charges

sec

The Securities and Exchange Commission charges 13 private fund advisers

04/06/2018(0)
The Securities and Exchange Commission today announced settlements with 13 registered investment advisers who repeatedly failed to provide required information that the agency uses to monitor risk. According to ... Read More
cftc-logo

J.P. Morgan Securities ordered to pay $900,000

12/01/2017(0)
The U.S. Commodity Futures Trading Commission (CFTC) today issued an Order filing and settling charges against J.P. Morgan Securities LLC (JPMS), a Delaware corporation headquartered in New York City, ... Read More
Securities Exchange Commission

SEC: Israeli-based Bank Leumi has agreed to pay $1.6 million to settle charges

19/10/2016(0)
SEC Charges Bank Leumi With Conducting Unregistered U.S. Cross-Border Business The Securities and Exchange Commission today announced that Israeli-based Bank Leumi has agreed to pay $1.6 million and admit ... Read More
Securities Exchange Commission

BOK Financial, Senior Executive Charged With Turning Blind Eye to Investment Scheme

12/09/2016(0)
The Securities and Exchange Commission today announced that a subsidiary of Oklahoma-based BOK Financial Corporation has agreed to pay more than $1.6 million to settle charges that it concealed ... Read More
Securities Exchange Commission

Two investment firms charged with compliance failures

09/09/2016(0)
The Securities and Exchange Commission announced that two investment advisory firms are settling charges related to compliance failures within their wrap fee programs. SEC investigations found that St. Petersburg, Fla.-based ... Read More
finra-hdqrtrs_0

FINRA fined MetLife Securities, Inc. $25 Million

04/05/2016(0)
Largest FINRA Fine Relating to Variable Annuities The Financial Industry Regulatory Authority (FINRA) announced today that it has fined MetLife Securities, Inc. (MSI) $20 million and ordered it to ... Read More
vodafone

Which mobile phone provider is the most complained-about?

31/03/2016(0)
Vodafone’s new billing system sends customer grievances soaring while Tesco Mobile had fewest complaints Vodafone has become the most complained-about mobile phone provider after the introduction of a new billing ... Read More
SEC

SEC Charges Direct Edge Exchanges With Failing to Properly Describe Order Types

13/01/2015(0)
The Securities and Exchange Commission today announced that two exchanges formerly owned by Direct Edge Holdings and since acquired by BATS Global Markets have agreed to pay a $14 ... Read More
audit

Hong Kong-based audit firm and two accountants charged by SEC

18/12/2014(0)
The Securities and Exchange Commission imposed sanctions against a Hong Kong-based audit firm and two accountants for failing to properly audit year-end financial statements of a company that the SEC ... Read More
law_firms

SEC Charges Stockbroker and Law Firm Managing Clerk

20/03/2014(0)
The Securities and Exchange Commission charged a stockbroker and a managing clerk at a law firm with insider trading around more than a dozen mergers or other corporate transactions ