement notice penalty.	$130,000	Read OSB Post
15-02-2017	Sovereign MF Ltd	Sovereign was placed into liquidation.	Cancelled the Australian Financial Services licence.	Read OSB Post
10-02-2017	Andrew John Sigalla	Dishonest conduct.	Sentenced to ten years imprisonment. He lodged a Notice of Intention to appeal against conviction and sentence.	www.asic.gov.au/
10-02-2017	Darren Tindall	Failed to comply with financial services laws.	Banned for five yeras.	www.asic.gov.au/
09-02-2017	David St Pierre	Pleaded guilty to dishonest use of his position.	Sentenced to 3 years imprisonment, to be released after 6 months on a recognisance order.	www.asic.gov.au/
06-02-2017	Leigh Alan Jorgensen	Charged with making a false or misleading statement to ASIC.	Charges	www.asic.gov.au/
02-02-2017	NULIS Nominees (Australia) Limited	Breached in internal procedures.	Imposed additional licence conditions on the Australian financial services license.	www.asic.gov.au/
02-02-2017	Bankwest	Overcharged interest on home loans.	Refunded almost $5 million.	www.asic.gov.au/
30-01-2017	Benjamin David Kirkpatrick	Mislead the market.	Banned and sentenced to 12 months imprisonment, to be served as a 12-month Intensive Correction Order.	www.asic.gov.au/
27-01-2017	Madhvan Nair	Convicted to home loan fraud.	Permanently banned.	www.asic.gov.au/
16-01-2017	Pershing Securities Australia Pty Ltd	To comply with an infringement notice.	$40,000	Read OSB Post
04-01-2017	Vontelle Pty Ltd	Not complied with its obligation.	Cancelled its credit licence.	www.asic.gov.au/
22-12-2016	Westpac Securities Administration Limited and BT Funds Management Limited.	For a number of contraventions, including failures of the 'best interests duty'.	The first hearing for the proceedings will be on 2 February 2017.	www.asic.gov.au/
22-12-2016	Suncorp-Metway Limited	Breached consumer credit notification laws.	$530,000	www.asic.gov.au/
20-12-2016	James Meaden	Breached director duties.	The matter has been adjourned to 8 February 2017.	www.asic.gov.au/
20-12-2016	George Nassar	For various failures.	Been disqualified from managing companies for the maximum period of five years.	www.asic.gov.au/
16-12-2016	Glyn Raines	Indicated he intends to plead guilty to two charges of conspiracy.	Offences carry a maximum penalty or two years imprisonment, or both.	www.asic.gov.au/
16-12-2016	Stewart James Banks	Engaged in misleading and deceptive conduct.	Permanently banned.	www.asic.gov.au/
16-12-2016	Keira Jane Keegan	Engaged in misleading and deceptive conduct.	Banned for three yeras.	www.asic.gov.au/
15-12-2016	Trevor Flugge	Failed to investigate Iraq payments.	The Court will hold a hearing about penalties on 16 February 2017.	www.asic.gov.au/
15-12-2016	Shun Yuen Ken Li	Pleaded guilty on two charges of dishonestly using his position.	Charges	Read OSB Post
13-12-2016	OpenMarkets Australia Limited	Concerns identified in a surveillance.	Imposed additional conditions on its AFS license.	Read OSB Post
12-12-2016	Andrew TambyRajah	Engaged in misleading and deceptive conduct.	Banned for five yeras.	Read OSB Post
09-12-2016	Grant Aaron Parker	Intentionally misled his clients, third parties.	Permanently banned.	www.asic.gov.au/
09-12-2016	Sino Australia Oil and Gas Limited	Had contravened the Corporations Act 2001.	$800,000 penalty and its former chairman be disqualified from managing corporations for a period of 20 years.	www.asic.gov.au/
08-12-2016	Hochtief AG	Insider trading.	$400,000 and give up notional profits.	www.asic.gov.au/
08-12-2016	Mateen Mohammed	For various failures.	Banned for seven years.	www.asic.gov.au/
06-12-2016	Paul Cheaib	Engaged in misleading conduct.	Permanently banned.	www.asic.gov.au/
06-12-2016	BMW Australia Finance Limited	For lending failures.	$77 million	Read OSB Post
30-11-2016	Christopher John Griggs	Prepared and submitted applications for insurance premium loan funding without the authority or knowledge of the named applicants.	Permanently banned.	Read OSB Post
29-11-2016	Group Underwriters & Managers Pty Ltd	Failed to lodge financial statements.	AFS licence suspended.	Read OSB Post
28-11-2016	Anthony Bishop	Involved in the provision of inappropriate advice to clients and other failure.	Banned for eight years.	www.asic.gov.au/
23-11-2016	S & S Enterprises Pty Ltd	Charged consumers an annual interest rate higher than the 48% maximum allowable.	The Australian credit licence cancelled.	www.asic.gov.au/
23-11-2016	Andrew John Sigalla	Found guilty of dishonest conduct.	He faces a maximum of five years' imprisonment and/or a fine of $220,000 for each count.	www.asic.gov.au/
21-11-2016	State One Stockbroking Ltd	Failed to comply with market integrity rules.	ASIC has commenced civil penalty proceedings.	Read OSB Post
18-11-2016	James Edward McCarthy	Created and backdated Statements of Advice and Authority and forged client signatures.	Banned for eight years.	Read OSB Post
18-11-2016	Sam Grace	For lodging a false or misleading document with ASIC.	Given a recognizance release order of $500 to be of good behaviour for 12 months.	www.asic.gov.au/
18-11-2016	Shane Douglas Heal	Dishonestly gained benefits.	Charges	www.asic.gov.au/
17-11-2016	Fei Yu	After pleading guilty to insider trading.	Released on recognizance, pay a $10,000 penalty, pay the net profits from his offending and being disqualified for 5 years.	www.asic.gov.au/
17-11-2016	Stephen Michael Beckton	Did not comply with financial services laws.	Banned for five yeras.	www.asic.gov.au/
16-11-2016	Commonwealth Securities Limited	In infringement notice penalty.	$200,000	Read OSB Post
15-11-2016	Darren John Wise	For forgery and misuse of client assets.	Seven years imprisonment.	Read OSB Post
15-11-2016	Sergio Amaranti	Engaged in misleading, deceptive and dishonest conduct.	Permanently banned.	www.asic.gov.au/
10-11-2016	Frederick Leslie Hansen	Pleaded guilty to two counts of dishonestly.	4 years imprisonment.	www.asic.gov.au/
10-11-2016	Michael Spencer	Engaged in price manipulation.	Banned for three yeras.	Read OSB Post
09-11-2016	Cash Converters	Failed to make reasonable inquiries into consumers' income and expenses.	To pay over $12M following ASIC probe.	Read OSB Post
07-11-2016	George Karakatsanis	Engaged in conduct that was misleading and deceptive.	Permanently banned.	www.asic.gov.au/
03-11-2016	Christopher Young	Ffailed to act in his clients' best interest and other failures.	Banned for five yeras.	www.asic.gov.au/
01-11-2016	Rural & General Insurance Broking Pty Limited	Failed to lodge financial statements.	AFS licence suspended.	Read OSB Post
31-10-2016	Ashley Grant Howard	Following an investigation for various failures.?	Permanently banned.	Read OSB Post
28-10-2016	Linda Rae Whelan	Sentenced to imprisonment for fraud and stealing charges.	Permanently banned.	www.asic.gov.au/
27-10-2016	Clemente Group Holdings Pty	Administrative Appeals Tribunal (AAT) has affirmed ASIC’s decision.	Refused an application for a derivatives/market maker licence.	Read OSB Post
27-10-2016	Pierre Jarjoura	Breached requirements and was not a fit and proper person.	Disqualified from a SMSF auditor.	www.asic.gov.au/
20-10-2016	Bernard Meehan	Submitted false documents.	Permanently banned.	www.asic.gov.au/
19-10-2016	Mark McIvor	Following an earlier ASIC investigation into the collapse of Equititrust.	Remains permanently banned.	www.asic.gov.au/
13-10-2016	Macro All State Investments & Securities Limited	The activities of its director is under ASIC's investigation.	Cancelled the AFS licence.	www.asic.gov.au/
10-10-2016	Findex Group Limited and Financial Index Australia Pty Ltd.	For potentially misleading claims on the Findex website.	Each paid a $10,800.	Read OSB Post
10-10-2016	Troy Andrew Rodney Williams	Provided Financial Services Guides that contained false statements.	Permanently banned.	www.asic.gov.au/
04-10-2016	Ben Jayaweera and Growth Plus Financial Group Pty Ltd.	For Unpaid debts.	Commenced civil proceedings.	Read OSB Post
04-10-2016	Lotus Securities Ltd	Failed to comply with a number of its key obligations.	Cancelled the AFS licence.	www.asic.gov.au/
29-09-2016	Andrew Donaldson	He contravened a financial services law.	Permanently banned.	Read OSB Post
28-09-2016	Gabriel Nakhl	Fraud	Charges	www.asic.gov.au/
26-09-2016	LT Management Pty Limited	In relation to free SMSF set-up claims.	$10,800	Read OSB Post
26-09-2016	Michael Mahoney	Engaged in conduct that was misleading and deceptive.	Banned for Four yeras.	www.asic.gov.au/
23-09-2016	Sandeep Madhoji	He was sentenced to imprisonment for fraud charges.	Permanently banned.	Read OSB Post
21-09-2016	Simon Tickner and Lisa Darcy.	Faced proceedings for signing off a loan to a company.	Proceedings dismissed by consent.	Read OSB Post
20-09-2016	Sanhe Building Materials Technology Company Limited	For alleged continuous disclosure breach.	$33,000	www.asic.gov.au/
20-09-2016	Damian O'Rourke	For various failures.	Permanently banned.	www.asic.gov.au/
20-09-2016	Darren Wayne Thompson	Insider trading.	Charges	www.asic.gov.au/
16-09-2016	Allegianz Pty Ltd	Failed to lodge financial statements and auditor reports.	Cancelled the AFS licence.	Read OSB Post
16-09-2016	Geoffrey Woodcock	Not hold required AFS licences.	Banned for Four yeras.	www.asic.gov.au/
15-09-2016	Steven William Hill	Fraudulently misappropriating of invested funds.	Permanently banned.	www.asic.gov.au/
14-09-2016	Kerrie Marie King	Convicted in the County Court of Victoria on five counts.	Permanently banned.	www.asic.gov.au/
14-09-2016	Rommel Panganiban	Failed to act in his clients' best interests.	Permanently banned.	www.asic.gov.au/
14-09-2016	Commonwealth Bank of Australia	Breached of responsible lending laws.	$180,000 in penalties and will write off $2.5 million in loan balances.	Read OSB Post
13-09-2016	Barry Patrick	Pleaded guilty to six charges following an ASIC investigation.	6 years and 3 months imprisonment.	www.asic.gov.au/
12-09-2016	Jennifer Farias	Pleaded guilty loan fraud case.	Permanently banned.	Read OSB Post
08-09-2016	The Sharemarket College	Failed to comply with a number of its obligations.	Cancelled its AFS licence and banned Mr Graeme Allan Rogers and Mrs Jill Rogers.	Read OSB Post
07-09-2016	Morgan Stanley	In infringement notice for various failures.	$123,750	Read OSB Post
06-09-2016	Madhvan Nair	Submitting false or misleading documents to banks.	$1,000 for each and all 18 charges on the condition to be of good behaviour for three years.	www.asic.gov.au/
06-09-2016	Mark Frederic Byers	For his conduct in the management of four failed companies.	Banned for the maximum of five years.	www.asic.gov.au/
02-09-2016	Commonwealth Securities Limited	Infringement notice penalties.	$700,000 penalty and $1.1 million in refunds.	Read OSB Post
02-09-2016	Garth Peter Robertson	For various charges including fraud.	Jailed for five years.	www.asic.gov.au/
01-09-2016	Ostrava Equities Pty Ltd, Bradley Grimm, Ms Vanessa Ash and eight other companies associated.	Multiple breaches of financial services laws.	Court winds up the companies. The two individuals banned for 20 and 10 years respectively.	www.asic.gov.au/
01-09-2016	IMS FX Services Pty Ltd	Misleading application.	Cancelled the AFS licence.	Read OSB Post
30-08-2016	Peter Elfyd Llewellyn	Engaged in unlicensed credit activity.	Banned from engaging in credit activities for a period of ten years.	www.asic.gov.au/
26-08-2016	Emmanuel and Julie Cassimatis.	Breached their duties.	The matter will be listed for a further hearing at a later date.	www.asic.gov.au/
26-08-2016	Darren James Lind	insider trading offences.	Adjourned to the Court on 1 November 2016.	www.asic.gov.au/
24-08-2016	Macquarie Investment Management Ltd	Corporations Act contraventions.	$400,000 penalty and $200,000 for ASIC's legal costs.	www.asic.gov.au/
24-08-2016	Anthony Jason Sourris	Falsely signed and backdated client authority form and other failures.	Banned from providing financial services for two and a half years.	www.asic.gov.au/
24-08-2016	Sarah Kate Gardner	Involved in the creation of a falsely executed and backdated client authority form.	Banned from providing financial services for one year.	www.asic.gov.au/
24-08-2016	Anthony John Downey	Engaged in misleading conduct for an Australian visa.	Banned from providing financial services for six years.	www.asic.gov.au/
24-08-2016	R S Capital Partners Pty Ltd	For misleading representations about the cost of setting up a SMSF.	$10,800	www.asic.gov.au/
23-08-2016	133 self-managed superannuation fund (SMSF) auditors.	Did not lodge their annual statements.	Cancelled the registration.	www.asic.gov.au/
17-08-2016	Nicholas Kerr	Engaged in unauthorised discretionary trading.	Banned from providing financial services for five years.	www.asic.gov.au/
17-08-2016	Marigold Falconer International Limited	Was unable to satisfy ASIC that it could obtain insurance cover for the services.	Cancelled the AFS licence.	Read OSB Post
12-08-2016	Timothy Charles Pratten	Failed to declare approximately $5 million of income.	Permanently banned.	www.asic.gov.au/
04-08-2016	Pacific Millennium International Investment Group Pty Ltd	Breached the obligations of a financial services licensee.	Cancelled the AFS licence.	Read OSB Post
29-07-2016	Emma Feduniwb also known as Emma Khalil.	Loan fraud.	Permanently banned.	www.asic.gov.au/
28-07-2016	Ronald Malcom Cross	Unlawfully carried on an unlicensed financial services business.	Banned from providing financial services for a period of four years.	www.asic.gov.au/
26-07-2016	Craig Scott Miller	Engaged in conduct that was likely to mislead.	Banned from providing financial services for 18 months.	www.asic.gov.au/
26-07-2016	Mark Steven Grevsmuhl	Serious fraud convictions.	Permanently banned.	www.asic.gov.au/
26-07-2016	Edwards Benefits Advisors Pty Ltd	Failed to lodge financial statements.	Cancelled the AFS licence.	Read OSB Post
26-07-2016	Ryan Batros	He contravened a financial services law.	Banned from providing financial services for five years.	www.asic.gov.au/
22-07-2016	Jianyong (Jenny) Mao	Gave misleading information to lender.	The matter was adjourned to 5 September 2016.	www.asic.gov.au/
20-07-2016	ICBC Capital Pty Ltd	In liquidation.	Cancelled the AFS licence.	Read OSB Post
15-07-2016	Garth Peter Robertson	Pleaded guilty to various charges including fraud.	He will be sentenced on 1 September 2016.	www.asic.gov.au/
06-07-2016	40 unlicensed retail OTC derivative providers.	Unlicened to offer financial services to retail investors in Australia.	Removed references to Australia, ceased marketing campaigns directed at Australian investors and other remedial actions.	Read OSB Post
04-07-2016	Satvir Singh Birk	Charged with five counts of fraud.	The matter was adjourned until 1 August 2016.	Read OSB Post
01-07-2016	Etern Wisdom Global Pty Ltd	Failed to lodge financial statements.	Cancelled the AFS licence.	www.asic.gov.au/
01-07-2016	XTrade.au Pty Ltd	ASIC's surveillance raised concerns.	Changed client money practices.	Read OSB Post
29-06-2016	Jennifer Mary Farias	Pleaded guilty to 3 counts of loan fraud.	Sentenced to intensive correction order.	Read OSB Post
29-06-2016	Ergo Capital Pty Ltd	Failed to comply with a number of its obligations.		Read OSB Post
28-06-2016	Advamode Financial Pty Ltd	Following company's request after placed into liquidation.	Cancelled the AFS licence.	www.asic.gov.au/
28-06-2016	Macquarie Securities (Australia) Limited.	To comply with an infringement notice given to it.	$120,000	www.asic.gov.au/
24-06-2016	Oliver Curtis	Found guilty of conspiring to commit insider trading.	Sentenced to two years imprisonment.	Read OSB Post
23-06-2016	Macquarie Investment Management Ltd	Failed to comply with its duties as a responsible entity.	ASIC commences proceedings.	www.asic.gov.au/
08-06-2016	Wayne Meadth	Found to not be adequately trained or competent to provide financial services.	Banned from providing financial services for one year.	www.asic.gov.au/
08-06-2016	NSG Services Pty Ltd	Alleged breaches of 'best interests duty'.	ASIC is seeking declarations of breaches and financial penalties.	www.asic.gov.au/
07-06-2016	National Australia Bank (NAB)	Unconscionable conduct and market manipulation.	ASIC has sought from the court pecuniary penalties.	www.asic.gov.au/
06-06-2016	Oliver Peter Curtis	Found guilty of insider trading conspiracy.	Bailed to appear for a sentencing hearing on 17 June.	www.asic.gov.au/
03-06-2016	Michael William Hull	Pleaded guilty to insider trading charges.	Sentenced to 17 months imprisonment.	www.asic.gov.au/
02-06-2016	Malcolm Philip Bersten	Breached his duties and failed to comply with financial services laws.	Banned from managing corporations and providing financial services for five years.	www.asic.gov.au/
01-06-2016	TMK Index Limited	Failing to comply with a number of key obligations.	Cancelled its AFS licence.	Read OSB Post
30-05-2016	Winley Insurance Group Pty Ltd	Failing to lodge financial statements.	Cancelled its AFS licence.	www.asic.gov.au/
30-05-2016	Rescue Credit Pty Ltd	Over-charging consumers.	Refund $35,000 to customers.	www.asic.gov.au/
27-05-2016	Kenneth David Drake	Pleaded guilty and convicted of two counts of stealing.	Permanently banned from providing financial services.	www.asic.gov.au/
27-05-2016	Tak Simson Kwok	Misleading and dishonest conduct.	Permanently banned from financial services industry.	www.asic.gov.au/
23-05-2016	Gabriel Ehrenfeld	For various failures.	Disqualified from managing corporations for five years.	www.asic.gov.au/
23-05-2016	Brian Dobinson	For various failures.	Permanently removed from the financial services industry.	www.asic.gov.au/
20-05-2016	Marigold Falconer International Limited	Does not have adequate professional indemnity insurance.	Suspends its AFS licence.	Read OSB Post
20-05-2016	Credit Suisse Equities (Australia) Limited	To comply with an infringement notice.	$74,000	Read OSB Post
17-05-2016	Ricky David Gillespie	Forgery of 31 documents.	Appeared in Court and the case was adjourned for 4 July 2016.	www.asic.gov.au/
13-05-2016	Nicolai D'Lamartin	Convicted of numerous counts of fraud and related offences.	Permanently banned.	Read OSB Post
12-05-2016	Bradley Thomas Sherwin	Previously banned for two years and seven months.	Permanently banned.	Read OSB Post
12-05-2016	George John Nowak	For misappropriating $1.8 million in SMSF property investments.	The matter is listed for return on 12 July 2016.	www.asic.gov.au/
09-05-2016	Grant Aaron Parker	Engaged in misleading conduct.	Permanently banned.	Read OSB Post
28-04-2016	Stephen Charles Hall	For aiding and abetting breach of director's duty.	$6,600	www.asic.gov.au/
28-04-2016	ABN AMRO Clearing Sydney Pty Ltd	For failing to make enquiries through the message facility.	$45,000	www.asic.gov.au/
26-04-2016	Hardik Bhimani	Misappropriated advice fees owed to his employer.	Permanently banned.	www.asic.gov.au/
21-04-2016	Giulia Penna	Submitted false documents.	Permanently banned.	Read OSB Post
18-04-2016	Steven William Hill	Fraudulently misappropriating of invested funds.	2 years and 9 months imprisonment.	www.asic.gov.au/
18-04-2016	Nine abandoned companies.	ASIC has exercised its wind up powers to assist employees gain access to the FEG scheme.	Winds up.	www.asic.gov.au/
18-04-2016	Julie Maree Vanzyl	Engaged in dishonest and misleading conduct.	Permanently banned.	www.asic.gov.au/
18-04-2016	Haydn Reimers	Engaged in misleading and deceptive conduct.	Permanently banned.	www.asic.gov.au/
15-04-2016	Paul Duncan	Engaged in misleading and deceptive conduct.	Banned from providing financial services for four years.	www.asic.gov.au/
13-04-2016	Deutsche Bank AG	To comply with an infringement notice.	$20,000	Read OSB Post
05-04-2016	Westpac Banking Corporation	Unconscionable conduct and market manipulation.	Civil penalty proceedings.	www.asic.gov.au/
05-04-2016	Emma Feduniw	Admitted to charges relating to home loan fraud.	Next appears in court on 3 June 2016 for sentencing.	www.asic.gov.au/
31-03-2016	Allegianz Pty Ltd	Failed to comply with a number of key obligations.	License suspended for six months.	www.asic.gov.au/
24-03-2016	Lewis Anthony Wright Fellowes	Dishonestly obtained money from his clients' margin loan accounts.	Charges	www.asic.gov.au/
24-03-2016	David Llewelyn Hicks	Obtained financial advantage by deception.	Permanently banned.	www.asic.gov.au/
23-03-2016	Nimble Australia Pty Ltd	ASIC had concerns that Nimble was failing to meet its responsible lending obligations.	Refund $1.5 million.	www.asic.gov.au/
22-03-2016	Cymon Fontaine	Defrauded clients.	Charges	www.asic.gov.au/
17-03-2016	Macquarie Bank Limited	Following an investigation by ASIC into a series of breach reports.	Additional licence conditions.	www.asic.gov.au/
11-03-2016	Hui Xiao	Insider trading.	8 years and 3 months imprisonment.	www.asic.gov.au/
11-03-2016	Macquarie Bank Limited	Breach reports.	Has imposed additional licence conditions.	www.asic.gov.au/
07-03-2016	Australia and New Zealand Banking Group (ANZ)	Breaching responsible lending laws.	$212,500	Read OSB Post
04-03-2016	Australia and New Zealand Banking Group Limited (ANZ)	Unconscionable conduct and market manipulation.	ASIC has sought from the court pecuniary penalties.	Read OSB Post
03-03-2016	Gerard McCormack	He contravened financial services laws.	Banned for five years from providing financial services.	www.asic.gov.au/
24-02-2016	Rankothge Bandula (Ben) Jayaweera.	ASIC has accepted an enforceable undertaking (EU).	Permanently removed from the financial services industry.	www.asic.gov.au/
24-02-2016	Traders4Traders Pty Ltd	Failing to comply with a number of key obligations.	Suspended its AFS licence.	www.asic.gov.au/
16-02-2016	Andrew Moroney	Operated a business model of providing advice that prioritised his own interests ahead of his clients.	Permanently banned.	www.asic.gov.au/
16-02-2016	Timothy Hornibrook	He contravened financial services laws.	Banned from providing financial services for a period of six years.	Read OSB Post
15-02-2016	Darren Wise	Pleading guilty to three charges of dishonestly.	Permanently banned from providing financial services.	Read OSB Post
10-02-2016	Angie Skouras	Failed to ensure that Global Edge complied with its obligations under the credit legislation.	Banned for four years.	www.asic.gov.au/
09-02-2016	Craig Eric Lynch	Breached his duties as a director of PFS and PFIS.	Disqualified and banned for 4 years.	www.asic.gov.au/
09-02-2016	Fair Go Finance Pty Ltd	Overcharging consumers.	$34,000	www.asic.gov.au/
04-02-2016	GRG International Ltd	Late lodgement of financial accounts.	$37,500	www.asic.gov.au/
04-02-2016	Steven Robert Noske	Insider trading.	Charges. The matter was adjourned to 22 March 2016.	www.asic.gov.au/
04-02-2016	Roger Munro	Operated an unlicensed financial services business.	Permanently restrained from operating without AFS license.	www.asic.gov.au/
04-02-2016	Shane Thompson former NAB bank adviser.	He contravened financial services laws and he was not a fit and proper person.	Banned for seven years.	www.asic.gov.au/
03-02-2016	Nicholas James Ellis	For misleading investors.	Charges. The matter has been listed for mention on 22 March 2016.	www.asic.gov.au/
02-02-2016	BMW Finance	Breaching responsible lending and repossession laws.	$391,000 penalty and a condition placed on its Australian credit licence.	www.asic.gov.au/
02-02-2016	Hochtief AG	Admited to insider trading contravention.	Started legal action seeking a financial penalty.	www.asic.gov.au/
25-01-2016	ZhongHuanYun Holdings Group	For alleged continuous disclosure breach.	Penalty of $33,000.	www.asic.gov.au/
25-01-2016	Australia Samly Holdings Limited	For alleged continuous disclosure breach.	Penalty of $33,000.	www.asic.gov.au/
20-01-2016	Westpac	ASIC's concerns about credit card limit increase practices.	Contribution of $1 million.	www.asic.gov.au/
18-01-2016	Thanh Tu	Pleaded guilty to fraud charges.	Nine-and-a-half years imprisonment.	Read OSB Post
18-01-2016	Ben Rickman	Found to not be adequately trained or competent to provide financial services.	Banned from providing financial services for three years.	www.asic.gov.au/
17-01-2016	Core Insurance Pty	Failled to lodge financial statements and auditor reports.	Cancelled AFS licence.	www.asic.gov.au/
15-01-2016	Darren Wise	Pleaded guilty in Court to three charges following an investigation by ASIC.	Granted bail. Sentence on a date to be fixed.	www.asic.gov.au/
14-01-2016	Ben Cheung of Epping	He contravened financial services laws.	Banned from providing financial services for ten years.	www.asic.gov.au/
14-01-2016	Wayne Robert Miller	Involved in contraventions of financial services laws by ACI Broking WA and related entities.	Banned from providing financial services for four years.	www.asic.gov.au/
23-12-2015	Peter Neil Landau	Ongoing investigation into matters including the use of investor's subscription moneys.	ASIC obtains interim court orders against him.	www.asic.gov.au/
21-12-2015	Nicholas Francis John Bolton	Following his involvement in the failure of 13 companies.	Disqualified managing corporations for three years.	www.asic.gov.au/
18-12-2015	Darren Jason Arnold	Made unauthorised withdrawals from various bank accounts in a friend's name.	Permanently banned.	www.asic.gov.au/
18-12-2015	Tony Davidof	Market manipulation.	Banned from providing financial services for three years.	www.asic.gov.au/
16-12-2015	Aizaz Hassan and Mohamed Radhi Maki Ebrahim Ahmed.	Joint roles in multi-million dollar home-loan fraud conspiracy.	Each sentenced to 5 year Community Corrections Orders.	www.asic.gov.au/
16-12-2015	John Gay	Insider trading.	$500,000 pecuniary penalty.	www.asic.gov.au/
15-12-2015	Mark Lionel Tidbury	Had contravened a financial services law.	Banned from providing financial services for six years.	www.asic.gov.au/
10-12-2015	Macquarie Securities (Australia) Limited	Failing to prevent a non-Designated Trading Representative from submitting Trading Messages.	$110,000 infringement notice penalty.	www.asic.gov.au/
10-12-2015	D2MX Pty Ltd	For various failings.	$120,000 infringement notice penalty.	www.asic.gov.au/
09-12-2015	Rana Turkington Hepi	Engaged in dishonest and misleading conduct.	Banned engaging in credit activities and providing financial services for eight years.	www.asic.gov.au/
09-12-2015	Etrade Australia Securities Limited	Failed to comply with a ASIC market integrity rule.	$65,000 infringement notice penalty.	Read OSB Post
09-12-2015	Australian Investment Exchange Limited	For various failings.	$130,000 infringement notice penalty.	Read OSB Post
08-12-2015	Mark Chapple	Convicted of fraud.	Permanently banned.	Read OSB Post
07-12-2015	John Stephen Paulding	Breached his duties as a director.	Banned from managing corporations for five years.	www.asic.gov.au/
07-12-2015	Midland Hwy Pty Ltd	For public interest required the winding up.	Wind-up orders following ASIC action.	www.asic.gov.au/
03-12-2015	James Dermody	Not a fit and proper person to act as an approved SMSF auditor.	Disqualified from being an approved Self-Managed Superannuation Fund (SMSF) auditor.	www.asic.gov.au/
03-12-2015	Mark McIvor	Breaches of the financial services legislation.	Permanently banned.	www.asic.gov.au/
02-12-2015	Abe Samuel	Had breached independence requirements.	Disqualified as SMSF auditor.	www.asic.gov.au/
01-12-2015	Bassem Fares	Admitted to creating false income verification documents and false letters of employment.	Permanently banned.	www.asic.gov.au/
30-11-2015	Park Trent Properties Group Pty Ltd.	Had unlawfully carried on an unlicensed financial services business for over 5 years.	A permanent injunction restraining them from providing unlicensed financial product advice.	www.asic.gov.au/
30-11-2015	Morgans Financial Limited	Concerns relating to Morgans' arrangements for monitoring and supervising its representatives.	Agreed to the imposition of new licence conditions on its AFS license.	Read OSB Post
30-11-2015	Manoj Abichandani	Provided untruthful statements and that he was not a fit and proper person to be an approved SMSF auditor.	Disqualified him from being an approved Self Managed Superannuation Fund (SMSF) auditor.	www.asic.gov.au/
25-11-2015	Commonwealth Bank	Failing to apply benefits.	To refund $80 million.	www.asic.gov.au/
24-11-2015	Tony Nguyen	Involved multiple breaches of the credit legislation and was considered serious, repeated, and dishonest.	Permanently banned from the credit industry.	www.asic.gov.au/
19-11-2015	Chronos Capital Pty Limited and Robert Lachlan Semple.	Various breaches of financial laws.	Cancelled the AFS License of the company and permanently banned Robert Lachlan Semple.	Read OSB Post
19-11-2015	J.P. Morgan entities	Concerns about significant and repeated failures to comply with the disclosure conditions of ASIC exemptions.	Accepted an Enforceable Undertaking (EU).	www.asic.gov.au/
18-11-2015	3 Investment Companies	Soliciting investments from the public without proper disclosure and the way the funds have been applied.	Obtained orders in the Federal Court for freezing their assets.	www.asic.gov.au/
12-11-2015	Australia and New Zealand Banking Group (ANZ).	Failed to accurately apply bonus interest to PSA Accounts.	$13 million in compensation.	www.asic.gov.au/
10-11-2015	Jiangyong (Jenny) Mao.	Submitted false documents to support home loan applications.	Permanently banned from engaging in credit activities and providing financial services.	www.asic.gov.au/
09-11-2015	Marion Joan Pearson	Contravened financial services laws.	Permanently banned from the financial services industry.	www.asic.gov.au/
03-11-2015	O.C.M. Online Capital Markets Pty Ltd	Misleading advertising.	$30,600	Read OSB Post
28-10-2015	John Cilmi and Northern Securities (Victoria) Pty Ltd.	Various violations.	Banned from credit activities and cancelled the ACL Licence of Northern Securities.	www.asic.gov.au/
27-10-2015	Avestra Asset Management Ltd	Had persistently contravened its duties.	Provisional liquidators appointed following an application by ASIC.	www.asic.gov.au/
22-10-2015	Narrow Lane Investments Pty Ltd	Previously suspended.	Cancelled the AFS licence.	www.asic.gov.au/
21-10-2015	Isaac Hakim	Engaged in misleading and deceptive conduct.	Permanently banned from providing financial services.	www.asic.gov.au/
16-10-2015	Oliver James Wood	Breaching his directors’ duties.	10 months imprisonment was fully suspended upon certain conditions.	www.asic.gov.au/
15-10-2015	Amanda Ritchie	Falsely created documents, engaged in misleading and deceptive conduct, transferred funds without authorisation.	Permanently banned from providing financial services.	www.asic.gov.au/
15-10-2015	LSG Group Pty Ltd	Repeatedly failed to comply with the conditions on its licence and made misleading or deceptive representations.	Cancelled the AFS License	Read OSB Post
07-10-2015	Stuart Murray Jamieson	Failed to provide a Statement of Advice (SOA) within the required timeframe.	Banned from providing financial services for five years.	www.asic.gov.au/
06-10-2015	Sharnie Kent	Contravened financial services laws.	Banned from providing financial services for eight years.	www.asic.gov.au/
06-10-2015	Shiv Prakash Sahay	Loan fraud.	Permanently banned from the credit and financial services industries.	www.asic.gov.au/
02-10-2015	Gary Collyer Armstrong	Role in the collapse of the national whitegoods distributor.	7 years jail.	www.asic.gov.au/
01-10-2015	United Financial Services Pty Ltd	Suspected loan fraud.	Imposed licence conditions.	www.asic.gov.au/
01-10-2015	Total Financial Solutions Australia Limited.	Concerns about the steps taken by TFSA to comply with financial services laws.	Added additional licence conditions.	www.asic.gov.au/
30-09-2015	ACI Broking WA and related entities.	Breached of financial services licensee obligations.	Cancelled the AFS license.	www.asic.gov.au/
29-09-2015	Dunfo Capital Pty Ltd	Failed to comply with key obligations.	Cancelled the AFS licence.	www.asic.gov.au/
25-09-2015	Nigel Derek Heath	Market manipulation.	Two years and three months imprisonment.	www.asic.gov.au/
24-09-2015	Reid Menkens and Leo Menkens.	Concerns over their compliance with financial services laws.	Prompts into enforceable undertakings.	www.asic.gov.au/
24-09-2015	Lukas Zelka	His advice did not meet the standards expected of a financial adviser and that he had failed to comply with financial services laws.	Banned from providing financial services for three years.	www.asic.gov.au/
23-09-2015	D J Carmichael Pty Limited	Paid a penalty for an infringement notice of failing to comply with an ASIC market integrity rule.	$300,000	www.asic.gov.au/
21-09-2015	PAID International Ltd (PAID)	Ceased to engage in credit activities and is insolvent.	Suspended its credit licence.	www.asic.gov.au/
18-09-2015	Fernando Morais and Sanfern Pty Ltd.	Contravened credit legislation.	Banned from engaging in credit activities for ten years and cancelled the credit licence of his company.	www.asic.gov.au/
16-09-2015	Alfie Chong	Provided inappropriate advice and various other failures.	Banned from providing financial services for five years.	www.asic.gov.au/
08-09-2015	Michael Kolody	Was not adequately trained or competent to provide financial advice and had failed to comply with the financial services laws.	Banned from providing financial services for five years and six months.	Read OSB Post
07-09-2015	Raghwa Nand Prasad	Contravened credit legislation and financial services laws.	Banned from providing financial services and from engaging in credit activities for four years.	Read OSB Post
03-09-2015	Advamode Financial Pty Ltd	ASIC surveillance identified concerns regarding their ability to effectively carry out their supervisory requirements.	Additional licence conditions imposed.	Read OSB Post
03-09-2015	Nicholas Hunter	He had contravened financial services laws and is bankrupt.	Permanently banned from financial services industry.	www.asic.gov.au/
28-08-2015	Financial Broking Consultants Pty Ltd	Breached a licence condition by failing to appoint an appropriate and competent person to operate the business.	Cancels Financial Broking Consultants' Australian Credit Licence.	Read OSB Post
27-08-2015	FIBO Group Limited (FIBO) and Trading Point of Financial Instruments Limited (XM.com).	Have Australian clients but not appropriately licensed to provide financial services in Australia.	Each agreed to cease providing unlicensed financial services to Australians.	Read OSB Post
25-08-2015	Smithson & Baye Pty Ltd	Part of an ongoing investigation involving advice to investors to establish an SMSF for investment in real estate.	Cancels Australian credit licence.	www.asic.gov.au/
24-08-2015	Oceanic Asset Management Pty Ltd and Mulato Nominees Pty Ltd.	Following complaints made by a large number of UK-based investors.	Federal Court of Australia has made orders appointing a provisional liquidator following a successful application made by ASIC.	www.asic.gov.au/
13-08-2015	Martin Hodgetts	Submitted false insurance policy proposals to the bank in order to obtain benefits for himself.	Permanently banned from the financial services industry.	www.asic.gov.au/
11-08-2015	Australian Capital Markets Advisory Services Pty Ltd	The new management of the company was unable to demonstrate it was fully compliant with many of the AFS licensing requirements.	Suspended its Australian financial services (AFS) Licence.	Read OSB Post
06-08-2015	Shawn Hickman	Engaged in unauthorised discretionary trading on his clients' accounts and created false records.	Banned from providing financial services for six years.	Read OSB Post
06-08-2015	Sentinel Private Wealth Pty Ltd	Concerns over the company’s compliance with financial services laws.	Imposed conditions on its Australian financial services licence.	www.asic.gov.au/
04-08-2015	Dixon Advisory Group	Complied with two ASIC infringement notices after including potentially misleading claims on its website.	$10,200	www.asic.gov.au/
28-07-2015	Trevor John Seymour, former director Provident Capital.	Breached his duties as a director and failed to comply with financial services laws.	Banned from managing corporations and providing financial services for three years.	Read OSB Post
23-07-2015	Andrew Jeffers	After ASIC found that GTL Trade Up Pty Ltd (In Liquidation)(GTL), a company of which Mr Jeffers was a director, issued statements which were materially false or misleading.	Banned from providing any financial services until 21 May 2018.	Read OSB Post
21-07-2015	Omniwealth Services Pty Ltd	Included potentially misleading advertising claims on its website.	$10,200	www.asic.gov.au/
20-07-2015	Eric-John Larry Pryor and Mr Peter Lachlan McDonald.	Engaged in dishonest and misleading conduct.	Permanently banned engaging in credit activities and providing financial services.	www.asic.gov.au/
15-07-2015	Peter Charles Pritchard Farris	Insider trading.	Following ASIC Investigation, Court sentenced him to a total of 2 years and 9 months imprisonment, fully suspended and fined $65,000.	www.asic.gov.au/
14-07-2015	Peter Brennan	After finding the work he performed in auditing three SMSFs for 2011 and 2012 to be deficient.	Disqualified him from being an approved Self-Managed Superannuation Fund (SMSF) auditor.	www.asic.gov.au/
09-07-2015	David Hodgson	Failed to ensure that his company complied with its obligations as a Responsible Entity under the Corporations Act.	Banned from providing financial services for two years.	www.asic.gov.au/
03-07-2015	John Patrick Sweeney	Engaged in misleading or deceptive conduct in relation to a financial product.	Banned from providing financial services for two years.	www.asic.gov.au/
03-07-2015	Interactive Brokers	ASIC has not to date been in a position to grant IB's Australian subsidiary an appropriately authorised licence.	ASIC has requested IB to cease providing all over-the-counter FX services in Australia.	Read OSB Post
30-06-2015	Lee Robert Robin, director of Protect Ensure Pty Ltd	Engaged in conduct that was misleading or deceptive	Permanently banned	www.asic.gov.au/
25-06-2015	Bradley Thomas Sherwin, Chairman of Wickham Securities Limited and Principal of Sherwin Financial Planners Pty Ltd	33 counts of dishonestly causing detriment totalling nearly $10 million	The matter will return to the Brisbane Magistrates Court on 23 July 2015	www.asic.gov.au/
18-06-2015	FXTS Guru	Not licensed to provide financial services in Australia.	Cease contacting Australian resident investors and remove references to Australia from its website	Read OSB Post
17-06-2015	Macquarie Investment Management Limited	System errors	Refund over $5.5 million to around 2,300 clients	Read OSB Post
16-06-2015	BT Funds Management Ltd	Two infringement notices for misleading statements contained in the online advertising of BT Super	$20,400	www.asic.gov.au/
15-06-2015	Barry David Hassell, Director of B.D. & W.J. Hassell Pty Ltd (financial advice company)	Dishonest conduct, providing ASIC with false or misleading information and failing to provide a disclosure document to clients	12 months imprisonment, to be released forthwith on his own recognisance of $100, to be of good behaviour for a period of 12 months	www.asic.gov.au/
09-06-2015	Mr Paul Duncan	Promoter of non-existent fund	Banned from providing financial services for four years	www.asic.gov.au/
04-06-2015	Shaun Gregory Morgan	Offering of unlicensed financial services through a number of websites	Permanently banned from providing financial services	www.asic.gov.au/
27-05-2015	Mr James Appadoo	Steal $1m from client's account	Permanently banned from providing financial services	www.asic.gov.au/
27-05-2015	TCI Capital Advisers Pty Ltd	Failed to ensure the company had adequate financial resources, failed to lodge audited financial accounts within the required timeframe and failed to report this breach to ASIC.	Cancelled the Australian financial services (AFS) licence	www.asic.gov.au/
25-05-2015	Mr O'Malley, former representative of Macquarie Equities Limited	He engaged in unauthorised discretionary trading on his clients' accounts and created false records.	Banned from providing financial services for five years	www.asic.gov.au/
21-05-2015	FX Primus	None of the entities in the FX Primus group of companies hold an AFS licence, to provide Australian investors with financial services.	To cease targeting Australian investors	www.asic.gov.au/
21-05-2015	Jeffrey Revell-Reade	Convicted over a £70 million fraud in Great Britain. Identified as the mastermind of the boiler room fraud scheme which snared more than 1000 investors.	Permanently banned from providing financial services in Australia	www.asic.gov.au/
14-05-2015	ICAP Futures (Australia) Pty Ltd	1) executing trades with the intent to exclude other participants or their representatives, on two separate occasions; and 2) failing to make an enquiry through the message facility and wait the prescribed period prior to executing trades.	$50,000	Read OSB Post
12-05-2015	FX provider Rainbow Legend Group Pty Ltd	For failing to comply with its obligations, including making false and misleading statements.	Cancelled the Australian financial services (AFS) licence	Read OSB Post
07-05-2015	Ms Ash and Mr Grimm, Directors of Ostrava Equities Pty Ltd (financial services company)	Investigation into alleged unauthorised withdrawals of client funds and charging of fees	Following ASIC application, Court orders surrender of passports	www.asic.gov.au/
05-05-2015	Ken Hart Insurance Brokers Pty Ltd Pty Ltd, McDouall Stuart Corporate Finance Pty Limited, Marshall Laurence Pty Ltd, Green Stride Investment Management Pty Ltd	Failing to lodge annual statements and Failing to advise ASIC in writing, within 10 business days, of becoming aware of this significant breach	Cancelled AFS licence	Read OSB Post
05-05-2015	Navigate Funds Management Pty Ltd	Failing to lodge annual statements and Failing to advise ASIC in writing, within 10 business days, of becoming aware of this significant breach	Suspend AFS licence from 23 December 2014 to 27 February 2015	Read OSB Post
30-04-2015	Garth Peter Robertson, former CEO of collapsed debenture issuer Wickham Securities Ltd.	Charged with various offences, including fraud	The matter was adjourned for further mention on 25 June 2015	Read OSB Post
29-04-2015	Atish Prasad, former financial adviser	Was not adequately trained or competent to provide a financial service and failed to comply with the financial services laws.	Banned for 3 years.	www.asic.gov.au/
28-04-2015	FC Stone Australia Pty Ltd	Contravened subsection 798H(1) of the Corporations Acton several occasions by failing to comply with certain ASIC (ASX24) market integrity rules.	$130,000	Read OSB Post
02-04-2015	FX provider AGM Markets Pty Ltd	Stopped operating a financial services business in May 2014 however has indicated it intends to recommence its business at the end of April 2015.	AFS licence suspended for six months from 26 March 2015.	www.asic.gov.au/
20-03-2015	Meenakshi Devi Callychurn and Unique Mortgage Services Pty Ltd.	Failed to actively engage in the operations of the business and failed to meet the standards expected in the roles of sole director, key person and fit and proper person. UMS was likely to contravene the credit legislation.	Meenakshi Devi Callychurn banned from engaging in credit activities for five years, and cancelled the Australian credit licence of her company Unique Mortgage Services Pty.	Read OSB Post
17-03-2015	The Hon Josh Frydenberg, Assistant Treasurer and The Hon Kelly O’Dwyer, Parliamentary Secretary to the Treasurer.	Insider trading, money laundering and abuse of public office offences.	Josh Frydenberg, sentenced to jail terms of 7 years and 3 months and Kelly O’Dwyer, sentenced to jail 3 years and 3 months.	Read OSB Post
13-03-2015	Dunfo Capital Pty Ltd	Failing to comply with a number of key obligations as a licensee	Suspended the Australian Financial Services (AFS) Licence.	www.asic.gov.au/
12-03-2015	Lewis Fellowes	Engaged in dishonest conduct and in misleading or deceptive conduct in relation to six clients over the July 2008 to July 2010 period.	Permanently banned from providing financial services.	www.asic.gov.au/
12-03-2015	Australian Financial Planning Solutions Pty Ltd	Misleading advertising.	$10,200	www.asic.gov.au/
25-02-2015	Equity Trustees Limited and Como Financial Services Pty Ltd.	Misleading website.	Each paid $20,400.	www.asic.gov.au/
25-02-2015	David Neil Wilkins	Engaged in misleading conduct and provided inappropriate advice.	Banned from providing financial services for five years.	www.asic.gov.au/
16-02-2015	Enfinium Pty Ltd	Failed to have adequate risk management systems, in particular, controls on its Meta Trader 4 (MT4) trading platform and a plug in device known as the 'Virtual Dealer.'	Cancels of the Australian financial services (AFS) licence.	www.asic.gov.au/
10-02-2015	Melinda Scott	Defrauding more than 150 clients of over $5.9 million over a period of 20 years.	Three years and ten months in jail before being eligible for parole.	www.asic.gov.au/
07-01-2015	Guardian Advice	Deficiencies in the advice it provided to retail clients and was not complying with its general obligations as an AFS licensee, including failing to properly supervise its authorised representatives.	Imposed conditions on the Australian financial services (AFS) licence	www.asic.gov.au/

Canada

BCSC

Date	Company/Person Name	Violation	Fine	Read more
28-03-2017	Godwin Ifeanyi Ude	Unregistered trading.	Settlement agreement to pay $5,000.	www.bcsc.bc.ca
17-03-2017	Robert Alexander Sim and Brian Edward Sims.	Breached a cease trade order and illegally distributed securities.	Robert Sim to pay $5,000 and Brian Sims to pay $3,000. Both to resign any positions they hold, prohibited and banned until March 16, 2020.	www.bcsc.bc.ca
14-03-2017	Winston King-Loong Kuit	Engaged in unregistered actions and distributing securities without a prospectus.	Disgorge $147,500 and to pay $20,000 for settlement.	www.bcsc.bc.ca
01-03-2017	Titan-West Explorations Inc., Darren Scott Davidson, and Paul Webster.	Committed fraud through a boiler room and breached cease trade order.	Issued a notice of hearing before a panel on March 21.	www.bcsc.bc.ca
28-02-2017	Siu Mui "Debbie" Wong and Siu Kon "Bonnie" Soo.	Illegal distributions and multiple acts of fraud.	Permanently banned and each been ordered to pay administrative penalties of $6 million.	www.bcsc.bc.ca
27-02-2017	Five people and two companies.	Distributed securities to investors without a prospectus.	Companies permanently cease-traded securities, permanently prohibitions and monetary penalty. Individuals banned, prohibited and monetary penalty.	www.bcsc.bc.ca
17-02-2017	Vicky Dancho (a.k.a. Ju Huang)	Admitted to breaching the Securities Act.	Permanently cease trading in any securities (with limited exceptions), permanently banned and pay $70,000	www.bcsc.bc.ca
16-02-2017	Richard Lian (also known as Richard Terry Ruuska) and Enna M. Keller.	Fraud and breaches of cease trade and temporary orders.	Permanently banned.	www.bcsc.bc.ca
07-02-2017	13 people and nine companies.	Investigation by BCSC staff.	Temporary order to stop capital raising.	www.bcsc.bc.ca
03-02-2017	Christine Maria Cerisse	Made false or misleading statements to BCSC investigators.	The panel directed the parties to make submissions on sanctions.	www.bcsc.bc.ca
30-01-2017	Keith Henry Alexander	Distributed a security to an investor without a prospectus and without being registered to trade.	$20,000 and market prohibitions.	www.bcsc.bc.ca
27-01-2017	Havenplex Holdings Ltd	Engaged in an illegal distribution.	Disgorgement of $105,000.	www.bcsc.bc.ca
25-01-2017	Prabhjot Singh Bakshi and SBC Financial Group Inc.	Traded securities without being registered.	Issued a notice of hearing before a panel on March 21.	Read OSB Post
09-01-2017	Roy Ping Bai	Perpetrated a fraud on investors.	Issued a notice of hearing before a panel on February 7.	www.bcsc.bc.ca
20-12-2016	Ayaz Dhanani	For fraud.	Permanently banned.	www.bcsc.bc.ca
15-11-2016	Larry Keith Davis	For fraud.	Permanently banned.	www.bcsc.bc.ca
04-11-2016	Verdmont Capital, S.A.	Unregistered trading.	$350,000 settlement and permanently banned.	www.bcsc.bc.ca
21-10-2016	Richard Dean Reoji Nawata	Breached cease trade order.	$6,000 and various prohibitions.	www.bcsc.bc.ca
06-10-2016	William Raymond Malone	Breached a Commission order.	$60,000 penalty, banned and various prohibitions.	www.bcsc.bc.ca
21-09-2016	Tin Chao Alan Lau	Fraud	$85,000 penalty, a disgorgement and permanently banned.	www.bcsc.bc.ca
08-09-2016	Richard Lian and Enna M. Keller.	Fraud against investors.	The panel directed the parties to make submissions on sanctions.	www.bcsc.bc.ca
23-08-2016	Thomas Arthur Williams and his group of companies.	For fraud and illegal distributions.	Ordered to pay an administrative penalty of $15 million and permanently banned.	www.bcsc.bc.ca
18-08-2016	Roberto Castano	For investment fraud.	Sentenced to 27 months imprisonment and ordered to pay restitution to seven investors.	www.bcsc.bc.ca
16-08-2016	Gordon Brent Pierce	Subject of two orders issued by the SEC.	Permanently banned from capital markets.	www.bcsc.bc.ca
08-08-2016	Harold Schneider	Has admitted to breaching a cease trade order.	Has agreed to pay $10,000 and he is prohibited from becoming or acting as a director or officer for 3 years.	www.bcsc.bc.ca
05-08-2016	William Raymond Malone	Breached an order.	The panel directed the parties to make submissions on sanctions.	www.bcsc.bc.ca
13-07-2016	Rui Figueiredo	For fraud.	$130,000 and $57,875 penalties and permanent banned.	www.bcsc.bc.ca
27-06-2016	Asia Finance Corporation Ltd	For unregistered trading in B.C.	$125,000	www.bcsc.bc.ca
21-06-2016	Tin Chao Alan Lau	Committed fraud.	To make submissions on sanctions.	www.bcsc.bc.ca
13-06-2016	HSBC entities	For charging clients excess fees.	$300,000 and $20,000 for seetlement and cost.	www.bcsc.bc.ca
08-06-2016	Mark Aaron McLeary	For failing to file insider reports.	$25,000 and he is permanently prohibited.	www.bcsc.bc.ca
03-06-2016	John Ferdinand Alexander Spangenberg and two companies.	Fraud on investors and illegally distributing securities.	Penaty of $225,000, $69,996 and $101,450 respectively and he is permanently banned.	www.bcsc.bc.ca
01-06-2016	Ayaz Dhanani	Committed fraud on three investors.	Parties to make submissions on sanctions.	www.bcsc.bc.ca
30-05-2016	Amy May Hanna-Rogerson, Gurpreet Singh Pawar, David James Rogerson	Sanctioned by IIROC.	Issued reciprocal orders against them.	www.bcsc.bc.ca
26-05-2016	Teresa Kathleen de La Boursodiere	Unregistered advising.	Pay $7,500 for settlement.	www.bcsc.bc.ca
16-05-2016	Kamaljeet Kaur Sumal	Made false statements to investigators.	Settlement agreement.	www.bcsc.bc.ca
26-04-2016	Lance Sanford Cook and Canada’s Best Mortgage Corp.	Allegations that they sold securities in breach of securities laws.	Issued a notice of hearing.	www.bcsc.bc.ca
07-04-2016	Brent Glen Jardine	Breached settlement order.	$40,000 and other prohibitions for a period of seven years.	www.bcsc.bc.ca
21-03-2016	Gordon Eberwein	Admitted that he engaged in “wash trades”.	He has paid $15,000 to the BCSC, and has agreed to prohibitions for a period of four years (with limited exceptions).	www.bcsc.bc.ca
16-03-2016	Patrick Aaron Dunn	He admitted that he sold securities in breach of securities laws.	He paid $11,000 and he is prohibited from trading in securities and other restrictions for a period of two years.	www.bcsc.bc.ca
14-03-2016	John Ferdinand Alexander Spangenberg and two companies.	Perpetrated a fraud on investors and illegally distributed securities.	Parties to make submissions on sanctions.	www.bcsc.bc.ca
25-02-2016	Robert Bruce Rush	Fraud	$200,000 and permanently banned.	www.bcsc.bc.ca
19-02-2016	Doris Elizabeth Nelson	Fraud	$18.5 million permanently banned.	www.bcsc.bc.ca
29-01-2016	Winter Huang, Vicky Dancho and two B.C. incorporated companies.	Perpetrated fraud and distributed securities illegally.	Allegations. A hearing on February 23, 2016.	www.bcsc.bc.ca
19-01-2016	Thomas Arthur Williams and his group of companies.	Committed fraud.	The panel directed the parties to make submissions on sanctions.	www.bcsc.bc.ca
12-01-2016	Rodney John Snider	Illegally distributing securities.	$7,500 and prohibited for a period of four years.	www.bcsc.bc.ca
11-01-2016	HRG Healthcare Resource Group Inc., Alexander Downie, and Daniel G. Mohan.	Illegally distributing securities.	Mohan and Downie to pay penalty, resign, prohibited and banned. HRG be permanently cease-traded.	www.bcsc.bc.ca
17-12-2015	Stewart Douglas Loughery and Richard Dean Reoji Nawata.	Allegations that they breached a cease trade order and filed misleading disclosure.	BCSC has issued a notice of hearing, before a panel of commissioners on January 26, 2016.	www.bcsc.bc.ca
15-12-2015	Five individuals.	Illegally distributing securities.	Administrative penalties and prohibitions of three to seven years.	www.bcsc.bc.ca
10-12-2015	A company and three individuals.	Illegally distributing securities.	$10,000 and be banned for at least five years. $5,000 and be banned for at least one year. The Company permanently cease-traded and all four $10,000.	www.bcsc.bc.ca
08-12-2015	Hong Liang Zhong	Fraud, unregistered trading and offering clients false guarantees.	Pay $401,883.44, an administrative penalty of $250,000 and permanently banned from the province’s capital markets.	Read OSB Post
30-11-2015	Rodney Jack Wharrami, West Karma Ltd and the Falls Capital Corp.	Committed fraud.	Jointly and severally liable for $517,500. Wharram was also ordered to pay an administrative penalty of $500,000 and permanently banned.	Read OSB Post
27-10-2015	James Francis (J. Frank) Callaghan	Breaching national mining standard.	$30,000	www.bcsc.bc.ca
15-10-2015	13 individuals.	Sanctioned by other Regulatory Authorities.	Reciprocated enforcement orders.	www.bcsc.bc.ca
25-09-2015	Alfredo Miguel “Michael” Yong, Inverlake Property Investment Group Inc. and Wheatland Business Park Ltd.	Illegally distributed securities.	The panel directed the parties to make submissions on sanctions.	www.bcsc.bc.ca
02-09-2015	Hussain Dhala	For investors fraud and lying to a commission investigator.	Lifetime ban from the province’s capital markets.	www.bcsc.bc.ca
06-08-2015	Keith Henry Alexander	Engaged in unregistered trading and an illegal distribution of securities.	Settlement, agreed to pay to the BCSC $7,500 and $20,000. Prohibited from trading in securities and banned from investor relation activities for 3 years.	www.bcsc.bc.ca
13-07-2015	Mark Aaron McLeary, Robert Hainey, and Jerry Williams.	Market manipulation of shares in a company quoted on the U.S. Over-the-Counter Bulletin Board (OTCBB).	McLeary pay to the BCSC the $91,308.56, as well as an administrative penalty of $800,000. Both Hainey and Williams were each ordered to pay administrative penalties of $700,000. Also, permanently banned each of them from B.C.’s capital markets.	www.bcsc.bc.ca
06-07-2015	Yan Zhu, Guan Qiang Zhang, Bossteam E-Commerce.	Committed numerous securities-related infractions, including fraud, illegally distributing securities, and withholding information from BCSC investigators and instructing their employees and investors to do the same.	Disgorge to the Commission the $14 million obtained as a result of their misconduct and permanently cease-traded Bossteam E-Commerce.	www.bcsc.bc.ca
24-06-2015	Blog Writer Noshad Dowlati	Fraud and trading and advising without registration.	Permanently prohibited from becoming or acting as a director or officer of any issuer or registrant, trading or purchasing securities or exchange contracts, acting as a registrant or promoter, engaging in investor relations activities, and acting in a management or consultative capacity in connection with the securities market. (Life time Ban) $14,050 obtained as a result of his misconduct, as well as an administrative penalty of $30,000.	Read OSB Post
16-06-2015	Peter R. Kellogg and IAT Reinsurance Company Ltd	Failed to file required insider reports with the BCSC disclosing their beneficial ownership or control of, and transactions in, the shares of MFC Industrial Ltd.	Kellogg and IAT jointly undertake to pay $25,000.	www.bcsc.bc.ca
12-06-2015	Brent Glen Jardine	Breached a settlement order prohibiting him from being a director or officer of any issuer for two years.	These allegations have not been proven. Counsel for the Executive Director will apply to set dates for a hearing into the allegations before a panel of commissioners on August 25, 2015.	www.bcsc.bc.ca
11-05-2015	Robert Laudy Williams	Admitted that he engaged in an illegal distribution of securities.	Agreed to pay to the BCSC $8,775 in respect of settlement of this matter. Also prohibited from trading in securities (with limited exceptions), and from becoming or acting as a director, officer, promoter, or registrant for a period of two years. Also banned, for the same period, from acting in a management or consultative capacity in connection with the securities market, and from engaging in investor relations activities.	www.bcsc.bc.ca
08-05-2015	Douglas William, former broker.	Lying to regulators and acting contrary to the public interest.	Administrative penalty of $30,000 and prohibited, for a period of one year, from becoming or acting as a registrant, and from acting in a management or consultative capacity in connection with the securities market.	www.bcsc.bc.ca
07-05-2015	Hong Liang Zhong	Committed fraud, engaged in unregistered trading, and offered clients false guarantees to reimburse them for any losses.	The panel directed the parties to make submissions on sanctions according to the schedule set out in the findings.	www.bcsc.bc.ca
30-04-2015	Robert Scott Morrice and Donald Gordon Byrne.	Both men admitted to acting contrary to the public interest when they worked together to avoid B.C. securities laws.	Morrice has agreed to resign from any position he holds as a director or officer of any issuer (with limited exceptions). He is prohibited, for 12 years, from becoming or acting as an officer or a director of any issuer (with limited exceptions), becoming or acting as a registrant or promoter, acting in a management or consultative capacity in connection with the securities market, and engaging in investor relations activities. Byrne is prohibited, for a period of four years, from becoming or acting as an officer or a director of any issuer (with limited exceptions), becoming or acting as a registrant or promoter, acting in a management or consultative capacity in connection with the securities market, and engaging in investor relations activities.	www.bcsc.bc.ca
28-04-2015	Daniel Quo Ming Sam	Admitted that he engaged in an illegal distribution of securities.	Agreed to pay to the BCSC $29,469 in respect of settlement of this matter. He is also prohibited from trading in securities (with limited exceptions), and from becoming or acting as a promoter or registrant for a period of five years. Sam is also banned, for the same period, from acting in a management or consultative capacity in connection with the securities market, and from engaging in investor relations activities.	www.bcsc.bc.ca
01-04-2015	Sharon Downing	Illegal distribution of securities.	Downing has agreed to pay to the BCSC the US $3,231 she earned in commissions. She is also prohibited from trading in securities (with limited exceptions), and from becoming or acting as a promoter or registrant for a period of three years. Downing is also banned, for the same period, from acting in a management or consultative capacity in connection with the securities market, and from engaging in investor relations activities.	www.bcsc.bc.ca
27-03-2015	Michael Patrick Lathigee and Earle Douglas Pasquill, jointly directed and controlled a group of companies called the Freedom Investment Club (FIC Group)	Fraudulently raised a total of $21.7 million through the sale of securities to 698 investors without telling the investors important facts about the financial condition of corporate respondents FIC Group and FIC Foreclosure.	Lathigee was ordered to pay a $15 million administrative penalty to the commission, and to resign any position he holds as an officer of a director of an issuer or registrant. The panel ordered that Lathigee be permanently banned from trading in securities, purchasing securities or exchange contracts, and from becoming or acting as a director or officer of any issuer or registrant. He is also permanently prohibited from becoming or acting as a registrant or promoter, from engaging in investor relations activities, and from acting in a management or consultative capacity in connection with the securities market. Pasquill was ordered to pay a $15 million administrative penalty to the commission, and to resign any position he holds as an officer of a director of an issuer or registrant. The panel ordered that Pasquill be permanently banned from trading in securities, purchasing securities or exchange contracts, and from becoming or acting as a director or officer of any issuer or registrant. He is also permanently prohibited from becoming or acting as a registrant or promoter, from engaging in investor relations activities, and from acting in a management or consultative capacity in connection with the securities market.	www.bcsc.bc.ca
18-03-2015	Thalbinder Singh Poonian, Shailu Sharon Poonian, Robert Joseph Leyk, Manjit Singh Sihota and Perminder Sihota	Found to have perpetrated a market manipulation that led to a misleading appearance of trading activity in, or an artificial price for, shares in a company listed on the TSX Venture Exchange (TSX-V).	Jointly and severally liable to pay to the commission $7,332,936 obtained as a result of their misconduct. Thalbinder Poonian pay to the commission an administrative penalty of $10 million; Sharon Poonian pay to the commission an administrative penalty of $3.5 million; Robert Leyk pay to the commission an administrative penalty of $3.5 million; Manjit Sihota pay to the commission an administrative penalty of $3.5 million; and Perminder Sihota pay to the commission an administrative penalty of $1 million.	www.bcsc.bc.ca
17-03-2015	Larry Keith Davis	Defrauded an investor. Has never been registered to sell securities.	These allegations have not been proven. Counsel for the Executive Director will apply to set dates for a hearing into the allegations before a panel of commissioners on march 31, 2015	www.bcsc.bc.ca
16-03-2015	Gary B. Thompson and Lowprofile Ventures Ltd.	Admitted that they illegally distributed securities.	Undertakes to pay $5,000 to the BCSC, and he has agreed to a three year ban from acting as an officer or a director of any issuer except Lowprofile. He has also agreed to successfully complete courses on the duties and responsibilities of corporate officers and directors.	www.bcsc.bc.ca
10-03-2015	Roberta Merlin McIntosh (a.k.a. Berta McIntosh, Roberta Sims, Roberta Butcher, Roberta Mayer)	Illegally advising an investor to purchase exempt market securities.	$30,000	www.bcsc.bc.ca
25-02-2015	Michael Jerome Knight, Jeffrey Karl Wiegel, 0772835 B.C. Ltd. (835 Ltd.), Local 1661 Building Inc. (Local Inc.), and Almaval Building Inc. (Almaval)	Sold securities without a prospectus and without being registered.		www.bcsc.bc.ca
20-02-2015	Protokinetix Inc. and Ross L. Senior	Settlement agreement for breaching a cease trade order.	$10,000	www.bcsc.bc.ca
12-02-2015	Rodney Jack Wharram and three companies for which he is a director and president.	Committed fraud.	The panel directed the parties to make submissions on sanctions according to the schedule set out in the findings.	www.bcsc.bc.ca
21-01-2015	Rashida Samji, a former notary public.	Perpetrated a $100 million fraud on at least 200 investors.	$33 million and be permanently banned from participating in B.C.’s capital markets.	www.bcsc.bc.ca
07-01-2015	Mark Aaron McLeary, Robert Hainey, and Jerry Williams.	Market manipulation.	The panel directed McLeary, Hainey and Williams to make submissions on sanctions according to the schedule set out in the findings.	www.bcsc.bc.ca
05-01-2015	Colin Robert Hugh McCabe and Erwin Thomas Speckert	Facilitating the secret promotion of securities.	McCabe was ordered to pay to the commission the $2,776,993 obtained as a result of his misconduct, as well as an administrative penalty of $1.5 million. The panel also ordered that McCabe resign any position he holds as an officer of a director of an issuer or registrant. He is permanently banned from trading in securities, purchasing securities or exchange contracts, and from becoming or acting as a director or officer of any issuer or registrant (with limited exceptions). He is also permanently prohibited from becoming or acting as a registrant or promoter, from engaging in investor relations activities, and from acting in a management or consultative capacity in connection with the securities market. The panel ordered that Speckert resign any position he holds as an officer of a director of an issuer or registrant. He is banned from trading in securities, purchasing securities or exchange contracts (with limited exceptions), and from becoming or acting as a director or officer of any issuer or registrant for five years. He is also prohibited, for the same period, from becoming or acting as a registrant or promoter, from engaging in investor relations activities, and from acting in a management or consultative capacity in connection with the securities market.	www.bcsc.bc.ca

Cyprus

CySec

Click below to read the Sanctions imposed by CySEC from 1 Jan 2015:

CySec’s Sanction Analysis 2017

CySec’s Sanction Analysis 2016

CySec’s Sanction Analysis 2015

Date	Company/Person Name	Violation	Fine	Read more
06-04-2017	CommexFx Ltd	Not complied with sections of the Law and had seriously infringed provisions of CIFs operating conditions.	Wholly withdraw the Cyprus Investment Firm authorization.	Read OSB Post
04-04-2017	Dragon Options Ltd	Complied with the provisions of section of the Law and European Article.	Withdrawal of suspension of CIF authorisation.	http://www.cysec.gov.cy/
03-04-2017	TTCM Traders Trust Capital Markets Ltd	Complied with the provisions of section of the Law and European Article.	Withdrawal of suspension of CIF authorisation.	http://www.cysec.gov.cy/
03-04-2017	Leadtrade Ltd	Complied with the provisions of section of the Law and European Article.	Withdrawal of suspension of CIF authorisation.	Read OSB Post
31-03-2017	Leadtrade Ltd	There are suspicions of an alleged violation of section of the Law and European Article.	Suspension of CIF licence.	http://www.cysec.gov.cy/
31-03-2017	TTCM Traders Trust Capital Markets Ltd	There are suspicions of an alleged violation of section of the Law and European Article.	Suspension of CIF licence.	Read OSB Post
31-03-2017	Gametech (Cyprus) Ltd	There are suspicions of an alleged violation of section of the Law and European Article.	Suspension of CIF licence.	Read OSB Post
31-03-2017	Dragon Options Ltd	There are suspicions of an alleged violation of section of the Law and European Article.	Suspension of CIF licence.	Read OSB Post
17-03-2017	Boursotrade Ltd	There are suspicions of an alleged violation of various sections of the Law and European Article.	Suspension of CIF licence.	Read OSB Post
15-03-2017	Atlas Capital Financial Services Ltd	For non-compliance with various Sections of the Financial Markets Law of 2007 and various Paragraphs of Directive 1.	Wholly withdraw the Cyprus Investment Firm authorization.	Read OSB Post
10-03-2017	Novox Capital Ltd	Did not notify CySec immediately, for a material change.	€ 5,000	Read OSB Post
23-02-2017	PriorFX Ltd	For non-compliance with various Sections of the Financial Markets Law of 2007 and various Paragraphs of Directive 1 and Directive 2.	€ 63,000	Read OSB Post
15-02-2017	Novox Capital Ltd	For non-compliance with various Sections of the Financial Markets Law of 2007 and various Paragraphs of Directive 1 and Directive 2.	€ 175.000	Read OSB Post
07-02-2017	Fortified Capital Ltd	For the noncompliance with article 29(2) of the Alternative Investment Funds Law.	€ 5.000	Read OSB Post
23-01-2017	Bdswiss Holding Plc	Settlement	€ 150.000	Read OSB Post
13-01-2017	IQ Option Europe Ltd	CySec decided to revoke its decision for non-compliance with a section of the Law.	€20,000 of the €180,000 fine is now not payable.	Read OSB Post
10-01-2017	Mutual Trust Ltd	For non compliance with various sections of the Law.	€ 15.000	Read OSB Post
27-12-2016	Colmex Pro Ltd	For non compliance with various sections of the Law.	€ 100.000	Read OSB Post
20-12-2016	Best Choice FBC Ltd	Pursuant to sections 25(1)(b), 25(1)(c) and 26(4)(b) of the Law of 2007.	Continuance of Suspension of CIF license and possible withdrawal of the license.	Read OSB Post
20-12-2016	Blaustein Corporate Services Ltd	There are suspicions of an alleged violation of various sections of the Law.	Suspended of the ASP authorisation.	Read OSB Post
13-12-2016	UBFS Invest powered by Moneychoice Brokers Ltd	Due to the Company’s non-compliance with various sections of the Law and Article of the European Regulation.	Wholly withdraw the Cyprus Investment Firm authorization.	Read OSB Post
24-11-2016	PFX Financial Professionals Ltd	There are suspicions of an alleged violation of various sections of the Law.	Suspension of CIF licence.	Read OSB Post
31-10-2016	Falcon Brokers Ltd	Company’s CIF authorisation has been withdrawn, not settled its obligations, CySec has not been able to communicate with the Company.	Initiation of the compensation payment process.	Read OSB Post
25-10-2016	XFR Financial Ltd	For non-compliance with the Financial Markets Law of 2007, Directive 1 and Directive 2.	€ 225.000	Read OSB Post
17-10-2016	Bank of Cyprus Public Company Ltd	Violations Transparency Requirements Law of 2007 and Insider Dealing and Market Manipulation (Market Abuse) Law of 2005.	€ 25.000	Read OSB Post
17-10-2016	Andreas Artemi	Violations Transparency Requirements Law of 2007.	€ 70.000	Read OSB Post
17-10-2016	Yiannis Kypri	Violations Transparency Requirements Law of 2007.	€ 70.000	Read OSB Post
17-10-2016	Yiannis Pechlivanides	Violations Transparency Requirements Law of 2007.	€ 70.000	Read OSB Post
17-10-2016	Stavros Constantinides	Violations Transparency Requirements Law of 2007.	€ 50.000	Read OSB Post
17-10-2016	Costas Severis	Violations Transparency Requirements Law of 2007.	€ 30.000	Read OSB Post
17-10-2016	Georgios Georgiades	Violations Transparency Requirements Law of 2007.	€ 30.000	Read OSB Post
17-10-2016	Irini Caramanou	Violations Transparency Requirements Law of 2007.	€ 30.000	Read OSB Post
17-10-2016	Christis Hadjimitsis	Violations Transparency Requirements Law of 2007.	€ 70.000	Read OSB Post
04-10-2016	Danny Rothman (or Daniel Rubinstein)	Submitted to CySEC documents which are false or/and provide misleading information.	€ 100.000	Read OSB Post
03-10-2016	Teos Corporate Services Ltd	For violating section 9 of the Law Regulating Companies Providing Administrative Services and Related Matters.	€ 5.000	Read OSB Post
30-09-2016	IQ Option Europe Ltd	For non-compliance with the Financial Markets Law of 2007, Directive 1 and Directive 2.	€ 180.000	Read OSB Post
30-09-2016	OptionRally Financial Services Ltd	For non-compliance with the Financial Markets Law of 2007, Directive 1 and Directive 2.	€ 138.000	Read OSB Post
29-09-2016	AirFinance Pro Ltd	Following previous decision.	Continuance of Suspension of CIF license.	Read OSB Post
29-09-2016	Best Choice FBC Ltd	Pursuant to section 26(4)(b) of the Investment Services and Activities and Regulated Markets Law.	Continuance of Suspension of CIF license.	Read OSB Post
21-09-2016	UBFS Invest powered by Moneychoice Brokers Ltd	Pursuant to section 26(4)(b) of the Investment Services and Activities and Regulated Markets Law.	Continuance of Suspension of CIF license and possible withdrawal of the license.	Read OSB Post
21-09-2016	Cyprus Popular Bank Public Co Ltd, Efthimios Mpouloutas and Christos Stylianides.	For various violations from the company. Their responsibility and negligence to the company’s law violations.	€60000 and €10000 to Efthimios Mpouloutas and €50000 to Christos Stylianides. The company was not fined.	Read OSB Post
09-09-2016	Atlas Capital Financial Services Ltd	Pursuant to section 26(4)(b) of the Investment Services and Activities and Regulated Markets Law.	Continuance of Suspension of CIF license and possible withdrawal of the license.	Read OSB Post
29-08-2016	Mutual Trust Limited	CySec has been satisfied that the Company is in compliance with article 7(2) of the Law.	Lift of suspension of ASP license.	Read OSB Post
19-08-2016	HF Markets (Europe) Ltd	For non-compliance with the legislation L.144(?)/2007 and the Directives DI 144-2007-01 of 2012 and DI 144-2007-02 of 2012.	€ 105.000	Read OSB Post
16-08-2016	MANRICH FUND LIMITED, BIGAN WEALTH FUND LTD, GAINMORE FUND LTD and EBIT FUND LTD	Do not fulfill the conditions of the AIF Law.	The ICIS shall be dissolved.	www.cysec.gov.cy/
10-08-2016	M&L Invest Union Markets Ltd	For violating article of EU Regulation and Paragraph of CySec's Directive.	€ 2.000	Read OSB Post
09-08-2016	Best Choice FBC Ltd	For noncompliance with Directive and sections of the Law of 2007.	Suspension of CIF licence.	Read OSB Post
09-08-2016	UBFS Invest powered by Moneychoice Brokers Ltd	Pursuant to section 26(4)(b) of the Investment Services and Activities and Regulated Markets Law.	Continuance of Suspension of CIF license.	Read OSB Post
09-08-2016	Mutual Trust Limited	Pursuant to section 15(3)(b) of the Law regulating Companies providing Administrative Services and Related Matters of 2012.	Continuance of suspension of ASP license.	Read OSB Post
01-08-2016	Mutual Trust Limited	Suspicions of an alleged violation of section of the Law Regulating Companies Providing Administrative Services and Related Matters of 2012.	Suspension of ASP licence.	Read OSB Post
29-07-2016	AirFinance Pro Ltd	Pursuant to section 26(3) of the Investment Services and Activities and Regulated Markets Law.	Continuance of Suspension of CIF license.	Read OSB Post
08-07-2016	B.O. Tradefinancials Ltd	For non-compliance with the legislation L.144(?)/2007 and the Directives DI 144-2007-01 of 2012 and DI 144-2007-02 of 2012.	€ 138.000	Read OSB Post
28-06-2016	UBFS Invest powered by Moneychoice Brokers Ltd	Suspicions for an alleged violation of artciles of the Law 0f 2007.	Continuance of Suspension of CIF license.	Read OSB Post
17-06-2016	AirFinance Pro Ltd	For noncompliance with sections of the Law of 2007 and CySec's Circular.	Suspension of CIF licence.	Read OSB Post
16-06-2016	Opus Trust Management Ltd	Had not satisfied all the conditions for the granting of the authorization.	Recall and Rejection of an Application for an ASP authorisation.	Read OSB Post
27-05-2016	Trademarker (Cyprus) Ltd	For noncompliance with sections 28(1), 12(1), 13(2) and 18(c) of the Law of 2007.	Wholly withdraw the Cyprus Investment Firm authorization.	Read OSB Post
27-05-2016	UBFS Invest powered by Moneychoice Brokers Ltd	Pursuant to section 26(2) of the Law of 2007, as there are suspicions for an alleged violation of section 28(1), 67(1) of the Law of 2007 and of the Article 92(1) of the European Regulation.	Suspension of CIF license	Read OSB Post
25-05-2016	Atlas Capital Financial Services Ltd	Pursuant to section 26(3) of the Investment Services and Activities and Regulated Markets Law.	Continuance of Suspension of CIF license.	Read OSB Post
12-05-2016	Atlas Capital Financial Services Ltd	Pursuant to section 26(4)(b) of the Investment Services and Activities and Regulated Markets Law of 2007.	Continuance of Suspension of CIF license.	Read OSB Post
18-04-2016	Falcon Brokers Ltd	For noncompliance with sections of the Law of 2007.	Wholly withdraw the Cyprus Investment Firm authorization.	Read OSB Post
07-04-2016	Pegase Capital Ltd	Following a previous decision for license suspension.	Continuance of Suspension of CIF license.	Read OSB Post
07-04-2016	Atlas Capital Financial Services Ltd	There are suspicions of an alleged violation of section 28(1) of the Law.	Suspension of CIF licence.	Read OSB Post
31-03-2016	Mayzus Investment Company Ltd	For noncompliance with Directive and section of the Prevention and Suppression of Money Laundering and Terrorist Financing Law of 2007.	€ 12.000	Read OSB Post
30-03-2016	Ouroboros Derivatives Trading Ltd	For noncompliance with Directives and sections of the Law of 2007.	€ 235.000	Read OSB Post
16-03-2016	BDSwiss Holding Ltd	For noncompliance with sections of the Law of 2007.	€ 5.000	Read OSB Post
16-03-2016	SpotOption Exchange Ltd	For noncompliance with sections of the Law of 2007.	€ 10.000	Read OSB Post
11-03-2016	CommexFX Ltd	Violation of the section 139(2) of the Law of 2007, as it submitted false documents or/and provide false information.	€ 50.000	Read OSB Post
09-03-2016	Trademarker (Cyprus) Ltd	Pursuant to section 26(2) of the Investment Services and Activities and Regulated Markets Law (‘the Law’).	Continuance of Suspension of CIF licence.	Read OSB Post
07-03-2016	Grow Wealth Assets Ltd	For violating article of EU Regulation and Paragraph of CySec's Directive.	€ 5.000	Read OSB Post
04-03-2016	Pegase Capital Ltd	As there are suspicions of an alleged violation of Sections of the Law.	Suspension of CIF licence.	Read OSB Post
23-02-2016	CommexFX Ltd	“Dealing on own account” without an authorisation to provide the said service.	€ 100.000	Read OSB Post
15-02-2016	Trademarker (Cyprus) Ltd	Due to the Company’s possible non compliance at all times with the condition if its authorization.	Suspension of CIF licence	Read OSB Post
27-01-2016	Banc De Binary Ltd	Settlement	€ 350.000	Read OSB Post
27-01-2016	Rodeler Ltd	Non compliance with the Law of 2007, L.188(?)/2007, and Directives.	€ 156.000	Read OSB Post
04-12-2015	Falcon Brokers Ltd	Pursuant to section 26(4)(b) of the Investment Services and Activities and Regulated Markets Law.	Continuance of Suspension of CIF licence	Read OSB Post
27-11-2015	IronFX Global Ltd	Settlement	€ 335.000	Read OSB Post
27-11-2015	Reliantco Investments Ltd	Violations regarding compliance with the Law 144(I)-2007, Law 188(I)/2007 and other Directirves.	€ 123.000	Read OSB Post
27-11-2015	WGM Services Ltd	Violations regarding compliance with the Law 144(I)-2007, Law 188(I)/2007 and other Directirves.	€ 340.000	Read OSB Post
27-11-2015	Pegase Capital Ltd	Violations regarding compliance with the Law 144(I)-2007, Law 188(I)/2007 and other Directirves.	€ 300.000	Read OSB Post
27-11-2015	Depaho Ltd	Violations regarding compliance with the Law 144(I)-2007, Law 188(I)/2007 and other Directirves.	€ 233.000	Read OSB Post
25-11-2015	Pulp International Business Ltd	Subject to paragraphs 3(1)(a) and 23 of Directive DI144-2007-15 of 2015.	Announcement for Initiation of the compensation payment process by I.C.F.	Read OSB Post
24-11-2015	Said Salem, Shaher Hasanain, Marios Economou and Savvas Savva	Do not comply with paragraph 9(1) of Directive DI144-2007-01 of 2012.	€150.000 and reprimand.	Read OSB Post
02-11-2015	Falcon Brokers Ltd	Pursuant to section 26(4)(b) of the Investment Services and Activities and Regulated Markets Law.	Continuance of Suspension of CIF licence	Read OSB Post
20-10-2015	1 T.C.R. CORP. LTD	The Commission has been satisfied that the Company has complied with the provisions of the Law.	Withdrawal of suspension of CIF licence.	Read OSB Post
16-10-2015	CLR Overseas Ltd	Violation of section 4(1) of the Investment Services and Activities and Regulated Markets Law of 2007.	€ 10.000	Read OSB Post
24-09-2015	Fellaco Services Ltd	Violating section 5(1) of the Law Regulating Companies Providing Administrative Services and Related Matters of 2012, as in force.	€ 10.000	Read OSB Post
24-09-2015	Falcon Brokers Ltd	Violating Sections of Law and possible non Compliance with section of Law regarding Operational requirements – Clients’ funds.	Suspension of CIF licence.	Read OSB Post
06-08-2015	CommexFX Ltd	To examine whether is justified to withdraw, or not, the CIF authorisation due to alleged violations and serious infringements of the Law.	Suspension afresh of CIF licence.	Read OSB Post
06-08-2015	Iliad Investments Ltd (ex PP&F Capital Ltd)	Pursuant to section 12(a) of the Alternative Investment Fund Managers Law of 2013, as the AIFM has expressly renounced the authorisation.	Withdrawal of Alternative Investment Fund Manager authorisation.	Read OSB Post
03-08-2015	Banc De Binary Ltd	For violating articles of The Prevention and Suppression of Money Laundering and Terrorist Financing Law and paragraphs of the Directive DI144-2007-08 of 2012 for the Prevention of Money Laundering and Terrorist Financing.	€ 22.000	Read OSB Post
29-07-2015	Asset Management Advisory Services (AMASS) Ltd	CySec has been satisfied that the Company complied with section 6(9) of the Law.	Withdrawal of suspension of CIF licence.	Read OSB Post
16-07-2015	1 T.C.R CORP. LTD	Possible non compliance with the condition if its authorization provided for in section 12 of the Law (persons who effectively direct the business of a CIF).	Suspension of CIF licence.	Read OSB Post
10-07-2015	P.M. Investment Capital Limited	In relation of non notification of a material change ( website addresses), non compliance regarding initial capital, organizational structure, head office location, organizational requirements, for non notification of the intention to provide investment services freely within the territory of another Member State or/and a third country, for withholding material information (non disclosure of Company’s activation), and for the non submission of capital adequacy forms.	Withdrawal of CIF license.	Read OSB Post
10-07-2015	Asset Management Advisory Services (AMASS) Ltd	Possibly conducting other business, beyond the services and/or activities stated in the Company’s authorisation, without receiving CySec’s permission.	Suspension of CIF licence.	Read OSB Post
08-07-2015	Fidelisco Capital Markets Ltd	Violations regarding the sections of the Law L144(I)/2007 for Establishment of a CIF branch in the Republic and for the provision of false, or misleading information or details or documents or forms, or the withholding of material information from any application or notification submitted to the Commission.	€ 15.000	Read OSB Post
06-07-2015	CommexFX Ltd	Violations regarding Continuous CIF obligations in respect of Persons who effectively direct the business of a CIF, Organisational requirements, requirement to establish, implement and maintain an internal operation manual, Safeguarding of clients financial instruments and funds, Changes in the persons who effectively direct the business of CIF and regarding the provision of false, or misleading information or details or documents or forms, or the withholding of material information from any application or notification submitted to the Commission.	€ 100.000	Read OSB Post
06-07-2015	Mr Abdel Rahman El Amary (Director of CIF CommexFX Ltd).	Reagrding Section 139(2) of the Law refers to the provision of false, or misleading information or details or documents or forms, or the withholding of material information from any application or notification submitted to the Commission.	€ 30.000	Read OSB Post
02-07-2015	Safecap Investments Ltd	Violating the Investment Services and Activities and Regulated Markets Law of 2007, the Directive DI144-2007-01 of 2012 for the Authorisation and Operating Conditions of CIFs, the Directive DI144-2007-02 of 2012 for the Professional Competence of Investment Firms and of the Natural Persons Employed by Them and other laws.	€ 168.000	Read OSB Post
02-07-2015	CommexFX Ltd	Suspension of CIF authorisation.	Continuance of Suspension of CIF licence	Read OSB Post
30-06-2015	Argus Funds	Non-submission by the Management Company, within three (3) months from the grant of its operational licence, of a certification by the Depositary regarding the deposit of the Common Fund’s initial assets.	Revocation of UCITS licence.	Read OSB Post
12-06-2015	CommexFX Ltd	Suspicions of alleged violations of: Section 28(1) of the Law, ‘Continuous CIF obligations’, due to the Company’s possible non compliance with the condition if its authorization provided for in section 18(2), paragraphs (i) and (j), of the Law, ‘Operational requirements – Clients’ funds’, as specialized in Part VI of the Directive DI144-2007-01 of 2012, ‘Safeguarding of clients’ funds’.	Suspension of CIF licence	Read OSB Post
21-05-2015	Trademarker (Cyprus) Ltd	Articles of the Law for: CIF must at all times comply with the conditions under which authorisation was granted as provided on Article 13 of the Law regarding CIF Shareholders and Article 18 (2) (d) regarding organisational requirements.	€ 20.000	Read OSB Post
20-05-2015	Reliantco Investments Ltd	For violation of Article 36 (1) (c) and Paragraphs 14 and 16 of the Directive DI144-2007-02 of 2012, for violation of Article 36 (1) (d) And Paragraphs 15 & 16 of the Directive DI144-2007-02 of 2012, for violation of Article 40 (2).	€ 8.000	Read OSB Post
15-05-2015	Banc de Binary Ltd	For violation of Article 6 (9) A CIF is prohibited from conducting any other business, beyond the services or/and activities stated in its authorisation and Article 28 (1) A CIF must at all times comply with the conditions under which authorisation was granted as laid down in Part III of the Law. The company has not notified CySec its close relation with another company.	€ 20.000	Read OSB Post
06-04-2015	Pulp International Business Ltd	Non complaince with sections of the Law in relation to clients’ funds and the Law regarding The Prevention and Suppression of Money Laundering Activities Law, in relation to the procedures followed for the prevention of money laundering.	Withdrawal of CIF licence	Read OSB Post
26-03-2015	WGM Services Ltd	Provided investment services through the websites www.ezinvest.com and www.eztrader.com, while the Company’s CIF authorisation was wholly suspended by the CySEC.	€ 10.000	Read OSB Post
10-03-2015	TTCM Traders Trust Capital Markets Ltd	The company provided a misleading statement to CySec regarding the increase of its own funds to comply with the articles 10 and 67(2) of the Cyprus Investment Services Law 144(I)-2007.	€ 5.000	Read OSB Post
18-02-2015	Pulp International Business Ltd	Section 18(2)(j) of the Law, ‘Operational requirements – Clients’ funds’, and Part VI of the Directive DI144-2007-01 of 2012, ‘Safeguarding of clients’ funds’ and Section 18(2)(h) of the Law and section 58(a) of the Prevention and Suppression of Money Laundering and Terrorist Financing Law of 2007, as in force.	Suspension of CIF license	Read OSB Post
18-02-2015	UFS Capital Ltd	Non compliance with paragraphs 39(2) and 39(5), Chapter C of the Directive DI144-2007-05 of 2012, Submission of information), and paragraphs 18(1)(a) ??? 18(3) of the Directive DI144-2007-06 of 2012 (Frequency of disclosure and date of reporting of large exposures).	Withdrawal of CIF license	Read OSB Post
04-02-2015	Banc de Binary	Articles of the Law for: Continuous CIF obligations, Establishment of a CIF branch in another member state or and a third country, Freedom to provide investment and ancillary services or and perform investment activities by a CIF in another member state or and a third country, General obligations.	€ 125.000	Read OSB Post

Germany

BaFin

Date	Company/Person Name	Violation	Fine	Read more
10-04-2017	IMS International Marketing Services GmbH	Unauthorized money remittance business.	Account freezing.	www.bafin.de/
03-04-2017	China Specialty Glass AG	Failed to submit its accounting documents.	EUR 7,500	www.bafin.de/
03-04-2017	1st RED AG	Failed to submit its accounting documents.	EUR 2,500	www.bafin.de/
30-03-2017	Vtion Wireless Technology AG	Failed to submit its accounting documents.	EUR 2,500	www.bafin.de/
30-03-2017	New-York Hamburger Gummi-Waaren Compagnie Aktiengesellschaft	Failed to submit its accounting documents.	EUR 2,500	www.bafin.de/
20-03-2017	Fenghua SoleTech AG	Breached of section 325 of the German Commercial Code.	Disciplinary fine of EUR 2,500 by the Federal Office of Justice.	www.bafin.de/
20-03-2017	Ming Le Sports AG	Breached of section 325 of the German Commercial Code.	Disciplinary fine of EUR 2,500 by the Federal Office of Justice.	www.bafin.de/
02-03-2017	China Specialty Glass AG	Breached of section and sentence of the German Securities Trading Act.	EUR 247,500	www.bafin.de/
24-02-2017	Snowbird AG	Offended against sections and sentences of the Securities Trading Act.	EUR 335,000	www.bafin.de/
26-01-2017	Fenghua SoleTech AG	Offended against the financial reporting requirements.	EUR 140,000	www.bafin.de/
25-01-2017	Maier + Partner Aktiengesellschaft	Offended against the financial reporting requirements.	EUR 140,000	www.bafin.de/
17-01-2017	Wild Bunch AG	Offended against the financial reporting requirements.	Ordered to comply with the financial reporting requirements and threatened coercive fines in the amount of EUR 335,000	www.bafin.de/
07-12-2016	Snowbird AG	Offended against the financial reporting requirements.	Ordered to comply with the financial reporting requirements and threatened coercive fines.	www.bafin.de/
24-11-2016	Abwicklungsgesellschaft Rösch AG Medizintechnik	Offended against the financial reporting requirements.	Ordered to comply with the financial reporting requirements and threatened coercive fines.	www.bafin.de/
09-11-2016	Travel24.com AG	Offended against the financial reporting requirements.	Ordered to comply with the financial reporting requirements and threatened coercive fines.	www.bafin.de/
20-10-2016	KREMLIN AG	Offended against the financial reporting requirements.	EUR 140,000	www.bafin.de/
19-10-2016	Maier + Partner Aktiengesellschaft	Due to infringements against the financial reporting requirements.	Ordered to comply with the financial reporting requirements and threatened coercive fines.	www.bafin.de/
19-10-2016	Fenghua SoleTech AG	Due to infringements against the financial reporting requirements.	Ordered to comply with the financial reporting requirements and threatened coercive fines.	www.bafin.de/
22-09-2016	Deutsche Cannabis AG	Due to infringements against the financial reporting requirements.	EUR 140,000	www.bafin.de/
11-07-2016	Deutsche Cannabis AG	Due to infringements against the financial reporting requirements.	Ordered to comply with the financial reporting requirements and threatened coercive fines.	www.bafin.de/
17-06-2016	KREMLIN AG	Due to infringements against the financial reporting requirements.	Ordered to comply with the financial reporting requirements and threatened coercive fines.	www.bafin.de/
19-05-2016	Cashcloud AG	Indications for contain false or misleading information.	Warns of buy recommendations for shares.	www.bafin.de/
27-04-2016	Nanopac Innovation Ltd	Indications for contain false or misleading information.	Warns of buy recommendations for shares.	www.bafin.de/
26-10-2015	BalticPay Corporation	Provided unauthorised payment services in Germany.	Prohibits from providing unauthorised money-remittance business in Germany.	www.bafin.de/
09-09-2015	Vietnam Joint Commercial Bank for Industry and Trade (VietinBank).	Did not comply with the large exposure limit.	EUR 7,500	www.bafin.de/
18-05-2015	Shinhan Bank Europe GmbH	Did not comply with the large exposure limit and failed to give BaFin notice that the limit had been exceeded, or did not do so correctly, in full or without delay.	EUR 10,000	www.bafin.de/
18-05-2015	J.P. Morgan AG	Failed to comply with an immediately enforceable order from BaFin regarding its risk management, in that it did not quickly enough rectify the deficiencies as ordered.	EUR 30,000	www.bafin.de/
20-04-2015	Peter Beck Performance Fonds GbR	Neither Peter Beck Performance Fonds GbR nor its asset manager, Concept Capital Management AG, domiciled in St. Vincent, obtained an authorisation or registration under the German Investment Code (Kapitalanlagegesetzbuch – KAGB).	Orders to wind up its unauthorised investment business and appoints a liquidator	www.bafin.de/
15-04-2015	Forum 6 GbR	Is conducting deposit business without the required authorisation from BaFin.	Orders to wind up its unauthorised deposit business	www.bafin.de/
20-03-2015	BlackRock Investment Management (UK) Ltd	Limit had been exceeded.	EUR 3.25m	www.bafin.de/
09-02-2015	Mr. Frank Ertinger	Conducting deposit business without the required authorisation from BaFin.	Orders to wind-up his deposit business	www.bafin.de/
02-02-2015	Dagensia Finance s.r.o., domiciled in the Czech Republic	Provided unauthorised payment services in Germany by accepting funds on its own accounts in Germany in order to process payment services transactions and by targeting the German market with its offer to provide payment services. The authorisation granted by the CNB did not extend to the provision of cross-border services.	Prohibits from providing unauthorised money-remittance business in Germany	www.bafin.de/
13-01-2015	Life Performance GmbH	Is conducting deposit business without the required authorisation from BaFin. Life Performance GmbH's request to order suspensory effect of the objection to BaFin's order was rejected by the Administrative Court (Verwaltungsgericht) in Frankfurt am Main in a decision of 21 July 2014.	Orders to wind up its unauthorised deposit business. Required to repay investors the funds accepted without undue delay and in full.	www.bafin.de/

Malta

MFSA

Date	Company/Person Name	Violation	Fine	Read more
05-04-2017	Baltimore Fiduciary Services Limited	For breaches of article 43(13)(i)(c) and article 43(13)(i)(d) of the Trusts and Trustees Act.	€ 16,000	www.mfsa.com.mt
29-03-2017	Calamatta Cuschieri Investment Services Limited	For breaches of the marketing rules.	€ 3,000	www.mfsa.com.mt
23-03-2017	Nemea Bank plc	Public Notice concerning previous reference dated 20 January 2017	Withdraw the licence of the bank.	www.mfsa.com.mt
09-03-2017	LandOverseas Fund SICAV plc	Breached license condition and various rules.	Suspended its Collective Investment Scheme Licence.	www.mfsa.com.mt
07-03-2017	FPC Wealth Management Limited	Breached various articles of the Trusts and Trustees Act.	Suspended its authorisation.	www.mfsa.com.mt
07-03-2017	Venture Services Limited	Breached various articles of the Trusts and Trustees Act.	Suspended its authorisation.	www.mfsa.com.mt
02-03-2017	Andreas Wolfl	Failure of ETI Securities plc to publish notices.	€ 4,650	www.mfsa.com.mt
02-03-2017	Andreas Wolfl	Failure of Delta 1 Securities plc to publish notices.	€ 4,650	www.mfsa.com.mt
06-02-2017	John Radford	Decision has been issued in terms of the Insurance Business Act (Cap 403).	To resign from all executive roles within One Insurance Limited.	www.mfsa.com.mt
20-01-2017	Nemea Bank plc	Regulatory shortcomings had been identified.	No progress has been registered and the Aurhority proposed to the ECB the withdrawal of the licence granted.	www.mfsa.com.mt
22-09-2016	Falcon Funds SICAV plc	In the context of the specific circumstances that have arisen.	Directed to redeem the units of the sub-funds held by the Swedish Pension Agency.	www.mfsa.com.mt
09-09-2016	Falcon Funds SICAV plc	In the context of the specific circumstances that have arisen.	To lift the temporary suspension of redemptions and subscriptions.	www.mfsa.com.mt
27-06-2016	STM Malta Trust and Company Management Limited	Breached various regulation articles non-compliance with Licensing Condition.	€ 27,500	www.mfsa.com.mt
27-04-2016	Nemea Bank p.l.c.	To ensure the proper protection of depositors and other clients.	Appointed PwC as a competent person.	www.mfsa.com.mt
13-04-2016	STM Malta Trust and Company Management Limited	Breach of article 21(1) of the Trusts and Trustees Act (Cap.331) and paragraph 6.0 of the Code of Conduct for Trustees.	€ 50,000	www.mfsa.com.mt
29-03-2016	FIMBank p.l.c.	Requirements of article 17(B)(1) and 17(B)(2) of the Banking Act (Cap. 371) were not met.	Decided to apply a number of restrictions.	www.mfsa.com.mt
08-03-2016	FX-CAM Consulting and Advertisement Ltd	Found in breach of a number of requirements.	Cancel the Category 2 Investment Services Licence.	www.mfsa.com.mt
08-03-2016	D.B.R. Investments Limited	Investigations for been involved in unauthorised activities.	The Company is winding down.	www.mfsa.com.mt
08-01-2016	RFID Invest II SICAV plc.	Found to be in breach of Standard Licence Conditions.	Suspended its Licence.	www.mfsa.com.mt
16-12-2015	JFP Investments (SICAV) plc	Found to be in breach with Standard Licence Conditions.	Suspended its its Collective Investment Scheme Licence.	www.mfsa.com.mt
02-11-2015	Cosmic Financial Services (Malta) Limited	Series of regulatory breaches.	Cancelled the Category 1A investment services licence.	Read OSB Post
08-10-2015	Kentish Alan Roy	In terms of articles of Trusts and Trustees Act, Special Funds Act and Insurance Intermediaries Act.	Not to hold any directorship, senior managerial and, or executive roles within two specific companies.	www.mfsa.com.mt
01-09-2015	SMART INSURANCE BROKERS LIMITED	In terms of its powers under article 16(b) of the Insurance Intermediaries Act (Cap. 487).	Suspended its the name from the Brokers List on regulatory grounds.	www.mfsa.com.mt
15-07-2015	International Insurance Brokers Limited	Breaching the provisions of articles 24 and 25 respectively of the Insurance Intermediaries Act (Cap 487).	Administrative penalty of €1,000 plus a daily penalty of €50 and an administrative penalty of €500 plus a daily penalty of €25.	www.mfsa.com.mt

New Zeland

FMA

Date	Company/Person Name	Violation	Fine	Read more
15-07-2016	Archer Capital (Pty) Limited and Healthcare Industry Limited.	Is no longer satisfied that it is in the public interest to progress the matter to trial.	Proceedings dicontinued.	www.fma.govt.nz
22-06-2016	Mark Andrew Turnock	For making false statements in the company’s financial statements.	Four months home detention and 200 hours of community work.	www.fma.govt.nz
20-05-2016	Cambrian Corporation Limited	Misleading or deceptive marketing materials.	Issued an Order to change its marketing materials including its website, among others.	Read OSB Post
27-10-2015	Andrew Hrothgar Robinson	Pleaded guilty to charges laid under the Financial Reporting Act.	12 months’ imprisonment.	www.fma.govt.nz
25-09-2015	David Mark Anderson	Registered prospectus and an advertisement, FMA alleges included untrue statements	300 hours community work and ordered to pay AUD $100,000.	www.fma.govt.nz
23-09-2015	Craig Robert White	Registered prospectus and an advertisement, FMA alleges included untrue statements	250 hours community work and ordered to pay AUD $100,000.	www.fma.govt.nz
18-09-2015	Mark Lawrence Lacy and Jason Robert Duncan Maywald.	Registered prospectus and an advertisement, FMA alleges included untrue statements.	200 hours community work each and to pay AUD $100,000 in reparation to be paid to the company’s receivers.	www.fma.govt.nz
14-08-2015	PTT Limited, Steven Robertson and associated entities.	Part of an ongoing investigation into PTT Limited.	Obtained from High Court interim asset preservation orders.	www.fma.govt.nz
31-07-2015	Mark Warminger	Market manipulation in breach of s11B of the Securities Markets Act.	Issued civil proceedings in the High Court seeking pecuniary penalties.	Read OSB Post
27-07-2015	Green Gardens Finance Trust Ltd	Is offering investments illegally.	Issued a Stop Order.	Read OSB Post
13-07-2015	David John Hobbs and Jacqueline Hobbs.	Found liable for serious financial misconduct by the New South Wales Supreme Court for the operation of 14 unregistered, offshore-managed investment funds administered in Australia.	The penalties imposed by the court included banning orders against Mr and Mrs Hobbs.	www.fma.govt.nz
06-07-2015	Former directors of Hanover finance companies, and the former directors of a parent firm, Hanover Group Ltd.	Settlement of its civil proceedings.	$18 million will be distributed to eligible investors who invested in the Hanover finance companies in the period from 7 December 2007 to 23 July 2008.	www.fma.govt.nz
22-06-2015	ASB	Settlement regarding the sale, promotion and marketing of interest rate swaps to some rural customers.	Agreed to appoint an independent third-party to review its sale, promotion and marketing of two sample products being interest rate swaps and term funds.	www.fma.govt.nz
18-06-2015	Milford Asset Management Limited	Breached the market manipulation prohibitions in s11B of the Securities Markets Act 1988 and failed to ensure that there was the requisite degree of monitoring of the trading activity.	Make payments totalling $1.5m and undertakes to complete recommendations made by PwC regarding improvements to its trading systems and controls.	Read OSB Post
08-06-2015	Dominion Finance Group (DFG) and North South Finance (NSF).	Civil claims against the directors of DFG and NSF.	Settlement agreement for $10.235m that wiil be paid to liquidators and receivers regarding civil claims against the directors of DFG and NSF.	www.fma.govt.nz
28-05-2015	Arena Capital Limited, trading as Blackfort FX.	Application to appoint receivers and managers.	Application granted.	www.fma.govt.nz
25-05-2015	Pacific Edge Limited	Failed to make timely disclosure of material information to the market after it entered into two overseas agreements in October 2013.	Compensation payment of $500,000	Read OSB Post
25-05-2015	Apple Fields Limited	Failing to file financial statements.	Fined $30,000 each of the two directors.	www.fma.govt.nz
30-04-2015	SPI Property Fund Limited	Failed to file audited financial statements to the Registrar of Companies.	Fined $25,312 each of the two directors.	www.fma.govt.nz

United Kingdom

FCA

Date	Company/Person Name	Violation	Fine	Read more
07-04-2017	Niall O’Kelly and Lukhvir Thind.	Market abuse.	Banned and fined £11,900 and £105,000 respectively.	Read OSB Post
30-03-2017	Christopher Niehaus	For sharing confidential information over WhatsApp.	£37,198	Read OSB Post
28-03-2017	Tesco plc and Tesco Stores Limited.	Market abuse.	Agreed to pay compensation to investors.	Read OSB Post
17-02-2017	Express Gifts Ltd	Sold insurance that offered little or no value.	To provide £12.5m redress scheme.	www.fca.org.uk/
31-01-2017	CTT - Correios de Portugal, S.A.	Follows a decision made by another EU Competent Authority.	Temporary restriction in short selling.	www.fca.org.uk/
31-01-2017	Deutsche Bank	Serious anti-money laundering controls failings.	£163 million	Read OSB Post
20-01-2017	Banco Comercial Português, S.A.	Follows a decision made by another EU Competent Authority.	Temporary restriction in short selling.	www.fca.org.uk/
20-01-2017	HSBC	For historical debt collection practices of HFC and JLFS now part of HSBC.	Agreed to provide approximately £4m redress.	Read OSB Post
17-01-2017	Dharam Prakash Gopee	Operated as an unlicensed consumer credit lender.	Pleaded not guilty and trial has been fixed for 15 January 2018.	www.fca.org.uk/
13-01-2017	Manjeet Mohal and Reshim Birk.	Pleaded guilty to insider dealing.	Manjeet Mohal sentenced to 10 months imprisonment, suspended for two years and 180 hours of community work. Reshim Birk sentenced to 16 months imprisonment, suspended for two years and 200 hours of community work.	Read OSB Post
21-12-2016	Mark Lyttleton	Insider dealing.	12 months imprisonment.	Read OSB Post
01-12-2016	Alistair Burns	For various failures.	£233,600	Read OSB Post
30-11-2016	Manjeet Mohal and Reshim Birk	Pleaded guilty to insider dealing.	They will be sentenced on 13 January 2017.	www.fca.org.uk/
08-11-2016	Six individuals	In alleged investment fraud.	Charges	Read OSB Post
02-11-2016	Mark Lyttleton	Insider dealing.	He will be sentenced on 21 December 2016.	www.fca.org.uk/
02-11-2016	Motormile Finance UK Limited	Historic failures in its due diligence and collections process.	Agreed to provide redress to more than 500,000 customers.	www.fca.org.uk/
01-11-2016	Scott Crawley, Daniel Forsyth, Adam Hawkins, Ross Peters, Aaron Petrou and Dale Walker.	For their parts in the operation of an unauthorised collective investment scheme.	Prohibited from performing any function in relation to any regulated activity.	Read OSB Post
25-10-2016	Richard Aston Clay and Kathryn Joy Clark	Charged with dishonesty offences. Pleaded guilty.	Banned from the financial services industry.	Read OSB Post
21-10-2016	Tariq Carrimjee	Failed to act with due skill, care and diligence.	Tribunal upholds the FCA's decision to impose a partial ban.	Read OSB Post
13-10-2016	Andrew Barry Hart and Wage Payment and Payday Loans Limited.	He is not a fit and proper person. WPPL failed to satisfy the threshold conditions.	Barry Hart was banned and WPPL’s interim permission was cancelled.	Read OSB Post
12-10-2016	Sonali Bank (UK) Limited and Steven Smith.	Serious anti-money laundering systems failings.	Sonali Bank fined £3,250,600 and a restriction to accept deposits from new customers for 168 days. Steven Smith fined £17,900 and prohibitions.	Read OSB Post
05-10-2016	Aviva Pension Trustees UK Limited and Aviva Wrap UK Limited.	Client Money and Assets failings.	£8,246,800	Read OSB Post
29-09-2016	Mark Alexander Lyttleton		FCA instituted criminal proceedings.	www.fca.org.uk/
27-09-2016	Alex Hope	Failed to pay confiscation order.	603 days’ imprisonment.	www.fca.org.uk/
19-09-2016	Payday firm CFO Lending.	For unfair practices.	£34 million redress.	Read OSB Post
01-09-2016	Elizabeth Anne Parry	For lying repeatedly to the regulator.	Banned and fined £109,400.	Read OSB Post
09-08-2016	Cenkos Securities plc	For failures in its sponsor services business.	£530,500	Read OSB Post
15-07-2016	Gavin Breeze	Insider dealing.	£59,557 and publicly censured him.	www.fca.org.uk/
14-07-2016	Andrew Barry Hart and Wage Payment and Payday Loans Limited (WPPL).	Andrew Barry Hart is not a fit and proper person and WPPL failed to satisfy the threshold conditions	Cancel WPPL's interim permission and banned the individual.	www.fca.org.uk/
13-07-2016	Towergate and Timothy Philip.	For client and insurer money failings.	£2,632,000 and £60,000 respectively.	Read OSB Post
07-07-2016	Credito Valtellinese sc	Follows a decision made by another EU Competent Authority.	Temporary restriction in short selling.	www.fca.org.uk/
07-07-2016	Telecom Italia spa	Follows a decision made by another EU Competent Authority.	Temporary restriction in short selling.	www.fca.org.uk/
06-07-2016	Banca Monte dei Paschi di Siena SpA	Follows a decision made by another EU Competent Authority.	Temporary restriction in short selling.	www.fca.org.uk/
16-06-2016	Five individuals.	charge for investment fraud.	A trial has been set for 4 September 2017.	Read OSB Post
13-06-2016	Damian Clarke	Insider dealing.	Sentenced to two years imprisonment.	www.fca.org.uk/
09-06-2016	Mark Kelly and Patrick Gray.	For lack of integrity.	Banned from working in the financial services industry.	www.fca.org.uk/
07-06-2016	Banco Comercial Português, S.A.	Followed a decision made by another EU Competent Authority.	Extension of temporary restriction in short selling.	www.fca.org.uk/
02-06-2016	Banco Comercial Português, S.A.	Followed a decision made by another EU Competent Authority.	Temporary restriction in short selling.	www.fca.org.uk/
01-06-2016	CT Capital Ltd	Serious failings in its complaint handling processes.	£2,360,900	www.fca.org.uk/
19-05-2016	Peter Johnson	Failed to act with integrity in his role as Keydata’s compliance officer and misled the FSA.	Banned him from performing any function in relation to any regulated financial activity.	www.fca.org.uk/
13-05-2016	Mark Taylor	For insider dealing.	Banned him for a period of at least two years.	www.fca.org.uk/
12-05-2016	Martyn Dodgson and Andrew Hind.	Been convicted of conspiring to insider deal.	4.5 years and 3.5 years imprisonment respectively.	www.fca.org.uk/
28-04-2016	David Hall	Fraud by abuse of position.	15 months in prison, suspended for two years. Brought by South Wales Police with the cooperation and assistance of the FCA.	www.fca.org.uk/
12-04-2016	Paul White	He is not a fit and proper person.	Banned from performing any function in relation to any regulated financial activity.	www.fca.org.uk/
18-03-2016	Banco Popolare	Followed a decision made by another EU Competent Authority.	Temporary restriction in short selling.	www.fca.org.uk/
18-03-2016	Capital Alternatives and several other firms and individuals.	They were promoting and operating collective investment schemes without authorisation.	Took them to court.	www.fca.org.uk/
15-03-2016	Phillip Boakes	Failled to satisfy the full value of a confiscation order made against him.	Sentenced to 730 days’ imprisonment.	www.fca.org.uk/
15-03-2016	Damian Clarke	Pleaded guilty to seven counts of insider dealing.	He will be sentenced on 13 June 2016.	Read OSB Post
02-03-2016	Michael Ross Curtler	Following a criminal conviction for fraud in the US.	Banned from the UK financial services industry.	Read OSB Post
23-02-2016	W H Ireland Limited (WHI)	Market abuse risks.	£1.2million	Read OSB Post
09-02-2016	Achilles Macris	Failing to be open and co-operative with the Authority.	£792,900	Read OSB Post
01-02-2016	Five individuals and two firms.	For insurance schemes failures.	A total of £15.5m.	www.fca.org.uk/
21-01-2016	Banco Popolare	Follows a decision made by another EU Competent Authority.	Temporary prohibition of short selling of financial instrument.	www.fca.org.uk/
19-01-2016	Mota-Engil SGPS SA	Follows a decision made by another EU Competent Authority.	Temporary prohibition of short selling of financial instrument.	www.fca.org.uk/
12-01-2016	Banca Monte dei Paschi di Siena S.p.A.	Follows a decision made by another EU Competent Authority.	Temporary prohibition of short selling of financial instrument.	www.fca.org.uk/
16-12-2015	Brookbourne Trading Limited	It was conducting regulated activity without the necessary authorisation from the FCA.	Compulsorily wound-up by the High Court on the application of the FCA.	www.fca.org.uk/
15-12-2015	Threadneedle Asset Management Limited	For various failings and for providing inaccurate information to the regulator.	£6,038,504	Read OSB Post
26-11-2015	Barclays Bank	Poor handling of financial crime risks.	£72 million	Read OSB Post
24-11-2015	Phillip Harold Boakes	Pleaded guilty on charges prosecuted by FCA.	Court of Appeal has upheld a sentence of 10 years imprisonment.	Read OSB Post
04-11-2015	Quick Quid and Pounds to Pocket.	Concerns about the firm’s lending criteria.	Provide redress to almost 4,000 customers to the value of £1.7m.	www.fca.org.uk/
26-10-2015	Magnus Michael Peterson	Range of fraud offences through his hedge fund.	Banned from performing any function related to any regulated activity.	www.fca.org.uk/
16-10-2015	Kweku Mawuli Adoboli	Fraud by abuse of position.	Banned from the financial services industry.	Read OSB Post
22-09-2015	Craig McNeil	Failed to disclose information to FCA and to act with due skill, care and diligence in relation to a security transaction.	£350,000 and prohibiting him from performing any significant influence function.	Read OSB Post
13-08-2015	Robert Shaw, former director of TailorMade Independent Ltd.	Failed to ensure that TMI assessed the suitability of investments and to ensure that TMI identified and managed its conflicts of interests.	£165,900 and banned from senior position in financial services.	Read OSB Post
12-08-2015	Da Vinci Invest Ltd, Mineworld Ltd, Mr Szabolcs Banya, Mr Gyorgy Szabolcs Brad and Mr Tamas Pornye.	Market abuse in relation to 186 UK-listed shares using “layering”.	FCA secures High Court Judgment awarding injunction and over £7 million in penalties.	www.fca.org.uk/
30-07-2015	Lee Stewart, former Rabobank trader.	Following a criminal conviction for fraud in the US in relation with LIBOR Fraud.	Banned Lee Stewart from the UK financial services industry.	Read OSB Post
27-07-2015	Ariste Holding Limited, trading as Cash Genie.	Unfair practices.	Agreement with the FCA to provide over £20 million of redress.	Read OSB Post
19-06-2015	Mr. Adam Hawkins	Involvement in operating an unauthorised collective investment scheme through three land banking companies, a) Plott UK, b) European Property Investments (UK) Ltd and c) Stirling Alexander Limited as a result of which over 110 investors lost at least £4.3 million.	6 years and 9 months imprisonment	www.fca.org.uk/
09-06-2015	Kevin Allen	Sole shareholder of NMB while controlling New Life. Made illegitimate transfers totalling £1,000,000 from New Life to NMB without the knowledge of the other New Life directors. Fabricated false email exchange and falsified a bank statement to mislead New Life's auditors.	Banned from conducting regulated activity.	www.fca.org.uk/
05-06-2015	Financial Instrument concerned: SAIPEM	Following the action taken by CONSOB	Temporary prohibition of short selling	www.fca.org.uk/
05-06-2015	Lloyds Banking Group	Failing to handle PPI complaints fairly	£117m	Read OSB Post
21-05-2015	Mr Rosier, the director of a financial advice firm called Bayliss & Co (Financial Services) Limited.	Failed to comply with his regulatory obligations	£10,000. Prohibit Mr Rosier from performing significant influence functions.	www.fca.org.uk/
21-05-2015	Sterling Financial Security Limited (Sterling), Haydon Associates Debt Management Consultants Limited (Haydon) and Clear View Finance Limited (Clear View)	Failed to comply with the requirements FCA put in place to provide written statements to customers setting out their debt position.	No longer permitted by the FCA to offer debt management services to customers.	www.fca.org.uk/
20-05-2015	Barclays Bank Plc	Failing to control business practices in its foreign exchange (FX) business in London.	£284,432,000	Read OSB Post
20-05-2015	Paul Reynolds, while he was an approved person at Aspire Personal Finance Limited	Not fit and proper because he lacks integrity.	Banned from performing any function in relation to regulated activities.	www.fca.org.uk/
28-04-2015	Pardip Saini	Insider Dealing in Logica Plc shares.	528 days imprisonment.	www.fca.org.uk/
23-04-2015	Deutsche Bank AG	LIBOR and EURIBOR failings and for misleading the regulator.	£227 million	Read OSB Post
22-04-2015	Merrill Lynch International	Incorrectly reporting 35,034,810 transactions and failing to report another 121,387 transactions between November 2007 and November 2014.	£13,285,900	Read OSB Post
16-04-2015	Stephen Robert Allen	Not a fit and proper person.	Folowing Tribunal decision, FCA bans him from performing any function in relation to a regulated activity.	www.fca.org.uk/
15-04-2015	The Bank of New York Mellon London Branch (BNYMLB) and The Bank of New York Mellon International Limited	Failing to comply with the FCA Client Assets Sourcebook (Custody Rules, or CASS).	£126 million	Read OSB Post
14-04-2015	Clydesdale Bank Plc	Serious failings in its Payment Protection Insurance (PPI) complaint handling processes between May 2011 and July 2013.	£20,678,300	www.fca.org.uk/
30-03-2015	Kenneth Carver	Insider dealing on Logica Plc shares.	£35,212	www.fca.org.uk/
27-03-2015	Ryan Willmott, former group reporting and financial planning manager for Logica PLC	Insider dealing on Logica Plc shares.	10 months imprisonment, £6,122 towards prosecution costs and a Confiscation Order in the sum of £23,239.75.	www.fca.org.uk/
19-03-2015	Julian Rifat, former senior execution trader and portfolio strategist at Moore Europe Capital Management LLC	Insider dealing	19 months imprisonment, fined £100,000 for the same offences and ordered to pay costs of £159,402.	www.fca.org.uk/
17-03-2015	Paul Robson, former trader at Coöperatieve Centrale Raiffeisen-Boerenleenbank B.A. (Rabobank).	Lacking honesty and integrity following a criminal conviction for fraud in the US. In 2014 Mr Robson pleaded guilty in the US for his role in a conspiracy to manipulate Rabobank’s Yen LIBOR submissions to benefit trading positions.	Banned from the UK financial services industry.	Read OSB Post
13-03-2015	Stephen Bell, former compliance director of network Financial Group	For systemic weaknesses in the design and execution of network Financial Group’s (the Group) compliance systems and controls.	£33,800 and banned from performing the compliance oversight function.	www.fca.org.uk/
13-03-2015	Sam Kenny, former chief executive of Gracechurch Investments Limited	For mis-selling the lack of integrity in his dealings with the Authority.	Banned from holding a position in the financial services industry and fined £450,000.	www.fca.org.uk/
06-03-2015	Phillip Boakes	Defrauding investors of at least £3.5m, using false instruments and accepting deposits without authorisation. Ran a scam through his company CurrencyTrader Ltd.	10 years imprisonment	Read OSB Post
05-03-2015	Bank of Beirut (UK) Ltd, Anthony Wills, the former compliance officer at the Bank of Beirut, and Michael Allin, the internal auditor.	Repeatedly provided the regulator with misleading information after it was required to address concerns regarding its financial crime systems and controls.	£2.1m Fine and stopped from acquiring new customers from high-risk jurisdictions for 126 days. Anthony Wills fined £19,600 and Michael Allin £9,900.	www.fca.org.uk/
03-03-2015	Paul Coyle, the former Group Treasurer and Head of Tax at Wm Morrison Supermarkets plc.	Insider dealing	12 months imprisonment, £15,000 towards prosecution costs and a Confiscation Order in the sum of £203,234.	www.fca.org.uk/
26-02-2015	Ryan Willmott, formerly Group Reporting and Financial Planning Manager for Logica PLC.	Insider Dealing	He will be sentenced on 26 of March.	www.fca.org.uk/
24-02-2015	Aviva Investors Global Services Limited	For systems and controls failings that meant it failed to manage conflicts of interest fairly.	£17,607,000	Read OSB Post
30-01-2015	Alex Hope and Raj Von Badlo	Defrauding investors of significant sums, operating and promoting a collective investment scheme without authorisation.	Alex Hope sentenced to a total of 7 years’ imprisonment. Raj Von Badlo sentenced to a total of 2 years’ imprisonment.	www.fca.org.uk/
20-01-2015	Reckitt Benckiser Group Plc	Inadequate systems and controls to monitor share-dealing by its senior executives in its own shares.	£539,800	Read OSB Post
30-11--0001	Dunraven Finance Ltd, trading under the name Buy as You View.	Historic unfair treatment.	To redress £939,000 to more than 59,000 customers.	www.fca.org.uk/
30-11--0001	The Money Shop	Affordability checks, debt collection practices and systems errors.	Agreed to refund over £15.4 million to 147,000 customers.	Read OSB Post

United States

CFTC

Date	Company/Person Name	Violation	Fine	Read more
14-02-2017	Carlos Javier Ramirez, Gold Chasers, Inc. and Royal Leisure International, Inc.	Fraud Schemes Involving Gold.	Charges	Read OSB Post
09-02-2017	John B. Oden and Oden Capital Management, LLC.	Failed to register with the CFTC and other failures.	$100,000	Read OSB Post
06-02-2017	Forex Capital Markets, LLC (FXCM), FXCM Holdings, LLC, Dror Niv and William Ahdout.	Defrauding of Retail Forex Customers.	$7 Million penalty and various prohibitions.	Read OSB Post
03-02-2017	The Royal Bank of Scotland plc	Attempted manipulation of U.S. Dollar ISDAFIX Benchmark Swap Rates.	$85 Million	www.cftc.gov/
01-02-2017	Joseph Charles DiCrisci	Engaged in illegal, off-exchange precious metals transactions.	More than $2.9 Million.	www.cftc.gov/
27-01-2017	Anthony J. Klatch II, Lindsey Heim and Assurance Capital Management, LLC.	Defrauded investors in multiple investment schemes.	Charges	www.cftc.gov/
26-01-2017	ETRADE Securities LLC and ETRADE Clearing LLC.	Failure to retain required records and failure to diligently supervise.	$280,000	Read OSB Post
17-01-2017	CNCGC Hong Kong Ltd	Call cotton reporting violations.	$150,000	Read OSB Post
09-01-2017	Citigroup Global Markets Inc.	Spoofing in U.S. Treasury Futures Markets and for Related Supervision Failures.	$25 Million	Read OSB Post
28-12-2016	Brett G. Hartshorn	Fraudulently soliciting and/or managing from retail clients	Charges	Read OSB Post
21-12-2016	Goldman Sachs	Attempted Manipulation of and False Reporting.	$120 Million	Read OSB Post
20-12-2016	Igor B. Oystacher and 3Red Trading LLC.	Spoofing and Employment of a Manipulative and Deceptive Device.	$2.5 Million	Read OSB Post
20-12-2016	Derek Springfield and Draven LLC.	Misappropriation and Issuing False Account Statements in Ponzi-Style Scheme.	Charges	Read OSB Post
19-12-2016	Convergent Wealth Advisors LLC	Fraudulent Omissions and False Statements	$800,000	Read OSB Post
14-12-2016	Yumin Li and Kering Capital Ltd.	Prearranged Trading Fraud.	More than $1.2 Million.	www.cftc.gov/
07-12-2016	Société Générale SA	Failing to Timely Report Swap Transactions.	$450,000	Read OSB Post
30-11-2016	Alvin Guy Wilkinson and his entities.	Misappropriation of Customer Funds and Fraudulent Solicitation in Ponzi Scheme.	$21.8 Million Default Judgment.	Read OSB Post
17-11-2016	Navinder Singh Sarao	Price Manipulation and Spoofing.	More than $38 Million.	www.cftc.gov/
16-11-2016	IB Capital FX LLC, Michel Geurkink and Emad Echadi	Trade Forex without Being Registered with the CFTC.	More than $35 Million.	Read OSB Post
19-10-2016	Scott Platto and The Yorkshire Group Inc.	Illegal, Off-Exchange Precious Metals Transactions.	More Than $1.56 Million.	www.cftc.gov/
12-10-2016	Kimball Parker and Timothy Baggett.	Fraud and Other Violations.	Charges	Read OSB Post
04-10-2016	Jody Dupont and Open Range Trading LLC.	Fraud	Charges	Read OSB Post
30-09-2016	Joseph Dufresne, Megan Renkow and United Business Servicing Inc. Doing Business as Schooloftrade.Com.	Fraud	Charges	Read OSB Post
30-09-2016	Alcibiades Cifuentes, Jennifer Wee Cifuentes and Cifuentes Fund Management LLC	Fraud and Misappropriation.	Charges	www.cftc.gov/
29-09-2016	Angus Partners LLC D/B/A Angus Energy	Acting as an Unregistered Commodity Trading Advisor.	$250,000	Read OSB Post
29-09-2016	Aden Rusfeldt	Fraudulent Omissions.	More than $3.2 Million in Restitution and a Penalty.	www.cftc.gov/
29-09-2016	Thomas C. Lindstrom	Fraud	Charges	www.cftc.gov/
29-09-2016	Jon P. Ruggles	Illegal Futures and Options Trading.	Disgorge More than $3.5 Million and $1.75 Million Penalty.	www.cftc.gov/
28-09-2016	eFloorTrade LLC and John Moore.	Recordkeeping and Supervision Failures and False Statements.	Charges	www.cftc.gov/
28-09-2016	SG Americas Securities LLC	Supervision Failures.	$750,000	www.cftc.gov/
27-09-2016	Kevin Michael Symons, FTS Financial Inc. and Jerry Austin Simmons.	Fraud and various failures	Charges	www.cftc.gov/
27-09-2016	Wells Fargo Bank N.A.	Inaccurate Large Trader Reports.	$400,000	www.cftc.gov/
27-09-2016	Advanced Trading Workshop Inc.	Solicitation Fraud and Failure to Register.	$940,000	www.cftc.gov/
22-09-2016	Barclays Bank PLC	Recordkeeping Violations.	$500,000	Read OSB Post
22-09-2016	Jamal Y. Vance and All City Investments LLC	Various Failures.	Charges	www.cftc.gov/
21-09-2016	Advantage Futures LLC, Joseph Guinan and William Steele	For various Failures and Inaccurate Statements.	Jointly to Pay a $1.5 Million	Read OSB Post
20-09-2016	KB Concepts Group LLC and Kelvin Burgos	Illegal Off-Exchange Precious Metals Transactions.	Charges	Read OSB Post
20-09-2016	Raja Michael Mawad and RNS Holdings LP	Fraud and Failures.	More than $389,000.	www.cftc.gov/
19-09-2016	JSC VTB Bank and VTB Capital PLC	Unlawfully Executing Fictitious and Noncompetitive Block Trades.	Jointly to Pay a $5 Million	Read OSB Post
12-09-2016	James A. Shepherd and James A. Shepherd Inc.	Commodity Pool Fraud	$15 Million	www.cftc.gov/
07-09-2016	Fan Wang	Making False Reports in Connection with Commodity Futures Transactions.	Charges	www.cftc.gov/
01-09-2016	My Global Leverage, LLC and Toney Blondo Eggleston.	Engaging in Illegal, Off-Exchange Precious Metals Transactions.	More than $1.4 Million.	www.cftc.gov/
01-09-2016	Robert Escobio, Southern Trust Metals and Loreley Overseas Corporation.	CFTC Wins Fraud Trial.	Permanently Banned and to Pay Approximately $2.5 Million.	www.cftc.gov/
22-08-2016	Irina Feldman, Cindium Inc. and Einstein Exchange Group Inc.	Fraud and Misappropriation in Commodity Pool Scheme.	More than $600,000.	Read OSB Post
18-08-2016	Forex Capital Markets, LLC	Failing to Timely Report Undercapitalization Violation and Guaranteeing against Customer Losses.	Charges	Read OSB Post
18-08-2016	Deutsche Bank AG	Violations and related Supervision Failures.	Charges	www.cftc.gov/
17-08-2016	Mirko “Mick” Schacke and TradeMasters USA, LLC.	Fraud and Failing to Register with the CFTC.	Charges	Read OSB Post
15-08-2016	Robert S. Leben and Amy L. Leben.	Anti-Fraud Enforcement Action.	Over $10 Million.	www.cftc.gov/
12-08-2016	Martin Sommers and International Monetary Metals, Inc.	Illegal, Off-Exchange Precious Metals Transactions and Registration Violations.	Over $9.8 Million.	www.cftc.gov/
12-08-2016	Ralph Metters, aka Malachai “Moe” Levy	Defrauding Investors in a FX Scheme.	$500,000 Penalty and Disgorge $500,000 of Ill-Gotten Gains.	www.cftc.gov/
09-08-2016	Frank J. Collins, Gerard Suite and STA Opus NR LLC.	Fraudulently Solicited of Customer Funds.	Charges	www.cftc.gov/
04-08-2016	Hendrik A. Van Beuningen and DeBrink Trading Fund I, LLC.	Settle CFTC Charges of Fraud and other Violations.	$910,000	www.cftc.gov/
04-08-2016	Barclays Capital, Inc.	Supervision Failures.	$800,000	www.cftc.gov/
03-08-2016	Jonathan A. Parker and QuantX Capital, LLC.	Foreign Exchange Commodity Pool Fraud.	More than $1 Million.	Read OSB Post
01-08-2016	Ghassan Tawachi and Intelligent Trades, LLC.	Defrauding Clients.	Nearly $1.5 Million.	www.cftc.gov/
28-07-2016	Vault Options, Ltd. and Global Trader 365.	Unlawful Off-Exchange Binary Options Trading, Fraud, and Registration Violations.	More than $4.5 Million.	Read OSB Post
14-07-2016	Atlantas Group, Inc. and Edmund Hysni.	Solicitation Fraud and for Making False Statements to the National Futures Association.	$7.2 Million	Read OSB Post
11-07-2016	Agrocorp International Pte Ltd.	Call Cotton Reporting Violations.	$150,000	www.cftc.gov/
11-07-2016	Golden Agri International Pte Ltd.	Failed to Report Cash Positions.	$150,000	www.cftc.gov/
07-07-2016	Matthew J. Marcus and Tech Power Inc.	Engineered a Money Pass Scheme Involving.	$250,000	www.cftc.gov/
06-07-2016	Barclays Bank PLC	Inaccurate Large Trader Reports for Physical Commodity Swaps Positions.	$560,000	Read OSB Post
05-07-2016	Dorian Garcia and his Companies.	Operating a Ponzi Scheme.	Nearly $17.5 Million.	Read OSB Post
28-06-2016	Alvin Guy Wilkinson and his Partnerships.	Fraud, Misappropriation, Failing to Register and Making Misrepresentations.	Charges	www.cftc.gov/
22-06-2016	Dante S. Giovannetti, Emini Experts LLC and Capital Trading Concepts LLC.	Commodity Pool Fraud and Other Violations.	Over $2.7 Million.	Read OSB Post
20-06-2016	Ryan Magee, David Magee and Rae Magee.	Commodity Pool Fraud.	More than $3.2 Million	www.cftc.gov/
20-06-2016	Todd Owen Marshall and his companies.	Engaged in Illegal, Off-Exchange Precious Metals Transactions and Registration Violations.	More than $2.4 Million.	Read OSB Post
07-06-2016	Jeffrey Slemmer, Christian Dorrian, Adam Roth and their companies.	Precious Metals and Rare Diamonds Fraud.	Charges with request for relief.	Read OSB Post
03-06-2016	Rico Omar Cox	Defrauding his clients in connection with commodity futures trading.	$940,000	Read OSB Post
03-06-2016	Haena Park and Her Companies.	Misappropriation and Fraud.	Charges	www.cftc.gov/
02-06-2016	BFXNA Inc. d/b/a Bitfinex	Offering Illegal Off-Exchange Financed Retail Commodity Transactions.	$75,000	Read OSB Post
26-05-2016	Ted L. Romeo, Richard D. Schrutt and Cypress Wealth Management Group.	Illegally offering off-exchange financed transactions in precious metals.		www.cftc.gov/
25-05-2016	David Bryant	For Fraud and Misappropriation.	More than $6 Million.	www.cftc.gov/
25-05-2016	Citibank N.A. and Japanese Affiliates.	Attempted Manipulation of Yen LIBOR and Euroyen TIBOR.	$175 Million	www.cftc.gov/
25-05-2016	Citibank	Attempted Manipulation and False Reporting.	$250 Million	www.cftc.gov/
09-05-2016	Cunningham Commodities LLC and Salvatore Carmen Russo.	Failing to Immediately Report a Customer Segregated Account Deficiency.	Jointly to Pay a $150,000.	Read OSB Post
12-04-2016	Nathan Schleifer and Galileo Trading LLC.	Commodity Futures Fraud.	More than $1.6 Million.	Read OSB Post
12-04-2016	Brian Hinman	For Aiding and Abetting Commodity Pool Fraud.	Permanently banned and Imposed over $141,000 penalty.	www.cftc.gov/
05-04-2016	Michael Pucciarelli and Badge Trading LLC.	Engaged in Unlawful Noncompetitive Exchange for Physical Transactions.	$280,000	www.cftc.gov/
31-03-2016	Hendrik A. Van Beuningen and DeBrink Trading Fund I LLC.	Fraud, Misappropriation and Registration Violations.	Charges	www.cftc.gov/
25-03-2016	Tracy Lee Thomas and Marbury Advisors Inc.	Fraudulently Soliciting over $1.2 Million in a Commodity Futures Scheme.	Charges	www.cftc.gov/
22-03-2016	John David Stroud and his companies.	Committing Commodity Pool Fraud and Misappropriation.	More than $4.7 Million.	www.cftc.gov/
22-03-2016	Credit Suisse International	Violating the Speculative Position Limit for Wheat Futures.	$665,000	Read OSB Post
16-03-2016	Equinox Fund Management, LLC	Material Misstatements and Omissions.	Over $5.65 Million.	www.cftc.gov/
15-03-2016	Vault Options, Ltd. and Global Trader 365	Fraud, Illegal Off-Exchange Activity, and Operating in an Unregistered Capacity.	Charges	Read OSB Post
14-03-2016	IBFX, Inc. (f/k/a TradeStation Forex, Inc.)	For Failures and Violations	$1 Million	Read OSB Post
09-03-2016	CHS, Inc. and CHS Hedging, LLC.	Inaccurately Reporting Positions.	$1 Million	www.cftc.gov/
09-03-2016	Banc de Binary Ltd., ET Binary Options Ltd., BO Systems Ltd., BDB Services Ltd., and Oren Shabat Laurent.	Violating the CFTC’s Ban on Trading Binary Options Off-Exchange.	More than $9 Million.	Read OSB Post
24-02-2016	Neil Pecker and Vision Financial Partners LLC.	Fraud in Connection with Off-Exchange Binary Options.	Charges seeks restitution to defrauded clients, disgorgement of ill-gotten gains, penalties, bans, and a permanent injunction.	www.cftc.gov/
22-02-2016	North American Asset Management LLC (NAAM), Alexi Bethel and Steven Labadie.	Engaging in Illegal, Off-Exchange Precious Metals Transactions.	Charges seeks disgorgement of ill-gotten gains, penalties, permanent bans and a permanent injunction.	Read OSB Post
19-02-2016	Ryan S. Magee	Acting as an Unregistered Commodity Pool Operator.	Charges seeks restitution, monetary penalties, bans and injunctions.	www.cftc.gov/
09-02-2016	Cindy Vandivier and Paul Vandivier.	Operating an Illegal, Off-Exchange Precious Metals Scheme.	Pay Civil Monetary Penalties and Restitution of Almost $3 Million.	www.cftc.gov/
08-02-2016	4X Solutions Inc. and Whileon Chay.	Forex Fraud Ponzi Scheme.	To Pay More than $10 Million in Disgorgement and a Civil Monetary Penalty.	www.cftc.gov/
05-02-2016	Rico Omar Cox	Commodity Trading Advisor Fraud.	Charges seeks a permanent bans, disgorgement of ill-gotten gains, and civil monetary penalties.	www.cftc.gov/
04-02-2016	Robert Tripode	Engaging in Fraud in Connection with Forex	Civil Monetary Penalty and Permanent Injunction.	Read OSB Post
04-02-2016	Worth Group Inc., Andrew Wilshire and Eugenia Mildner.	Illegal Off-Exchange Precious Metals Scheme.	$2.5 Million.	www.cftc.gov/
03-02-2016	Oakmont Financial Inc. and Joseph Charles DiCrisci.	Engaging in Illegal, Off-Exchange Precious Metals Transactions.	Charges seeking among other penalties and bans.	Read OSB Post
20-01-2016	Kevin J. Davis	Charges with Acting as an Unregistered Commodity Pool Operator.	CFTC seeks bans and penalties. Court Schedules Hearing for February 4.	www.cftc.gov/
13-01-2016	Otkritie Capital International, Ltd.	Violating a CFTC Registration Regulation.	$140,000 Civil Monetary Penalty.	Read OSB Post
13-01-2016	Nikolai S. Battoo, BC Capital Group S.A., BC Capital Group International Limited, and BC Capital Group Holdings S.A.	Committing a Global Commodity Futures and Options Fraud.	Permanent banned and approximately $500 Million in Sanctions.	www.cftc.gov/
07-01-2016	Ghassan Tawachi and Intelligent Trades, LLC.	Defrauding Customers in Connection with a Commodity Futures Trading System.	Charges seeking payment of penalties, disgorgement of gains and bans.	www.cftc.gov/
18-12-2015	JPMorgan Chase Bank	Failure to Disclose Conflicts of Interest.	$100 Million	www.cftc.gov/
10-12-2015	Thomas Gillons	Fraud and Misappropriation.	More than $1.9 Million in Restitution and Penalties.	www.cftc.gov/
07-12-2015	Total Gas & Power North America, Inc. and Therese Tran.	Attempted Manipulation of Natural Gas Monthly Index Settlement Prices.	Jointly to Pay a $3.6 Million Civil Monetary Penalty and Imposes a Bid-Week Trading Limitation for Two Years.	www.cftc.gov/
07-12-2015	Garen Ovsepyan, Sharpe Signa LLC and Haeres Capital LLC.	Operated as a CTA without being registered with the CFTC.	Permanent banned and jointly to pay a $70,000 civil monetary penalty.	Read OSB Post
02-12-2015	Arya Motazedi	Engaging in Transactions that Defrauded His Employer.	$100,000 penalty, restitution of $216,955.80 and permanently banned from trading and registering as a futures professional.	www.cftc.gov/
30-11-2015	Eric A. Bloom	Violations of Commodity Exchange Act (CEA) in the handling of customer segregated funds.	Permanently Banned from the Commodities Industry.	www.cftc.gov/
18-11-2015	Sentry Asset Group LLC, Sentry Asset Management LLC and John Pakel.	Engaging in Illegal, Off-Exchange Precious Metals Transactions.	$100,000 penalty, restitution of $278,767, permanent trading and registration bans.	www.cftc.gov/
16-11-2015	IB Capital FX LLC, Michel Geurkink and Emad Echadi.	Forex Trading without Being Registered.	Charges seeks penalties and bans.	Read OSB Post
21-10-2015	Gregory L. Gramalegui-Emini Trading School.	Fraud and Other Violations.	CFTC seeks restitution to defrauded clients.	www.cftc.gov/
20-10-2015	Alan James Watson, Cash Flow Financial LLC and Michael S. Potts	Commodity Pool Ponzi Scheme Case.	More than $91.9 Million.	www.cftc.gov/
20-10-2015	John R. Bullar and Executive Management Advisors L.L.C.	Commodity Pool Operator and Commodity Trading Advisor Fraud and Ponzi Scheme	Over $31 Million.	Read OSB Post
20-10-2015	BNP Paribas Securities Corp.	Improper Investment of Customer Segregated Funds.	$140,000 Penalty	www.cftc.gov/
19-10-2015	Igor B. Oystacher and 3 Red Trading LLC.	Spoofing and employment of a manipulative and deceptive device.	Seeks penalties, bans and permanent injunctions.	www.cftc.gov/
14-10-2015	Bradley A. Miklovich	Made unauthorized trades and falsified customers' account	Judge orders to make Full Restitution for Unauthorized Trading.	www.cftc.gov/
05-10-2015	Alexander Glytenko and Direct Investment Products, Inc.	Connection with Commodity Pool Fraud.	More than $3.8 Million Penalty.	Read OSB Post
30-09-2015	Alfred C. Toepfer International, Inc.	Inaccurately Reporting Positions in Multiple Grains.	$400,000	www.cftc.gov/
30-09-2015	Deutsche Bank AG	Swaps Reporting Violations and Related Supervision Failures.	$2.5 Million	Read OSB Post
29-09-2015	Barbara Cohen and Pure Reason, LLC.	False statements to the CFTC and Not Disclosing Trading Results.	$140,000	www.cftc.gov/
29-09-2015	Alan M. Kneller and American Portfolio Asset Management, Inc.	Illegally offering off-exchange financed transactions in precious metals.	More than $578,000 Penalty.	www.cftc.gov/
29-09-2015	Daniel Bowman	Violating Speculative Position Limits.	$34,940.01 penalty and permanent trading and registration bans.	www.cftc.gov/
28-09-2015	Michael E. Simmons and Global Consortiums.	Engaging in Foreign Exchange Commodity Pool Fraud.	More than $589,000 Penalty.	Read OSB Post
25-09-2015	Futures International LLC and its Chief Operating Officer, Amedeo Cerrone	Recordkeeping Violations, False Statements, Unauthorized Trading, and Supervision Failures.	$500,000	www.cftc.gov/
25-09-2015	FOREXNPOWER, John Won, Sungmi Kang and Tae Hung Kang.	Forex Fraud Scheme.	Charges seeking penalties and other reliefs.	Read OSB Post
24-09-2015	Yakov Shlyapochnik and Nord Capital Advisors, LLC.	For failing to Disclose Company’s Principal and for engaging in fraud.	$280,000 and permanently Barred from the U.S. Commodities Industry.	www.cftc.gov/
24-09-2015	Cargill de México SA De CV	Unlawfully Executing Wash Sales on the CBOT and KCBT.	$500,000	www.cftc.gov/
24-09-2015	TeraExchange LLC	Wash Trading and Prearranged Trading in Bitcoin Swap	Order filing and settling charges.	Read OSB Post
17-09-2015	Robert M. McMahon	Engaging in Deceptive Trade Allocation Scheme.	Pay $171,800 Civil Monetary Penalty and Permanent Trading and Registration Bans.	Read OSB Post
17-09-2015	Mintco LLC, Stuart Rubin and Richard Q. Zimmerman.	Engaging in Illegal, Off-Exchange Precious Metals Transactions and Defrauding Customers.	Charges seeks sanctions.	www.cftc.gov/
17-09-2015	Australia and New Zealand Banking Group Ltd.	Inaccurate Large Trader Reports for Physical Commodity Swap Positions.	$150,000 Penalty	www.cftc.gov/
17-09-2015	Terry Lee Phillips and his two companies.	Defrauding investors.	To pay penalty totaling More than $234,000.	www.cftc.gov/
17-09-2015	Coinflip, Inc. d/b/a Derivabit and Francisco Riordan.	Commodity options transactions without complying with the Commodity Exchange Act (CEA) and CFTC Regulations.	Cease Illegally Offering Bitcoin Options and to Cease Operating a Facility for Trading or Processing of Swaps without Registering.	www.cftc.gov/
11-09-2015	Hannes Tulving, Jr and The Tulving Company, Inc.	Fraudulent solicitation and misappropriation in Precious Metals Scheme.	Charges seeking sanctions.	Read OSB Post
09-09-2015	Donovan Davis Jr	Fraudulent operation of Capital Blu Management LLC	Sentenced to 17 years in a federal prison.	www.cftc.gov/
08-09-2015	Forex Capital Markets, LLC	Supervision and Record-Production Violations and for Violating a Previous Commission Order.	Pay More Than $843,000 and comply with certain undertakings.	Read OSB Post
08-09-2015	Maverick Asset Management LLC, Rodney Scott Phelps and Jason T. Castenir	Commodity Pool Fraud and Other Violations.	Following -a CFTC complain, Federal Court Issues Emergency Order Freezing Assets and Protecting Books and Records.	www.cftc.gov/
28-08-2015	Ron Earl McCullough and David Christopher Mayhew.	Operated Foreign Currency Ponzi Scheme.	Jointly to pay $1,223,388.43 in restitution and a $2,486,619.87 civil monetary penalty and permanent trading and registration bans	Read OSB Post
25-08-2015	Charles K. Mosley	Misusing Customer Funds.	Following a CFTC Complaint filed, Federal Court order to pay more than $2 Million and a permanent trading and registration ban.	www.cftc.gov/
19-08-2015	INTL FCStone Markets, LLC	Failure to Supervise Swaps Trading in Violation of CFTC Regulation 23.602.	$200,000 Civil Monetary Penalty.	Read OSB Post
07-08-2015	Gary Creagh and Wall Street Pirate Management, LLC.	Making False Statements to the National Futures Association.	Filed of an enforcement action.	Read OSB Post
06-08-2015	Morgan Stanley & Co. LLC	Violations of Customer Protection Rule for Cleared Swaps and Related Supervision Failures.	$300,000 Civil Monetary Penalty.	Read OSB Post
05-08-2015	Wayne P. Weddington III, Brunswick Capital LLC and Brunswick Capital Partners LP.	Commodity Pool Fraud and Unregistered Activity.	Court decision after CFTC complaint to pay $650,000 civil monetary penalty and restitution of $375,039 to defrauded customers.	www.cftc.gov/
03-08-2015	Husam Tayeh, Dinar Corp., Inc., and My Monex, Inc.	Fraud and Other Violations Involving Foreign Currency Scheme.	Civil enforcement action filed in U.S. District Court. Hearing for August 10.	Read OSB Post
31-07-2015	Keith F. Simmons, Deanna Salazar and their Companies.	Connection with Foreign Currency Ponzi Scheme	$76 Million in Civil Monetary Penalties, permanent trading and registration bans.	www.cftc.gov/
10-07-2015	Carl David Wright	Commodity Pool Fraud.	$1 Million Civil Penalty.	www.cftc.gov/
06-07-2015	Chinese National Yumin Li and BVI Company Kering Capital Ltd	Fraud, engaging in fictitious transactions, and trading noncompetitively, in violation of the Commodity Exchange Act and CFTC regulations. Neither Li nor Kering Capital has ever been registered with the CFTC.	CFTC filed a civil enforcement action. Court Enters Restraining Order Freezing Defendants’ Accounts and Protecting Books and Records.	www.cftc.gov/
24-06-2015	Nick A. Wurl and His Company Ludiera Capital LLC	Fraud, misappropriation, and the issuance of false statements in connection with an investment pool they operated that traded commodity futures contracts and options on futures contracts.	Filed a federal enforcement action in the U.S. District Court for the Northern District of Illinois.	www.cftc.gov/
19-06-2015	Joseph F. Welsh III	Attempted to manipulate the settlement prices of palladium and platinum futures contracts traded on the New York Mercantile Exchange (NYMEX).	$500,000 Civil Penalty	www.cftc.gov/
16-06-2015	Gregory Christopher Evans	Fraud and Unauthorized Swaps Trading	$1,213,578.94 and permanently banning from registering with the CFTC and engaging in any commodity-related activity, including swaps trading.	www.cftc.gov/
20-05-2015	Barclays Bank PLC	Attempted Manipulation and False Reporting of Foreign Exchange Benchmark Rates.	$400 Million	Read OSB Post
20-05-2015	Barclays PLC, Barclays Bank PLC, and Barclays Capital Inc.	Attempted Manipulation of and False Reporting of U.S. Dollar ISDAFIX Benchmark Swap Rates.	$115 Million	www.cftc.gov/
14-05-2015	Double Eagle Enterprises, LLC and its owner Eric Arlt	Illegally offering off-exchange financed transactions in precious metals with retail customers, and failure to register as a Futures Commission Merchant (FCM) with the CFTC.	Pay restitution of $611,154 and a $100,000 civil monetary penalty and prohibits them from trading on or pursuant to the rules of any registered entity.	www.cftc.gov/
11-05-2015	Libero Commodities SA	Call Cotton Reporting Violations	$480,000	www.cftc.gov/
05-05-2015	United Arab Emirates Residents Heet Khara and Nasim Salim	Spoofing in the Gold and Silver Futures Markets.	Filled of a civil enforcement action in the U.S. District Court. Court Issued an Ex Parte Restraining Order Freezing Defendants’ Assets and Preserving Records.	www.cftc.gov/
01-05-2015	FCStone, LLC	Supervision Violations	$140,000	Read OSB Post
30-04-2015	Barry C. Taylor and his companies OTC Investments LLC and Forex Currency Trade Advisors, LLC	Charged for operating Commodity Pool Fraud in a Multi-Million Dollar Fraudulent Forex Scheme and with Registration Violations.	Federal Court Enters Emergency Order Freezing Defendants’ Assets and Protecting Books and Records, following CFTC Charges.	www.cftc.gov/
30-04-2015	Christopher Valois and Cynthia Wong and their companies Bertram Trade LLC and Churchhill Commodities Trading LLC	Precious metals and futures fraud, misappropriation, engaging in illegal off-exchange precious metals transactions, and registration violations in violation of the Commodity Exchange Act and CFTC Regulations.	Jointly to pay restitution of $448,371 and a $700,000 civil monetary penalty. The Order also imposes permanent trading and registration bans.	www.cftc.gov/
29-04-2015	James Harvey Mason	Off-exchange foreign currency (forex) commodity pool fraud.	Court Order to Pay $5.5 Million arises out of the CFTC enforcement Complaint and permanent trading and registration bans.	www.cftc.gov/
27-04-2015	Inter-Global Currency & Precious Metals, LLC and its owner, manager, and controlling person Stavros Papastavrou.	Engaging in Illegal, Off-Exchange Precious Metals Transactions.	Federal Court in Florida Orders a civil monetary penalty of $100,000 and a restitution award of $447,342, and permanently bans IGCPM and Papastavrou from registering, trading, soliciting, and engaging in other CFTC-regulated activities, following CFTC enforcement actions.	www.cftc.gov/
27-04-2015	My Global Leverage, LLC (MGL) and its owner and managing member Toney Blondo Eggleston	Engaging in illegal, off-exchange transactions in precious metals with retail customers on a leveraged, margined, or financed basis.	Filed of a civil injunctive enforcement action in the U.S. District Court for the District of Nevada	www.cftc.gov/
23-04-2015	Deutsche Bank AG	Manipulation, Attempted Manipulation, and False Reporting of LIBOR and Euribor.	$800 Million	www.cftc.gov/
21-04-2015	Sentry Asset Group, LLC and its Owner, John Pakel.	Illegal, Off-Exchange Precious Metals Transactions.	Civil enforcement action in the U.S. District Court for the Southern District of Florida.	www.cftc.gov/
21-04-2015	U.K. Resident Navinder Singh Sarao and His Company Nav Sarao Futures Limited PLC.	Price Manipulation and Spoofing.	Civil enforcement action in U.S. District Court.	www.cftc.gov/
20-04-2015	Dorian A. Garcia and his Companies, DG Wealth Management, Macroquantum Capital LLC, and UKUSA Currency Fund LP.	Fraud and Registration Violations.	Federal Court Enters Emergency Order Freezing Defendants’ Assets and Protecting Books and Records, following CFTC Charges.	www.cftc.gov/
17-04-2015	Matthew J. Marcus and His California Company, Tech Power, Inc., and John D. Briner and His Canadian Law Firm, MetroWest Law Corp	Money Pass Scheme Involving More than 1,200 Single Stock Futures Trades	Northern District of Illinois entered a restraining Order freezing certain assets and prohibiting the Defendants from destroying documents.	www.cftc.gov/
15-04-2015	Hope Advisors LLC, Commodity Pool Operator	Registration and Reporting Violations	$100,000	www.cftc.gov/
06-04-2015	RFF GP, LLC, KGW Capital Management, LLC, and Kevin G. White	Operating a Fraudulent Commodity Pool	4,150,000 civil monetary penalty and restitution of $3,365,888	www.cftc.gov/
01-04-2015	Kraft Foods Group, Inc. and Mondel?z Global LLC	Manipulation of Wheat Futures and Cash Wheat Prices	Seeks a permanent injunction from future violations of federal commodities laws, disgorgement, and civil monetary penalties	www.cftc.gov/
31-03-2015	Maverick International, Inc. and its Principals Wesley Allen Brown and Edward Rubin.	Pool Fraud and Other Violations of federal commodity laws.	U.S. District Court issued an emergency Order freezing and preserving assets under Defendants’ control and prohibiting them from destroying documents or denying CFTC staff access to their books and records, following CFTC Charges.	www.cftc.gov/
30-03-2015	Daniel Shak	Violated the terms of the CFTC Order.	$100,000	www.cftc.gov/
27-03-2015	Robert Stanley Harrison	Commodity Pool Fraud	Lifetime Ban from Commodities Industry, sentenced to 1 year and 1 day in prison and ordered to pay restitution to victims of his fraud.	www.cftc.gov/
25-03-2015	John G. Wilkins and His Company, Altamont Global Partners LLC.	Federal Court’s Permanent Injunction Order and Wilkins’s Related Criminal Conviction.	CFTC Revokes Registrations.	www.cftc.gov/
23-03-2015	Marubeni America Corporation	Inaccurately Reporting Positions in Multiple Grains	$800,000	www.cftc.gov/
16-03-2015	ICE Futures U.S., Inc.	Submitting inaccurate and incomplete reports and data to the CFTC over at least a 20-month period	$3 Million	www.cftc.gov/
03-03-2015	Jerry Stauffer	Commodity Pool Fraud and Other Violations.	Federal Court Issues Emergency Order Freezing Stauffer’s Assets and Protecting Books and Records, following CFTC Charges.	www.cftc.gov/
03-03-2015	Mark Evan Bloom and his Company, North Hills Management, LLC	Commodity Pool Fraud	Federal Court in New York Imposes a $26 Million Civil Monetary Penalty. Also, pleaded guilty in a parallel criminal proceeding and is currently awaiting sentencing.	www.cftc.gov/
26-02-2015	Kevin G. White	Commodity Pool Investment Scam	Over Eight Years in Federal Prison	www.cftc.gov/
13-02-2015	Scott M. Ross and his companies, Maize Capital Management, LLC and Maize Asset Management, LLC	Defrauding Investors in His Commodity Pools, Mishandling Customer Funds, and Failing to Properly Register as a Commodity Pool Operator.	Jointly to pay $5,402,818.89 in restitution, as well as, a $1.3 million civil penalty. Also, imposed permanent trading and registration bans against all Defendants.	www.cftc.gov/
05-02-2015	Isaiah Goldman and Brock Catronio and their Companies, Paramount Metals Exchange, LLC and Paramount Credit, LLC	Engaged in Illegal, Off-Exchange Precious Metals Transactions	Jointly to pay restitution of $1,595,946 to their customers and jointly to pay a $1 million civil monetary penalty. In addition, the Order imposes permanent registration and trading bans.	www.cftc.gov/
04-02-2015	Midwest Metals Exchange and Its Owner, Brian S. Ekasala	Engaged in Illegal, Off-Exchange Precious Metals Transactions.	Restitution totaling $322,852.71 and a $200,000 civil monetary penalty. The Order further imposes permanent trading and registration bans and requires them to cease and desist from violating Section 4(a) of the Commodity Exchange Act.	www.cftc.gov/
04-02-2015	U.S. Bank National Association	Improperly holding and using a Peregrine Financial Group, Inc. customer segregated funds account by treating the account like a regular business checking account.	Federal Court Orders U.S. Bank National Association to Pay $18 Million to Peregrine Customers, following a Complaint filed by the CFTC.	www.cftc.gov/
03-02-2015	Christopher Valois, Cynthia Wong, and their companies, Bertram Trade LLC (Bertram) and Churchhill Commodities Trading LLC.	Precious metals and futures fraud, misappropriation, engaging in illegal off-exchange precious metals transactions, and registration violations, in violation of the Commodity Exchange Act and CFTC Regulations from October 2011 to the present.	Central District of California entered an emergency restraining Order freezing assets and prohibiting the destruction or concealment of books and records of Defendants, following a complaint filed by CFTC.	www.cftc.gov/
26-01-2015	Anthony Lauria and His Company Gold Coast Bullion, Inc.	Off-Exchange Precious Metals Fraud	Restitution totaling $5,940,124.16 and a civil monetary penalty of $3.75 million. In addition, the Order imposes permanent registration and trading bans on Lauria and GCB.	www.cftc.gov/
21-01-2015	Michael A. Kardonick, Gary R. Shapoff, and Atwood & James.	Forex Options Fraud and Misappropriation.	$2.16 Million Penalty and Permanent Trading Bans.	www.cftc.gov/
21-01-2015	Bharat Adatia and His Companies, Lions Wealth Holdings, Lions Wealth Services, and 20/20 Precious Metals.	Multi-Million Dollar Fraudulent Precious Metals Scheme.	Over $5.3 Million in Monetary Sanctions and permanent trading, solicitation, and registration bans.	www.cftc.gov/
20-01-2015	Olam International, Ltd. and Olam Americas, Inc.	Violating Cocoa Position Limits and Unlawfully Executing Noncompetitive Trades.	$3 Million Penalty.	www.cftc.gov/
16-01-2015	Summit Energy Services, Inc.	Acting as an Unregistered Commodity Trading Advisor.	$140,000 Civil Monetary Penalty.	www.cftc.gov/
14-01-2015	TOTE Fund LLC and MJS Capital Management LLC, and their Principal, Michael J. Siegel.	Commodity Pool Fraud and Other Violations.	CFTC Obtains Judgment: Federal Court Orders Defendants to Pay More than $871,000 in Restitution, Disgorgement, and Civil Monetary Penalties.	www.cftc.gov/
12-01-2015	Allied Markets LLC and its principals Joshua Gilliland and Chawalit Wongkhiao.	Operating a fraudulent foreign currency (forex) commodity pool in violation of the Commodity Exchange Act (CEA) and CFTC Regulations. In addition, none of the Defendants has ever been registered with the CFTC, as required.	CFTC Foreign Currency Anti-Fraud Action: Federal Court in Florida Enters Order Freezing Assets.	www.cftc.gov/

FINRA

Date	Company/Person Name	Violation	Fine	Read more
27-03-2017	Lek Securities and Samuel F. Lek.	Aiding and abetting securities fraud.	Charges	http://www.finra.org/
01-03-2017	Craig David Dima	Made unauthorized and unsuitable trades.	Barred from the securities industry.	http://www.finra.org/
22-02-2017	Purshe Kaplan Sterling Investments	Failures to supervise.	$3.4 Million in Restitution and $750,000 for its failures.	http://www.finra.org/
14-02-2017	Red River Securities, LLC and Brian Keith Hardwick	Fraudulent sales.	$24.6 Million in restitution and barred Brian Keith Hardwick.	http://www.finra.org/
21-12-2016	12 Firms	Failing to Protect Records From Alteration.	$14.4 Million	www.finra.org
16-12-2016	Deutsche Bank Securities Inc.	Deficient Disclosures .	$3.25 Million	Read OSB Post
05-12-2016	Credit Suisse Securities (USA) LLC	Significant Deficiencies in its AML Program.	$16.5 Million	Read OSB Post
30-11-2016	Merrill Lynch	Inadequate Supervision of Securities-Backed Leverage.	$7 Million	Read OSB Post
28-11-2016	VALIC Financial Advisors Inc.	Failure to Prevent Conflicts of Interest.	$1.75 Million	www.finra.org
17-11-2016	Oppenheimer & Co.	Reporting violations and other failures.	$3.4 Million	Read OSB Post
02-11-2016	Eight Firms	Supervisory Failures.	$6.2 Million	www.finra.org
18-10-2016	Merrill Lynch	Supervisory Violations	$2.8 Million	Read OSB Post
14-09-2016	Ameriprise Financial Services Inc.	Failing to Supervise the Transmittal of Funds	$850,000	Read OSB Post
08-08-2016	Deutsche Bank Securities Inc.	Significant supervisory failures.	$12.5 Million	Read OSB Post
03-08-2016	Barclays Capital Inc.	Reporting Violations and Supervisory Failures.	$1.3 Million	Read OSB Post
01-08-2016	Hank Mark Werner	Securities fraud.	Complaint Charging.	www.finra.org
19-07-2016	Prudential Annuities Distributors, Inc.	Failing to Prevent Theft From Customer’s Account.	$950,000	www.finra.org
29-06-2016	Deutsche Bank Securities Inc.	Submitted Inaccurate and Late Blue Sheet Data	$6 Million	Read OSB Post
23-06-2016	Merrill Lynch	Failing to Disclose Material Facts in Sales to Retail Customers	$5 Million	www.finra.org
08-06-2016	Oppenheimer & Co. Inc.	Unsuitable Sales and Related Supervisory Failures	$2.9 Million	Read OSB Post
02-06-2016	E*Trade Securities LLC	Supervisory Violations.	$900,000	Read OSB Post
19-05-2016	Lawson Financial Corporation and Robert Lawson.	Fraudulent Municipal Bond Sales.	Complaint Charging.	www.finra.org
18-05-2016	Raymond James & Associates, Inc. and Raymond James Financial Services, Inc.	Systemic Anti-Money Laundering Compliance Failures.	$17 Million	Read OSB Post
11-05-2016	Stephens Inc.	Inadequate Supervision of Research Department "Flash" Emails.	$900,000	www.finra.org
03-05-2016	MetLife Securities Inc.	Negligent Misrepresentations and Omissions.	$25 Million	Read OSB Post
25-04-2016	James Van Doren	Unethical conduct involving money laundering and a scheme to deceive creditors	Bars him from the securities industry.	www.finra.org
21-03-2016	Wedbush Securities Inc.	For supervisory violations.	$675,000	Read OSB Post
19-02-2016	George Johnson.	Market Manipulation.	Barred from the securities industry.	Read OSB Post
11-02-2016	Timothy S. Dembski and Walter F. Grenda	Fraudulent Sales of a Hedge Fund	Barred from the securities industry.	www.finra.org
29-12-2015	Barclays Capital, Inc.	For Unsuitable Mutual Fund Transactions and Related Supervisory Failures.	$13.75 Million	Read OSB Post
23-12-2015	Macquarie Capital (USA) Inc.	For Submitting Inaccurate Blue Sheet Data.	$2.95 Million	www.finra.org
21-12-2015	Jarred Kessler and Joseph Ludovico	For supervisory failures.	Jarred Kessler was suspended for three months and fined $35,000 and Joseph Ludovico was suspended for two months and fined $25,000.	www.finra.org
21-12-2015	Cantor Fitzgerald & Co.	Selling Billions of Unregistered Microcap Shares, and for Related Supervisory and AML Violations.	$7.3 Million	www.finra.org
18-12-2015	Fidelity Brokerage Services LLC	Supervisory Failures	$1 Million	Read OSB Post
19-11-2015	Deutsche Bank Securities Inc.	Violating Regulation SHO and Short Interest Reporting Rules.	$1.4 Million	Read OSB Post
16-11-2015	Scottrade	Significant Failures in Required Electronic Records and Email Retention	$2.6 Million	Read OSB Post
27-10-2015	5 Firms	Failing to waive mutual fund sales charges.	More than $18 million.	www.finra.org
20-10-2015	12 Firms	Failing to Apply Sales Charge Discounts to Customers' Purchases of UITs	$6.7 Million	Read OSB Post
13-10-2015	Santander Securities LLC	Supervisory Failures	$6.4 Million	Read OSB Post
07-10-2015	Halcyon Cabot Partners, Michael Morris and Ronald Heineman.	Fraud, sales practice abuses and widespread supervisory and anti-money laundering failures.	Expelled the company and barred the two persons from the securities industry.	www.finra.org
29-09-2015	UBS Puerto Rico	Supervisory failures.	$18.5 Million	www.finra.org
15-09-2015	10 Former Global Arena Representatives	Securities violations.	Barred seven from the securities industry, suspended an eighth person and barred two from serving in a principal capacity.	Read OSB Post
24-08-2015	Charles Schwab & Co., Inc.	Net capital deficiencies and for related supervisory failures.	$2 Million	Read OSB Post
12-08-2015	StockCross Financial Services, Inc.	Regulation SHO Violations.	$800,000	www.finra.org
06-08-2015	Richard Adams, former Caldwell Broker.	Churning customers’ accounts and other securities rule violations.	Permanently barred from the securities industry.	Read OSB Post
03-08-2015	Aegis Capital Corp., Charles D. Smulevitz and Kevin C. McKenna.	Improperly selling unregistered penny stocks, supervisory failures and AML violations.	$950,000, 30 and 60 day principal suspensions, and $5,000 and $10,000, respectively for Smulevitz and McKenna.	Read OSB Post
27-07-2015	Goldman Sachs Execution & Clearing, L.P.	Systemic Order Audit Trail System (OATS) reporting violations.	$1.8 Million	Read OSB Post
06-07-2015	Wells Fargo, Raymond James, and LPL Financial	Failed to adequately supervise the sale of mutual funds that offered sales charge waivers.	To pay: Wells Fargo $15 million, Raymond James $8.7 million and LPL $6.3 million	www.finra.org
22-06-2015	Morgan Stanley Smith Barney and Scottrade.	Failing to Supervise the Transmittal of Customer Funds to Third-Party Accounts.	Morgan Stanley Smith Barney, LLC (Morgan Stanley) $650,000 and Scottrade, Inc. $300,000.	www.finra.org
13-05-2015	Morgan Stanley	Short Interest Reporting and Short Sale Rule Violations.	$2 million.	www.finra.org
06-05-2015	LPL Financial LLC	Widespread Supervisory Failures Related to Complex Products Sales, Trade Surveillance and Trade Confirmations Delivery.	$11.7 Million	www.finra.org
27-04-2015	Avenir Financial Group, Michael Clements, Karim Ibrahim and Cesar Rodriguez	Fraud Against Elderly Investors.	Files Cease and Desist Order. Cesar Rodriguez barred from the securities industry.	www.finra.org
23-04-2015	RBC Capital Markets	Supervisory failures resulting in sales of unsuitable reverse convertibles.	$1 million and approximately $434,000 in restitution.	Read OSB Post
30-03-2015	H. Beck, Inc., LaSalle St. Securities, LLC, and J.P. Turner & Company, LLC	Inadequate supervision of consolidated reports provided to customers and other violations.	$425,000, $175,000 and $100,000, respectively.	Read OSB Post
26-03-2015	Oppenheimer & Co. Inc.	Failing to Supervise Former Oppenheimer Broker Mark Hotton who stole money from his customers and excessively traded their brokerage accounts.	Fined $2.5 Million and Ordered to Pay Restitution of $1.25 Million.	Read OSB Post
25-03-2015	First New York Securities L.L.C.	Short selling ahead of participating in 14 public offerings of securities.	Pay disgorgement of more than $516,000, plus interest, fined the firm $400,000 and is prohibited from participating in secondary or follow-on offerings for a period of six months.	Read OSB Post
12-03-2015	Brookville Capital Partners and Brookville President Anthony Lodati.	Fraud in connection with sales of a private placement offering.	Pay full restitution of more than $1 million and fined the firm $500,000. Also, barred Brookville President Anthony Lodati from the securities industry.	www.finra.org
09-01-2015	John Thomas Financial (JTF) and its Chief Executive Officer, Anastasios "Tommy" Belesis.	Trading Ahead of Customer Orders, Providing False Testimony and Other Violations.	$1,047,288, plus interest. Additionally, JTF and Belesis were suspended for two years and jointly and severally fined $100,000, and JTF's Chief Compliance Officer Joseph Castellano was suspended for one year and fined $50,000.	www.finra.org

NFA

Date	Company/Person Name	Violation	Fine	Read more
06-03-2017	Samico Worldwide Markets, Inc. and Thomas Gasparini.	Failed to cooperate with NFA.	Permanently barred from membership.	Read OSB Post
02-03-2017	Nex Capital Management LLC and Jacob Wohl.	Failed to cooperate with NFA.	Permanently barred from membership.	www.nfa.futures.org
06-02-2017	Forex Capital Markets, LLC, Dror Niv, William Ahdout and Ornit Niv.	Engaged in numerous deceptive and abusive execution activities.	Barred from membership.	www.nfa.futures.org
30-12-2016	Eden Prairie	Failed to submit promotional material and failed to supervise the firm's operations.	Permanently barred from membership.	www.nfa.futures.org/
04-11-2016	The Cambridge Strategy Asset Management Limited	Various failures.	$60,000	Read OSB Post
04-10-2016	Vankar Trading Corp. and John Karvelas	Complaint alleged that Vankar failed to maintain required minimum adjusted net capital and other failures.	Vankar permanently barred and John Karvelas barred for 10 years.	Read OSB Post
23-08-2016	The Cambridge Strategy Asset Management Limited.	For various failures.	Issued a Complaint.	www.nfa.futures.org
19-08-2016	Macro Risk Advisors LLC	Failed to file timely financial reports with NFA.	Issued a Complaint.	www.nfa.futures.org
19-08-2016	Ascona Management LLC and Andrew M. Keller.	For various failures.	Issued a Complaint.	www.nfa.futures.org
19-08-2016	Nex Capital Management LLC and Jacob Wohl.	Failed to cooperate with NFA.	Issued a Complaint.	www.nfa.futures.org
02-06-2016	Apercu International and Alvin Guy Wilkinson.	Failure to cooperate with NFA.	Suspension from NFA membership and various prohibitions.	www.nfa.futures.org
24-03-2016	Tina Mozhayski	Accepted investment funds although she was not registered to do so, provided false customer statements.	Bared from membership.	www.nfa.futures.org
23-03-2016	Accusigma Corporation and Brent Park.	Failed to cooperate with NFA.	Permanently barred from membership.	Read OSB Post
17-03-2016	Hollencrest Securities	Failed to observe high standards of commercial honor and just.	$125,000	www.nfa.futures.org
15-03-2016	IBFX, Inc.	Failed to comply with Chief Compliance Officer requirements.	Permanently withdraw from NFA membership.	Read OSB Post
29-02-2016	Portfolio Managers Inc. (PMI)	Made misleading, deceptive and high-pressure sales solicitations, and willfully submitted false information to NFA.	Barred from membership.	Read OSB Post
25-02-2016	TGI Capital Management Limited.	Repeatedly failed to file its PR statements on time.	Barred from membership.	www.nfa.futures.org
25-01-2016	CC Trading Company LLC	Failed to maintain required minimum adjusted net capital, failed to keep accurate financial records and other failures.	Permanently barred.	www.nfa.futures.org
10-12-2015	Robert Hawkes Potter	Based on a Complaint authorized by the BCC regarding he acted as an unregistered futures commission merchant.	Permanently barred from membership and from acting as a principal of an NFA Member.	www.nfa.futures.org
09-12-2015	X-Change Financial Access LLC	Based on a Complaint authorized by the BCC regarding XFA's risk management policy.	Barred from acting as an FCM and orders it to pay a $75,000 fine.	www.nfa.futures.org
10-11-2015	YZ Investment Services and Yanping Zhang.	Used misleading and deceptive promotional material.	Bars from membership for five years.	www.nfa.futures.org
02-11-2015	Nord Capital Advisors LLC and Yakov Shlyapochnik.	Failure to cooperate by refusing to provide NFA with books and records as requested.	Both barred and must pay a $300,000 fine.	www.nfa.futures.org
29-10-2015	Jonathan Parker.	Based on a Complaint.	Permanently barred from membership.	www.nfa.futures.org
21-10-2015	Philip M. Worley	Based on a Complaint.	Permanently barred from acting as a principal of an NFA Member.	www.nfa.futures.org
18-09-2015	RNS Holdings LP (RNS) and Raja Michael Mawad.	Misappropriated approximately $180,000 from the RNS Capital LP Fund.	Permanently barred from NFA membership, from acting as principals of an NFA Member and must transfer the balance.	www.nfa.futures.org
18-09-2015	McElhannon Group	Used false and misleading promotional material.	Permanently barred from NFA membership.	Read OSB Post
28-08-2015	Primary Assets Management Corporation, Accredited Investment Management Corp.and Peter G. Catranis.	Used misleading promotional material, recommended and/or placed trades that did not serve the best economic interests of the customers and failed to maintain adequate books and records and diligently supervise the firms' operations.	Permanently barred the two companies from membership and their director to withdraw from NFA membership for four years.	Read OSB Post
11-08-2015	Grace Financial Group LLC and Christopher T. Bondy.	Provided NFA with false and misleading information and other failures.	Permanently barred from NFA membership.	Read OSB Post
30-07-2015	Jonathan Parker	NFA believes that he has been operating as an unregistered commodity pool operator (CPO), failed to produce books and records and cooperate with NFA.	Prohibited from disbursing or transferring any customer funds without NFA's prior approval and is suspended from NFA membership.	Read OSB Post
16-07-2015	Wealth Creation Investments LLC and Fox Financial Group LLC.	Made misleading sales solicitations and used a disclosure document that included misleading performance information.	Barred from NFA membership.	www.nfa.futures.org
13-05-2015	Andrew James Aronson	Violation of NFA Compliance Rule 2-5: Failing to Cooperate promptly and fully with NFA.	Permanently barred Andrew James Aronson (Aronson) from NFA membership, associate membership and acting as a principal of an NFA Member.	www.nfa.futures.org
14-04-2015	RNS Holdings LP and its principal, Raja Michael Mawad	Emergency enforcement action because Mawad has misappropriated pool participant funds and improperly used pool participant funds for expenses which should have been paid by Mawad or the pool operator.	Both suspended from NFA associate membership, prohibited from disbursing or transferring any funds of customers, pool participants, investors or pools over which they control, without NFA's prior approval and must repay the money they misappropriated and improperly used from the RNS Fund.	www.nfa.futures.org
14-04-2015	Dow McVean Capital Management LLC and its principal, Charles Dow McVean, Jr.	Violatins of NFA Compliance Rules 2-9(a) and 2-10: Failing to dligently supervise and Failing to enact required procedures regarding allocations from Bunched Orders.	$105,000	www.nfa.futures.org
14-04-2015	K&M Trading, LLC and its principals, William Kaelin and John Morrissey.	Failing to enact required procedures regarding allocations from bunched orders, in violation of NFA Compliance Rule 2-10. The Complaint also charged Kaelin and Morrissey with failing to diligently supervise K & M's operations, in violation of NFA Compliance Rule 2-9(a).	$105,000	Read OSB Post
14-04-2015	Wharton Asset Management LLC and its principal, Michael J. Wharton.	Failing to enact required procedures regarding allocations from bunched orders, in violation of NFA Compliance Rule 2-10. The Complaint also charged Wharton with failing to diligently supervise Wharton Management's operations, in violation of NFA Compliance Rule 2-9(a).	$105,000	www.nfa.futures.org
14-04-2015	BLS AG Futures LLC and its principal, Brian L. Swords.	Failing to enact required procedures regarding allocations from bunched orders, in violation of NFA Compliance Rule 2-10. The Complaint also charged Swords with failing to diligently supervise BLS's operations, in violation of NFA Compliance Rule 2-g(a).	$105,000	www.nfa.futures.org
14-04-2015	CDM Investment Management LLC and its principal, Charles Dow McVean Sr.	Failing to enact required procedures regarding allocations from bunched orders, in violation of NFA Compliance Rule 2-10. The Complaint also charged Charles McVean Sr. with failing to diligently supervise CDM Management's operations, in violation of NFA Compliance Rule 2-9(a).	$105,000	www.nfa.futures.org
14-04-2015	McVean Trading & Investments LLC and two of its principals, Charles Dow McVean Sr. and Llewellyn Hall	Failing to enact required procedures regarding allocations from bunched orders, in violation of NFA Compliance Rule 2-10. The Complaint also charged McVean Trading, Charles McVean, Sr. and Hall with failing to diligently supervise McVean Trading's operations, in violation of NFA Compliance Rule 2-9(a).	$625,000	www.nfa.futures.org
05-03-2015	McElhannon Group, Inc. (McElhannon) and Philip Mack Worley (Worley), a principal and associated person (AP) of McElhannon.	Following a complaint forwarded by the Texas State Securities Board that suggests Worley and McElhannon were using misleading and deceptive promotional materials.	Emergency enforcement action. Suspended from NFA membership and associate membership. They also are prohibited from disbursing or transferring any customer funds over which either McElhannon, Worley or any person acting on behalf of McElhannon exercises control, without prior approval from NFA.	Read OSB Post
27-02-2015	Chazon QTA Quantitative Trading Artists LLC and its principal, Lawrence I. Fejokwu.	Chazon and Fejokwu willfully violated NFA Rules by refusing to produce bank records requested by NFA.	Permanently barred from NFA membership.	www.nfa.futures.org
13-01-2015	Aspirant Management LLC and Luckow Group, Inc. and firms' principal, Paul D. Luckow.	Aspirant Management violated NFA Rules by improperly taking loans and advances from Aspirant LP, a commodity pool that it operated, and that Aspirant Management, Luckow Group and Luckow misused pool assets.	Permanently withdraw from NFA membership. Also has ordered Paul D. Luckow, not to register as an AP or be principal of an NFA Member CPO or CTA. Finally, Aspirant Management, Luckow Group and Luckow also were ordered to pay a total fine of $20,000.	www.nfa.futures.org
12-01-2015	Diamond Head Capital LLC, eFloorTrade LLC, John A. Moore—the sole principal of both firms, and Christopher T. Moore—an associated person of both firms.	Repeated failure to detect suspicious activity, a failure to implement adequate procedures to verify the identity of customers and whether customers were required to be CFTC-registered and NFA Members, and a failure to ensure that books and records were correct.	Diamond Head Capital LLC, to permanently withdraw from NFA membership. Also fined eFloorTrade LLC, John A. Moore and Christopher T. Moore each $15,000.	www.nfa.futures.org

SEC

Date	Company/Person Name	Violation	Fine	Read more
14-03-2017	Nima Hedayati	Traded on inside information.	More than $87,000 to settle charges.	www.sec.gov/
10-03-2017	Nasir N. Shakouri and Robert S. Torino.	Manipulated company's accounting systems to steal money.	Charges	www.sec.gov/
10-03-2017	Avalon FA Ltd, Nathan Fayyer, Sergey Pustelnik, Lek Securities and Samuel Lek.	Involved in layering, manipulation schemes.	Charges and freezed Avalon’s assets.	Read OSB Post
14-02-2017	James P. Toner Jr.	Pocketed investor money.	More than a $500.000 to settle charges.	www.sec.gov/
14-02-2017	Morgan Stanley	Failures related to ETF investments.	$8 million to settle charges.	Read OSB Post
13-02-2017	Sidoti & Company LLC	Compliance and trading surveillance failures.	$100,000 to settle charges.	www.sec.gov/
10-02-2017	Chinese Citizens.	Reaped massive profits from insider trading.	Freezed brokerage accounts holding more than $29 million in illegal profits.	Read OSB Post
07-02-2017	Scott M. Landress	Withdrew improper fees from funds.	$1.25 million to settle charges.	www.sec.gov/
03-02-2017	Barry Connell	Stealing From Client Accounts.	Charges	www.sec.gov/
02-02-2017	Sentinel Growth Fund Management and Mark J. Varacchi.	Stealing Investor Funds.	Charges	Read OSB Post
27-01-2017	Joseph Meli and Matthew Harriton.	Ticket Resale Ponzi Scheme.	Charges	Read OSB Post
26-01-2017	Citigroup Global Markets	Overbilled investment advisory clients.	$18.3 million to settle charges.	Read OSB Post
26-01-2017	Michael L. Cohen and Vanja Baros.	Foreign Corrupt Practices Act (FCPA) violations.	Charges	www.sec.gov/
25-01-2017	Windsor Street Capital and John D. Telfer.	Gatekeeper failures related to Pump-and-Dump scheme.	Charges	www.sec.gov/
25-01-2017	Michael J. Breton and Strategic Capital Management.	Defrauded investors.	Banned from the securities industry. Monetary sanctions would be determined at a later date	www.sec.gov/
24-01-2017	Morgan Stanley and Citigroup.	Mislead investors about Forex trading program.	Each agreed to pay disgorgement, plus interest ANF a penalty of for a total of more than $5.9 million combined.	Read OSB Post
23-01-2017	Overseas Shipholding Group (OSG) and Myles R. Itkin.	Failed to recognize hundreds of millions in tax liabilities.	OSG agreed to pay a $5 million penalty and Itkin agreed to pay a $75,000 penalty.	Read OSB Post
23-01-2017	Dwayne Edwards	Siphoning funds he raised from investors.	Charges	Read OSB Post
19-01-2017	HomeStreet Inc.	Improper accounting and impeding whistleblowers.	$500,000 to settle charges.	www.sec.gov/
18-01-2017	MDC Partners	Undisclosed perks and improper use of Non-GAAP measures.	$1.5 million to settle charges.	www.sec.gov/
18-01-2017	General Motors	Accounting control failures.	$1 million to settle charges.	www.sec.gov/
17-01-2017	Thomas M. Henderson and San Francisco Regional Center LLC.	Misused money he raised from investors through the EB-5 Investments.	Charges	www.sec.gov/
17-01-2017	Allergan Inc.	Disclosure failures during merger talks.	$15 million	www.sec.gov/
17-01-2017	10 investment advisory firms.	Violated the SEC’s investment adviser pay-to-play rule.	To pay penalties ranging from $35,000 to $100,000 to settle charges.	Read OSB Post
17-01-2017	BlackRock Inc.	Removed whistleblower incentives in separation agreements.	$340,000 to settle charges.	www.sec.gov/
13-01-2017	Morgan Stanley	Overbilled clients and violated custody rule.	$13 million to settle charges.	www.sec.gov/
13-01-2017	Citadel Securities LLC	Mislead clients about pricing trades.	$22.6 million to settle charges.	www.sec.gov/
12-01-2017	BNY Mellon	Deviated from regulatory capital rules.	$6.6 million to settle charges.	Read OSB Post
12-01-2017	ITG	Improper handling of ADRs	More than $24.4 million to settle charges.	Read OSB Post
09-01-2017	John W. Rafal	Defrauded a client, mislead SEC investigators, while lying to other clients.	More than $575,000 to settle charges.	www.sec.gov/
09-01-2017	Gregory T. Dean and Donald J. Fowler.	Defrauded investors.	Charges	Read OSB Post
29-12-2016	General Cable Corporation	Violations of the FCPA.	Settled charges by agreed to pay more than $75 million plus penalty.	www.sec.gov/
28-12-2016	Jason Adam Ogden	Fraudulent EB-5 Offering.	Settled charges by greed to pay back the amount he misused plus interest and a penalty.	www.sec.gov/
27-12-2016	Emilio Francisco	Stealing Investor Money.	Charges	www.sec.gov/
27-12-2016	Iat Hong, Bo Zheng and Hung Chin.	Trading on Hacked Nonpublic Information.	Charges	Read OSB Post
21-12-2016	Naris Chamroonrat and Adam L. Plumer.	Defrauding Investors.	Charges	Read OSB Post
21-12-2016	Navnoor Kang, Gregg Schonhorn and Deborah Kelley.	Pay-to-Play Scheme.	Charges	www.sec.gov/
20-12-2016	Morgan Stanley & Co. LLC	Customer Protection Rule Violations.	$7.5 million to settle charges.	www.sec.gov/
19-12-2016	Mark Nordlicht and the Platinum funds.	Defrauding Investors.	Charges	www.sec.gov/
16-12-2016	Deutsche Bank	Misled clients about Order Router.	$37 million to settle charges.	www.sec.gov/
16-12-2016	Three Individuals and Broker-Dealer.	Violating Market Structure Rules.	Charges	Read OSB Post
12-12-2016	Joseph Taub and Elazar Shmalo.	Stock Manipulation Scheme.	Charges	Read OSB Post
06-12-2016	Equidate Inc.	Selling Unregistered Swaps.	$80,000	www.sec.gov/
05-12-2016	Jonathan Ly	Insider Trading.	Charges	www.sec.gov/
01-12-2016	PIMCO	Misleading Investors.	Nearly $20 million.	Read OSB Post
01-12-2016	Onix Capital LLC and Alberto Chang-Rajii.	Defrauded investors.	Charges	www.sec.gov/
17-11-2016	JPMorgan Chase & Co.	To settle FCPA Charges.	$264 Million	Read OSB Post
10-11-2016	EZTD Inc.	Misleading Investors About Binary Options Profitability.	More than $1.7 million.	Read OSB Post
31-10-2016	Adrian D. Beamish	Failed Audits.	Chages	www.sec.gov/
31-10-2016	PKF O’Connor Davies and Domenick F. Consolo.	Issued fraudulent Audit Reports.	$380,000 and $100,000 for the firm and $75,000 for the partner.	www.sec.gov/
27-10-2016	Marc D. Broidy	Fraudulently Overbilled Clients, Stole Assets for Personal Expenses.	Charges	Read OSB Post
24-10-2016	Embraer S.A.	To settle FCPA Charges.	$205 Million	Read OSB Post
21-10-2016	James C. Cope	Insider Trading.	Charges	Read OSB Post
20-10-2016	FMC Technologies, Jeffrey Favret and Steven Croft.	Accounting Violations.	$2.5 million for FMC Technologies, Favret to pay a $30,000 and Croft to pay a $10,000.	Read OSB Post
18-10-2016	Bank Leumi	Conducted Unregistered U.S. Cross-Border Business.	$1.6 million	Read OSB Post
18-10-2016	Ernst & Young	Audit Failures.	$11.8 Million	www.sec.gov/
13-10-2016	Forcerank LLC	Illegally offering complex derivatives products to retail investors.	$50,000	Read OSB Post
13-10-2016	Artis Capital Management and Michael W. Harden.	Failed to Prevent Insider Trading.	Artis to pay nearly $9 million and Harden to pay a $130,000 and to be suspended.	www.sec.gov/
12-10-2016	Deutsche Bank	Failed to Properly Safeguard Research Information.	$9.5 million	Read OSB Post
05-10-2016	Credit Suisse AG	Misrepresenting Performance Metric.	$90 million	Read OSB Post
04-10-2016	Laurence I. Balter and Oracle Investment Research.	Cherry-Picking and Misleading Clients.	Fraud Charges.	www.sec.gov/
29-09-2016	Robert Gadimian	Insider trading.	Charges	www.sec.gov/
29-09-2016	Och-Ziff Capital Management Group	To settle charges of violating the FCPA.	Nearly $200 million.	www.sec.gov/
28-09-2016	Peruvian Traders	Insider trading.	Charges	www.sec.gov/
28-09-2016	UBS Financial Services	Failures in Sale of Complex Products to Retail Investors.	More than $15 million.	www.sec.gov/
27-09-2016	Weatherford International	Accounting Fraud.	$140 million	Read OSB Post
26-09-2016	Craig V. Sizer and Miguel Michael Mesa.	Fraud	They both agreed to be barred.	www.sec.gov/
26-09-2016	Merrill Lynch	Trading Controls Failures.	$12.5 million	Read OSB Post
21-09-2016	Sheldon R. Rose	Fraud	Agreed to settle the charges, barred and monetary sanctions will be determined.	www.sec.gov/
21-09-2016	Leon Cooperman	Insider Trading.	Charges	www.sec.gov/
13-09-2016	Manuel E. Jesus and Wealthpire Inc.	To Settle Stock Newsletter Fraud Charges.	Nearly $1.5 million.	Read OSB Post
09-09-2016	BOK Financial sunsibdiary	Turning Blind Eye to Investment Scheme.	More than $1.6 million	Read OSB Post
08-09-2016	Raymond James & Associates and Robert W. Baird & Co.	Compliance Failures.	Charges	Read OSB Post
01-09-2016	Donald Watkins, Watkins Pencor LLC and Masada Resource Group LLC.	Defraud professional athletes and other investors.	Charges	www.sec.gov/
31-08-2016	RBC Capital Markets LLC	Proxy Statement Disclosure Violations.	$2.5 million	www.sec.gov/
26-08-2016	Enviro Board Corporation, Glenn Camp and William Peiffer.	Defraud investors.	Charges	www.sec.gov/
25-08-2016	13 investment advisory firms.	Advertising False Performance Claims.	Penalties range from $100,000 to a half-million dollars.	Read OSB Post
24-08-2016	71 Municipal Issuers.	Violations in municipal bond offerings.	Enforcement actions. The parties settled the actions.	www.sec.gov/
23-08-2016	Apollo Global Management	Disclosure and Supervisory Failures.	Charges	Read OSB Post
16-08-2016	Health Net Inc.	Violated federal securities laws.	$340,000	www.sec.gov/
16-08-2016	Edwin Chin	Misled customers.	$400,000	www.sec.gov/
15-08-2016	Eden Arc Capital Management and Donald Lathen.	Fraud Scheme.	Charges	www.sec.gov/
11-08-2016	Nicholas M. Mitsakos and Matrix Capital Markets.	Solicited investors.	Charges	www.sec.gov/
11-08-2016	Paul T. Rampoldi and William Scott Blythe III.	Insider Trading.	Charges	www.sec.gov/
10-08-2016	Robertson Sherman C. Vaughn Jr.	Running $10 Million Fraud.	Charges	Read OSB Post
04-08-2016	Dr. Edward Kosinski	Insider Trading.	Charges	www.sec.gov/
28-07-2016	Matthew E. White, Rodney A. Zehner, and Daniel J. Merandi.	In Case of Investor Funds Stolen.	Asset Freeze.	Read OSB Post
26-07-2016	State Street Bank and Trust Company.	Misled Custody Clients About Prices for Forex Trades.	$382.4 million	Read OSB Post
22-07-2016	Hugh Brennan III and Douglas Albert Dyer.	Ongoing Fraudulent Stock Scheme.	SEC has won a court-ordered asset freeze.	Read OSB Post
14-07-2016	RiverFront Investment Group	Failed to Clearly Disclose Additional Costs to Investors.	$300,000	www.sec.gov/
12-07-2016	Citigroup	Provided Incomplete Blue Sheet Data for 15 Years.	$7 million	Read OSB Post
24-06-2016	Four companies and eight individuals.	Oil and gas fraud.	Charges	Read OSB Post
23-06-2016	Merrill Lynch	It was responsible for misleading Investors in Structured Notes.	$10 million	www.sec.gov/
23-06-2016	Merrill Lynch	Misused Customer Cash and failed to safeguard customer securities.	$415 Million	www.sec.gov/
22-06-2016	Idris Dayo Mustapha	Account Intrusion Scheme.	Sue, court order to freeze more than $100,000 of his assets	Read OSB Post
16-06-2016	Software Executive and Three Friends.	Charged With Insider Trading.	Charges	www.sec.gov/
15-06-2016	Hedge Fund Managers and Former Government Official.	Charged in Insider Trading Scheme.	Seek disgorgement of ill-gotten gains plus interest and penalties and permanent injunctions.	Read OSB Post
08-06-2016	Ethiopia’s Electric Utility	Sold Unregistered Bonds in U.S.	Nearly $6.5 million.	www.sec.gov/
08-06-2016	Morgan Stanley	Failed to Safeguard Customer Data.	$1 million.	Read OSB Post
03-06-2016	Michael J. Maciocio and David P. Hobson.	Insider Trading.	Charges. 9 of the 11 have agreed to settle charges, must pay penalty and permantly barred.	www.sec.gov/
02-06-2016	Haena Park	Charged with defrauding investors.	Charges seeking a permanent injunction, return of gains and penalties.	Read OSB Post
02-06-2016	Richard W. Davis Jr.	Charged with defrauding investors.	Agreed to a settlement subject to court approval at a later date.	www.sec.gov/
31-05-2016	Jaswant Gill and Javier Rios.	Charged with operating a Ponzi scheme.	Asset freeze and charges.	www.sec.gov/
31-05-2016	First Mortgage Corporation and its executives.	Settles Charges of defraud investors.	$12.7 million to settle charges.	Read OSB Post
31-05-2016	Steven McClatchey and Gary Pusey.	Insider Trading	Charges	www.sec.gov/
13-05-2016	Jay Mac Rust and Christopher K. Brenner.	For Defrauding Escrow Clients.	Fraud charges.	www.sec.gov/
12-05-2016	Imran Husain and Gregg Evan Jaclin.	Allegedly were creating sham companies and selling them.	Fraud charges.	www.sec.gov/
06-05-2016	Louis Martin Blazer III	Defrauded Pro Athletes and Lied to SEC Examiners.	Fraud charges.	www.sec.gov/
04-05-2016	James R. Trolice and Lee P. Vaccaro.	Pocketing Investor Money.	Charges	www.sec.gov/
03-05-2016	10 individuals	Involved in schemes to trick investors.	Fraud charges.	Read OSB Post
02-05-2016	Peter D. Nunan	Settle charges that he traded on inside information.	More than a half-million dollars.	www.sec.gov/
07-04-2016	Las Vegas Sands Corp.	Violated the Foreign Corrupt Practices Act.	Agreed to pay a $9 million.	www.sec.gov/
28-03-2016	Andrew W.W. Caspersen	Defrauded two institutions.	Charges	www.sec.gov/
15-03-2016	Mark A. Jones	Operating a Ponzi scheme.	Charges, court order to freeze Jones’s assets and an order to repatriate investor funds.	www.sec.gov/
14-03-2016	Cary Lee Peterson	Made bogus claims in the company’s public filings.	Charges	www.sec.gov/
10-03-2016	Aequitas Management LLC and three top executives.	Defrauding Investors.	Charges, seeks permanent injunctions, disgorgement, monetary penalties and bars prohibitions.	www.sec.gov/
09-03-2016	Uni-Pixel Inc.	Misled Investors.	$750,000	www.sec.gov/
08-03-2016	Steven Zoernack	Accused of Hiding Criminal Past.	Fraud charges.	www.sec.gov/
07-03-2016	Rhode Island Agency and Wells Fargo.	Defrauding investors.	Charged	Read OSB Post
01-03-2016	Qualcomm	FCPA Violations.	Agreed to pay $7.5 million.	www.sec.gov/
18-02-2016	VimpelCom Ltd	FCPA Violations.	To pay more than $795 million.	www.sec.gov/
17-02-2016	Charles P. Grom	Issued Stock Rating Inconsistent With Personal View.	Agreed to pay a $100,000 penalty.	Read OSB Post
16-02-2016	Two Chinese subsidiaries of PTC Inc.	Bribed Chinese Officials.	Agree to pay more than $28 million.	www.sec.gov/
11-02-2016	Gregory Ruehle	Fraudulently selling purported stock.	Charges seeks a permanent injunction, disgorgement, prejudgment interest and penalties.	www.sec.gov/
09-02-2016	Monsanto Company	Accounting Violations.	$80 million penalty.	www.sec.gov/
05-02-2016	Dennis Wayne Hamilton	Insider Trading.	Charges	www.sec.gov/
04-02-2016	E.S. Financial Services, now named Brickell Global Markets	Broke Anti-Money Laundering Protocols.	$1 million	Read OSB Post
03-02-2016	American Growth Funding II LLC and Ralph Johnson.	Repeatedly lying to investors purchasing high-yield securities.	Fraud charges.	Read OSB Post
01-02-2016	SAP SE	Violated the Foreign Corrupt Practices Act (FCPA).	Agreed to give up $3.7 million.	www.sec.gov/
31-01-2016	Barclays and Credit Suisse.	Dark Pool Violations.	Collectively Paying More Than $150 Million.	Read OSB Post
28-01-2016	QED Benchmark Management LLC and Peter Kuperman.	Misled investors.	Agree to Reimburse Investor Losses.	www.sec.gov/
20-01-2016	Ocwen Financial Corp.	Misstated Financial Results.	$2 million penalty.	www.sec.gov/
19-01-2016	Equinox Fund Management LLC	Overcharged management fees and misled investors.	Agreed to refund investors and to pay a penalty.	Read OSB Post
14-01-2016	Goldman, Sachs & Co.	Improper Securities Lending Practices.	$15 million to settle charges.	Read OSB Post
14-01-2016	State Street Bank and Trust Company	Pay-to-Play Scheme.	Agreed to pay $12 million to settle charges.	www.sec.gov/
13-01-2016	11 Bank Officers and Directors.	Fraud	Charges. 9 of the 11 have agreed to settle charges, must pay penalty and permantly barred.	Read OSB Post
08-01-2016	Steven A. Cohen	Settle charges for failing to supervise a former portfolio manager who engaged in insider trading while employed at his firm.	Barred From Supervisory Hedge Fund Role.	Read OSB Post
06-01-2016	J.P. Morgan Securities LLC	Misled Customers on Broker Compensation.	Agreed to pay $4 million to settle charges.	Read OSB Post
28-12-2015	Zhichen Zhou and Yannan Liu	To settle an insider trading case against them.	Agreed to pay more than $920,000 for settlement.	Read OSB Post
22-12-2015	Morgan Stanley Investment Management	One of its portfolio managers unlawfully conducted prearranged trading known as “parking”.	$8.8 million for charges settlement.	Read OSB Post
21-12-2015	Donald Toomer Jr.	Market Manipulation Case.	Fraud charges.	www.sec.gov/
18-12-2015	J.P. Morgan Securities LLC and JPMorgan Chase Bank N.A.	For Disclosure Failures.	$267 Million	Read OSB Post
17-12-2015	Martin Shkreli	Committing fraud when he was working as a hedge fund manager.	Fraud Charges.	www.sec.gov/
16-12-2015	Owen Li and Canarsie Capital LLC.	Lied to Investors.	Canarsie Capital is censured and Li is barred.	www.sec.gov/
15-12-2015	Atlantic Asset Management LLC	Placed its own financial interests ahead of client interests.	Fraud Charges.	www.sec.gov/
15-12-2015	Samuel DelPresto (correct only the name)	Multi-Million Dollar Market Manipulation	Filed Charges.	Read OSB Post
07-12-2015	Hui Feng and the Law Offices of Feng & Associates.	Acted as unregistered brokers and defrauded clients.	Monetary penalties and cease and desist from acting as unregistered brokers.	www.sec.gov/
02-12-2015	Grant Thornton LLP and two of its partners.	Ignored red flags and fraud risks.	Approximately $1.5 million in audit fees and interest plus pay a $3 million penalty.	Read OSB Post
30-11-2015	Standard Bank Plc	Failing to disclose certain payments.	$4.2 million penalty.	Read OSB Post
19-11-2015	Lin Zhong and EB5 Asset Manager LLC.	Alleged Immigration Scam.	Obtained a court order freezing their assets.	www.sec.gov/
16-11-2015	Virtus Investment Advisers	Misled mutual fund investors and others.	Agreed to pay $16.5 million.	www.sec.gov/
05-11-2015	James Alan Craig	False Tweets sent two stocks reeling in market manipulation.	Charges seek a permanent injunction.	www.sec.gov/
28-10-2015	Hal Tunick and Patrick Burke.	Played favorites to double their commissions.	$125,000 and $50,000 respectively, be barred from the securities industry. Burke has a right to reapply after five years.	Read OSB Post
19-10-2015	Michael Donnelly	Admits He Stole Money From Investors.	1.9 million and prejudgment interest of $365,723 and permanently barred from the securities industry.	www.sec.gov/
19-10-2015	Two UBS Advisory Firms.	Failure to Disclose Change in Investment Strategy.	$17.5 million	Read OSB Post
14-10-2015	Six firms.	Short Selling Violations in Advance of Stock Offerings.	More than $2.5 million.	www.sec.gov/
13-10-2015	UBS AG	Made false or misleading statements and omissions.	$19.5 Million	Read OSB Post
10-10-2015	Five accountants and two audit firms.	Bad Auditing.	Suspended and collectively to pay a total of more than $100,000 to settle the SEC’s charges.	www.sec.gov/
08-10-2015	Wolverine Trading LLC and Wolverine Asset Management LLC.	Failed to prevent the misuse of material nonpublic information.	Affiliates to pay penalties of $375,000 each and Wolverine Asset Management will pay disgorgement of $403,304.27.	www.sec.gov/
08-10-2015	Briargate Trading LLP and Eric Oscher.	Manipulative Trading.	Agreed to pay more than $1 million.	www.sec.gov/
07-10-2015	Blackstone	Disclosure Failures.	Pay Nearly $39 Million Settlement.	Read OSB Post
05-10-2015	Home Loan Servicing Solutions Ltd.	Misstatements and Inadequate Internal Controls.	Agreed to pay a $1.5 million penalty and cease and desist from other violations.	www.sec.gov/
05-10-2015	Bristol-Myers Squibb	FCPA Violations.	Pay more than $14 million for settlement and reaped more than $11 million in profits.	www.sec.gov/
01-10-2015	Steve Chen and 13 California-based entities.	Worldwide pyramid scheme.	Fraud charges and asset freezes.	Read OSB Post
01-10-2015	Grant Thornton India LLP and Grant Thornton Audit Pty Limited.	Violating Auditor Independence Rules.	GT India agreed to pay $187,882 GT Audit agreed to pay disgorgement of $177,203.	Read OSB Post
30-09-2015	David P. Godwin and Anthony G. Roth	Defrauding Investors in Financial Fraud Scheme.	The two individuals charged and ContinuityX agreed to a revokation.	www.sec.gov/
30-09-2015	Focus Media Holding Limited and Jason Jiang.	Inaccurate Disclosures.	$55.6 million settlement.	www.sec.gov/
30-09-2015	Latour Trading LLC	Market Structure Rule Violations.	Pay More Than $8 Million.	www.sec.gov/
29-09-2015	UBS Puerto Rico and Two Individuals.	Failing to supervise a former broker.	Agreed to pay $15 million and the former branch officer agreed to pay a $25,000.	www.sec.gov/
28-09-2015	Trinity Capital Corporation and Los Alamos National Bank.	Accounting Fraud.	Agreed to pay $1.5 million.	www.sec.gov/
28-09-2015	Credit Suisse Securities (USA) LLC	Submited deficient information to the agency.	$4.25 Million and Provide Deficient “Blue Sheet” Trading Data.	Read OSB Post
28-09-2015	Five persons including two lawyers and an accountant.	Insider Trading.	Collectively agreed to pay approximately $489,000.	www.sec.gov/
28-09-2015	Hitachi Ltd	Violating the Foreign Corrupt Practices Act.	Agreed to pay $19 million.	www.sec.gov/
24-09-2015	Michael A. Glickstein and G Asset Management LLC.	Manipulative Press Release.	Settlement to returnn $175,000, pay $100,000 and be barred from the securities industry for a minimum of five years.	www.sec.gov/
23-09-2015	William B. Fretz, Jr. and John “Jack” P. Freeman.	Defrauding Friends And Family In Private Equity Fund.	Settlement that they will owe approximately $6.8 million to the SEC.	www.sec.gov/
22-09-2015	R.T. Jones Capital Equities Management	Failed to adopt proper Cybersecurity Policies and procedures prior to a Breach.	Agreed to be censured and pay a $75,000 penalty.	www.sec.gov/
21-09-2015	Frank Morelli III and Louis Buonocore.	They were behind a scheme that defrauded investors.	Charged with partial settlements that are subject to court approval.	www.sec.gov/
21-09-2015	First Eagle Investment Management and its Distributors.	Improperly Using Mutual Fund Assets to Pay Distribution Fees.	Nearly $40 million.	www.sec.gov/
17-09-2015	Terry L. Johnson	Performed deficient and fraudulent audits and quarterly reviews.	Suspended him from appearing or practicing before the Commission, ordered to disgorge his audit fees and $50,000 penalty.	www.sec.gov/
17-09-2015	Four former officials of Penson Financial Services	Accounting and disclosure failures.	Agreed to pay respectively $100,000, $25,000, $25,000, $25,000 penalty. Suspensions from securities industry for three of them.	www.sec.gov/
14-09-2015	Jaspen Capital Partners Limited and CEO Andriy Supranonok.	Profited on Hacked News Releases.	$30 million	Read OSB Post
10-09-2015	Benjamin Wey, New York Global Group his family members and business associates.	Cross-Border Scheme to Secretly Control and Manipulate Stock of Chinese Companies.	Fraud Charges.	www.sec.gov/
09-09-2015	Paul Ricky Mata, David Kayatta, and Mario Pincheira.	Accused of Stealing Investor Money.	Seeking financial penalties.	www.sec.gov/
09-09-2015	BDO and Five Partners.	Issued False and Misleading Audit Opinions.	Pay $600,000 disgorgement, $1.5 million penalty, complying with undertakings related to its quality controls and the five partners also agreed to settle the charges against them.	Read OSB Post
08-09-2015	Ross Shapiro, Michael Gramins and Tyler Peters.	Defrauding Investors.	Defer charges.	Read OSB Post
08-09-2015	Bankrate Inc., Edward DiMaria, Matthew Gamsey and Hyunjin Lerner.	Accounting Fraud.	$15 million and Lerner agreed to pay more than $180,000.	www.sec.gov/
04-09-2015	Chris Yoo, Summit Asset Strategies Investment Management and Summit Asset Strategies Wealth Management.	Taking Unearned Management Fees.	All agreed to pay a total fine of more than $1.300.000 and Yoo agreed to be barred from the securities industry.	Read OSB Post
02-09-2015	Taberna Capital Management	Fraud for Improperly Retaining Fees.	Pay more than $21 million.	www.sec.gov/
02-09-2015	James M. Louks and FiberPoP Solutions Inc.	Allegations for defrauding investors.	Following SEC Complain, Court issued an order barring Louks and FiberPoP raising more investor funds while the SEC’s case is ongoing.	www.sec.gov/
25-08-2015	Ashish Aggarwal, Shahriyar Bolandian and Kevan Sadigh.	Insider Trading in Advance of Client Deals.	Seeks a final judgment for their penalty fine.	Read OSB Post
25-08-2015	Lobsang Dargey and his “Path America” companies.	Defrauding Chinese investors seeking U.S. residency.	Asset Freeze.	Read OSB Post
19-08-2015	Citigroup Global Markets	Compliance and Surveillance Failures.	$15 million	Read OSB Post
18-08-2015	BNY Mellon	Violated the Foreign Corrupt Practices Act.	$14.8 million	Read OSB Post
17-08-2015	CItigroup Global Markets Inc. and Citigroup Alternative Investments LLC.	Defrauded investors in two hedge funds.	$180 Million	Read OSB Post
13-08-2015	James R. Glover, Sherman T. Hill and Cory D. Williams.	Defrauded Investors.	Settle Charges.	www.sec.gov/
13-08-2015	Edward Jones	Overcharging Retail Customers in Municipal Bond Underwritings.	$20 Million	Read OSB Post
12-08-2015	ITG Inc. and AlterNet Securities.	Operated a secret trading desk and misused the confidential trading information of dark pool subscribers.	$20.3 million	Read OSB Post
11-08-2015	32 defendants	Took part in a scheme to profit from stolen nonpublic information.	SEC seeks a final judgment ordering the defendants to pay penalties.	Read OSB Post
10-08-2015	Guggenheim Partners Investment Management LLC	Breached its fiduciary duty by fail to Disclose Conflict to Clients.	$20 million	www.sec.gov/
03-08-2015	Frederick Alan Voight	Operating a million Ponzi scheme that defrauded investors.	Asset freezes and other emergency relief, and to pay civil penalties and return allegedly ill-gotten gains with interest in amounts to be set later by the court.	www.sec.gov/
23-07-2015	Scott A. Eisler, Arthur W. Lewis, and Robert Okin.	Involved in Unregistered Sales of Penny Stocks.	$50,000, $50,000 and $125,000 respectiively and all be barred from engaging in in sectors of securities industry.	www.sec.gov/
21-07-2015	Joshua Samuel Aaron, Gery Shalon and Zvi Orenstein.	Defrauding investors.	SEC is seeking to bar them from the penny stock business and obtain their ill-gotten gains plus interest and financial penalties.	www.sec.gov/
16-07-2015	Paul Lee Moore and Coast Capital Management.	Steal Client Funds and Conducting a Ponzi Scheme	SEC seeks a permanent injunction, return of allegedly ill-gotten gains plus prejudgment interest and a penalty.	Read OSB Post
14-07-2015	OZ Management LP	Provided inaccurate trade data to brokers.	$4.25 million	Read OSB Post
06-07-2015	Bingqing Yang and Luca International Group			www.sec.gov/
02-07-2015	DFRF Enterprises and its operators	Operating a Ponzi and pyramid scheme. All defendants violated the antifraud provisions of Section 17(a) of the Securities Act of 1933 and Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder, and registration provisions Section 5(a) and 5(c) of the Securities Act.	Fraud charges	www.sec.gov/
01-07-2015	Deloitte & Touche LLP	Violating Auditor Independence Rules	More than $1 million	www.sec.gov/
01-07-2015	Malcolm Segal	Conducting a Ponzi scheme and stealing investor money.		www.sec.gov/
01-07-2015	AlphaBridge Capital Management, its owners Thomas T. Kutzen and Michael J. Carino and Richard L. Evans, a broker-dealer representative.	Conducting Fraudulent Fund Valuation Scheme	$5 million combined and Richard L. Evans to pay a $15,000 penalty and be barred from working in the securities industry for at least one year.	www.sec.gov/
30-06-2015	Goldman, Sachs & Co.	Violating the market access rule in connection with a trading incident that resulted in erroneous executions of options contracts.	$7 million	www.sec.gov/
29-06-2015	Welhouse & Associates Inc. and its owner Mark P. Welhouse	Improperly allocating to his personal and business accounts certain options trades that appreciated in value during the course of a trading day while allocating to his clients other trades that depreciated in value.	Fraud Charges	www.sec.gov/
29-06-2015	Kohlberg Kravis Roberts & Co. (KKR)	Misallocating Broken Deal Expenses	To pay nearly $30 million to settle the charges, including a $10 million penalty.	www.sec.gov/
23-06-2015	Gregg R. Mulholland	Illegally Selling Penny Stock Shares		www.sec.gov/
23-06-2015	Haijian Luo	Suspicious Trading Activity	SEC Obtains an emergency court order to freeze his Assets	www.sec.gov/
23-06-2015	Ireeco LLC and its successor Ireeco Limited	Unregistered Brokers in EB-5 Immigrant Investor Program	Agreed to be censured and to cease and desist from committing or causing similar violations in the future. They also agreed to administrative proceedings to determine whether they should be ordered to return their allegedly ill-gotten gains, pay penalties, or both based on their violations.	www.sec.gov/
18-06-2015	Norstra Energy and its CEO Glen Landry	Defrauding Investors	Fraud Charges and seeks final judgments ordering permanent injunctions, return of allegedly ill-gotten gains with interest, and financial penalties. The SEC also seeks to bar Landry from serving as an officer or director of a public company or participating in a penny stock offering.	www.sec.gov/
18-06-2015				www.sec.gov/
17-06-2015	Commonwealth Capital Management and the firm’s majority owner John Pasco III			www.sec.gov/
17-06-2015	Sand Hill Exchange	Illegal Offering of Security-Based Swaps	$20,000	www.sec.gov/
17-06-2015	Interinvest Corporation and its owner and president Hans Peter Black	Fraudulently Funneling Client Assets to Companies in Owner’s Interest	Repay allegedly ill-gotten gains with interest and penalties.	www.sec.gov/
16-06-2015	Equity Trust Company, Ephren Taylor and Randy Poulson	Alleges that Taylor and Poulson defrauded more than 100 investors out of $5 million invested through accounts at Equity Trust, and that Equity Trust was a cause of violations of Section 17(a) of the Securities Act of 1933 by Taylor and Poulson.	The matter will be scheduled for a public hearing before an administrative law judge for proceedings to adjudicate the Enforcement Division’s allegations and determine what, if any, remedial actions are appropriate.	www.sec.gov/
15-06-2015	SFX Financial Advisory Management Enterprises, its former president Brian J. Ourand and its CCO Eugene S. Mason	Brian J. Ourand misused his discretionary authority and control over the accounts of several clients to steal approximately $670,000 over a five-year period.	The matter will be scheduled for a public hearing before an administrative law judge for proceedings to adjudicate the Enforcement Division’s allegations and determine what, if any, remedial actions are appropriate. SFX and Mason agreed to pay penalties of $150,000 and $25,000 respectively.	www.sec.gov/
15-06-2015	Helmut Anscheringer	Insider Trading Charges	Pay disgorgement of $1,820,024, prejudgment interest of $121,732, and a penalty of $910,012 for a total of $2,851,768.	www.sec.gov/
10-06-2015	Nicholas Lattanzio, Black Diamond Capital Appreciation Fund, and three other Lattanzio-controlled entities	Theft of Money Invested by Small Businesses	Criminal charges	www.sec.gov/
09-06-2015	Michael J. Fefferman, Michael J. Fefferman, Akis C. Eracleous	Insider Trading on Nonpublic Information		www.sec.gov/
09-06-2015	Andrew L. Evans	Short Selling Violations	Settlement, which is subject to court approval, requires Evans to pay disgorgement of $582,175, prejudgment interest of $63,424, and a penalty of $364,389 for a total of $1,009,988.	www.sec.gov/
05-06-2015	Accounting Fraud			www.sec.gov/
04-06-2015	Review again			www.sec.gov/
03-06-2015	Steven Fishoff, Steven Costantin, Ronald Chernin, Paul Petrello	Insider Trading		www.sec.gov/
01-06-2015	Phil Donnahue Williamson	Defrauding investors	Liable for $748,050.01 in disgorgement	www.sec.gov/
01-06-2015	Merrill Lynch	Used inaccurate data in the course of executing short sale orders	$9 million penalty, $1,566,245.67 in disgorgement, and $334,564.65 in prejudgment interest.	www.sec.gov/
28-05-2015	Mike Taxon and Itamar Cohen	Conducted Market Manipulation Schemes	Monetary sanctions to be determined by the court at a later date. Bar from participating in penny stock offerings.	www.sec.gov/
28-05-2015	William Quigley, Compliance Director	Defrauding Investors and Stealing Brokerage Firm Assets		www.sec.gov/
26-05-2015	Adam S. Gottbetter , NY lawyer and Mitchell G. Adam and K. David Stevenson	Used his office as the headquarters for planning and implementing market manipulation schemes and the other two stock promoters who helped him	Fraud charges for violating Sections 5(a), 5(c) and Section 17(a) of the Securities Act of 1933, Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5.	www.sec.gov/
26-05-2015	Deutsche Bank AG	Filed misstated financial reports during	$55 million penalty	Read OSB Post
21-05-2015	Gray Financial Group,Laurence O. Gray and Robert C. Hubbard IV	Sold unsuitable investments to pension funds	Fraud charges for violating Section 17(a) of the Securities Act of 1933, Section 10(b) of the Exchange Act of 1934 as well as Rule 10b-5, and Sections 206(1), 206(2) and 206(4) of the Investment Advisers Act of 1940 as well as Rule 206(4)-8, and also Section 17(a)(1) and (3) of the Securities Act, Section 10(b) of the Exchange Act, and Rule 10b-5(a) and (c)	www.sec.gov/
20-05-2015	Arjent LLC, Arjent Limited	Misrepresented to investors the value of assets and how their money would be used to a Company which they sold shares	Fraud charges for violating the antifraud and books-and-records provisions of the federal securities laws	Read OSB Post
20-05-2015	BHP Billiton	Violated the Foreign Corrupt Practices Act (FCPA)	$25 million penalty	www.sec.gov/
14-05-2015	Sean R. Stewart, Robert K. Stewart	Insider trading scheme	Charges for violations of the antifraud provisions of the federal securities laws	www.sec.gov/
14-05-2015	Nationwide Life Insurance Company	Violations in pricing rules	$8 million penalty	www.sec.gov/
12-05-2015	ITT Educational Services Inc ,Kevin Modany,Daniel Fitzpatrick review	Falsy claiming performance of student loans that ITT financially guaranteed	Fraud charges	www.sec.gov/
11-05-2015	Novers Financial and ICAN Investment Group LLC,Speers Financial Group LLC	The first one made false claims to investors in life settelements and the other two for acting as unregistered broker-dealers	Injunctive relief, return of allegedly ill-gotten gains with interest, and financial penalties	www.sec.gov/
06-05-2015	Four former officers of Wilmington Trust	Intentionally understating past due bank loans	Fraud charges for violating the antifraud, reporting, recordkeeping, and internal control provisions of the federal securities laws	www.sec.gov/
29-04-2015	Santa Barbara, Calif.-based hedge fund advisory firm, two executives and audit advisor	Executives for imporper allocations of fund assets and the auditor for misleading financial statements	Executives:$698,450, Auditor:$75,000	www.sec.gov/
22-04-2015	W2007 Grace Acquisition I Inc.	Failed to make required public filings	$640,000	www.sec.gov/
20-04-2015	BlackRock Advisors LLC	Failed to disclose a conclift of interest to client and fund boards	$12 million penalty	www.sec.gov/
16-04-2015	10 Individuals	Offered and sold penny stock in undisclosed "blank check" companies	Fraud charges for:violating the antifraud, reporting, recordkeeping, and internal control provisions of the federal securities laws and laws which prohibit registration and sale of stock in blank , still in progresscheck companies	www.sec.gov/
16-04-2015	New York-Based Financial Advisor	Stole $20 Million from customers	Fraud charges for violations of Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 as well as Sections 206(1) and 206(2) of the Investment Advisers Act of 1940,still in progress	www.sec.gov/
14-04-2015	Leroy Brown Jr.,Investment fraud, review	Falsely guaranteed investors	Financial penalties and disgorgement of ill-gotten gains, permanent injunctive relief, freeze of assets	www.sec.gov/
09-04-2015	Katsuichi Fusamae,Accounting Executive Officer at Molex Japan Co.	Trading losses and manipulated accounting records	Fraud charges for violating Section 13(a), 13(b)(2)(A), and 13(b)(2)(B) of the Exchange Act and Rules 12b-20, 13a-1, and 13a-13, sections 10(b) and 13(b)(5) of the Securities Exchange Act of 1934 and Rules 10b-5 and 13b2-1	www.sec.gov/
09-04-2015	Dean A. Esposito of Boca Raton, Fla., Joseph DeVito of Brooklyn, N.Y., and Frederick Birks of Orlando, Fla brokers hired by eCareer Holdings, Inc	Tried to conceal from investors that they have been barred from the industry, sold unregistered stock shares	Fraud charges and asset freeze for violating Sections 5(a), 5(c) and 17(a) of the Securities Act of 1933 as well as Section 10(b) of the Securities Exchange Act of 1934 along with Rule 10b-5 and Section 13(a) of the Exchange Act and Rules 12b-20, 13a-1, and 13a-13	www.sec.gov/
08-04-2015	Review			www.sec.gov/
07-04-2015	Pacific West Capital Group Inc., Andrew B. Calhoun IV	Fraud in the sales of life settelements	Charges for violating the antifraud, securities registration, and broker-dealer registration provisions of the federal securities laws	www.sec.gov/
07-04-2015	Review			www.sec.gov/
02-04-2015	Amit Kanodia and Iftikar Ahmed	Illegally profited from insider trading on news of a proposed acquisition of Cooper Tire and Rubber Company by Apollo Tyres Ltd.	Charges for violating federal anti-fraud laws	www.sec.gov/
01-04-2015	Timothy Scronce	Defrauded a publicly-traded telecommunications company and its shareholders during and after its acquisition of his business	Charges for violated the anti-fraud, books and records, and internal controls provisions of the Securities Exchange Act of 1934	www.sec.gov/
01-04-2015	KBR Inc.	Violated whistleblower protection Rule 21F-17 enacted under the Dodd-Frank Act	$130,000 penalty	www.sec.gov/
31-03-2015	Polycom Inc	Used corporate funds for personal perks that were not disclosed to investors	$750,000	www.sec.gov/
30-03-2015	Lynn Tilton and Patriarch Partners firms	Hided poor performance of loan assets in three collateralized loan obligation (CLO) funds	Charges for violatios of Sections 206(1), 206(2), and 206(4) of the Investment Advisers Act of 1940 and Rule 206-4(8)	www.sec.gov/
27-03-2015	Macquarie Capital (USA) Inc.	False information regarding Company's offering material	$15 million	www.sec.gov/
26-03-2015	AGS Capital Group,Banes Capital Management,Big Star Capital,Esso Ventures,Etek Investment Management,Finmark Resources,Parker Paschal & Company,PMK Capital Management,RLJ Fixed Income,Joseph Michael Araiz	Bought and sold securities of behalf of unregistered trading firm	$500,000 penalty, each corporate participant agreed to pay a $50,000 penalty, and each individual participant agreed to pay a $5,000 penalty	www.sec.gov/
13-03-2015	Berjaya Lottery Management (H.K.) Ltd.,Ciabattoni Living Trust; SMP Investments I, LLC; Anthony J. Ciabattoni; Jane G. Ciabattoni; William A. Houlihan; and Brian Potiker;Shuipan Lin	Failed to update their stock ownership disclosures to reflect material changes	Berjaya Lottery Management (H.K.) Ltd.:$75,000 penalty, Ciabattoni Living Trust and the Ciabattonis:$75,000 penalty, SMP Investments I, LLC:$63,750 penalty,Houlihan:$15,000 penalty, Shuipan Lin:$30,000 penalty	www.sec.gov/
04-03-2015	H.D. Vest Investment Securities	For violations on key customer protection rules	$225,000 penalty	www.sec.gov/
02-03-2015	Suspends 128 Dormant Shell Companies	Not to become don’t become a source for pump-and-dump schemes- Operation Shell-Expel		www.sec.gov/
27-02-2015	Gregory W. Gray Jr. and firms Archipel Capital LLC and BIM Management LP	Fraudulently using money from three investment funds, Ponzi-like scheme	Charges for violations on Section 17(a) of the Securities Act of 1933, Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5, and Sections 206(1), 206(2), and 206(4) of the Investment Advisers Act of 1940 and Rule 206(4)-8	www.sec.gov/
24-02-2015	Goodyear Tire & Rubber Company review	Violations on Foreign Corrupt Practices Act (FCPA)	more than $16 million	www.sec.gov/
19-02-2015	Scott Zeringue, Jesse Roberts III	Insider trading charges for trading securities based on confidential information	Charges for violations of the antifraud provisions of the federal securities laws.	www.sec.gov/
19-02-2015	VCAP Securities, Brett Thomas Graham	Deceived other market participants while conducting auctions to liquidate collateralized debt obligations (CDOs)	nearly $1.5 million, Graham barred, VCAP:pay disgorgement and prejudgment interest of $1,149,599 ,Graham : pay disgorgement and prejudgment interest of $127,733 plus a penalty of $200,000	www.sec.gov/
18-02-2015	Kristine L. Johnson , Troy A. Barnes	Pyramid and Ponzi scheme, Manipulated investors with a program which promised them extraordinary returns		www.sec.gov/
13-02-2015	Moazzam “Mark” Malik	Stole money from his investors	Charges for violating Sections 5(a), 5(c) and 17(a) of the Securities Act of 1933, and Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 and Sections 206(1), 206(2) and 206(4) of the Investment Advisers Act of 1940 and Rule 206(4)-8	www.sec.gov/
12-02-2015	Water Island Capital LLC	Maintainedmillions of dollars of funds’ cash collateral at broker-dealer counterparties instead of the funds’ custodial bank	$50,000 penalty	www.sec.gov/
11-02-2015	Charles L. Hill Jr	Insider trading in the stoch of a technology by exploiting nonpublic information	Charges for violations on Section 14(e) of the Securities Exchange Act of 1934 and Rule 14e-3	www.sec.gov/
10-02-2015	William Slater, Peter E. Williams III	Their Silicon Valey software company committed accounting fraud	Reimburse the company $2.5 million in bonuses and stock profits	www.sec.gov/
10-02-2015	Craig S. Lax ,former CEO of ConvergEx Group	Admited wrongdoing to settle a case involving employees under his control misleading customers.	more than $783,000	www.sec.gov/
06-02-2015	Deloitte Touche Tohmatsu Certified Public Accountants Limited, Ernst & Young Hua Ming LLP, KPMG Huazhen (Special General Partnership), and PricewaterhouseCoopers Zhong Tian CPAs Limited Company	Refused to provide workpapers and related documents in connection with their audit work for nine China-based companies that had securities registered in the U.S	$500,000	www.sec.gov/
05-02-2015	Broadwind Energy,Cameron Drecoll, Stephanie K. Kushner	Accounting and disclosure violations	Nearly $700,000 in combined disgorgement and penalties	www.sec.gov/
05-02-2015	John Gray,Christian Keller,Kyle Martin, Aaron Shepard	Illegal profits by trading in advance of four corporate news announcements	$1.6 million combined	www.sec.gov/
29-01-2015	International Capital Group (ICG)	Illigally sold penny stock Shares as unregistered broker-dealer	$4.3 million	www.sec.gov/
27-01-2015	Oppenheimer & Co.	Improperly selling penny stocks in unregistered offerings.	$10 million and additional $10 million to settle a parallel action by FinCEN.	Read OSB Post
21-01-2015	Elm Tree Investment Advisors LLC, Frederic Elm and Elm Tree Investment Fund LP.	Violating anti-fraud provisions.	Asset freeze and seeking relief for investors.	Read OSB Post
21-01-2015	Standard & Poor’s	Law violations involving fraudulent misconduct in its ratings.	$58 million plus an additional $19 million to settle parallel cases.	Read OSB Post
15-01-2015	UBS Securities LLC	Disclosure failures and other securities law violations related to the operation and marketing of its dark pool.	$2,240,702.50 in disgorgement, $235,686.14 in prejudgment interest and $12 million penalty.	Read OSB Post
12-01-2015	Direct Edge Exchanges	Failing to Properly Describe Order Types.	$14 million	Read OSB Post

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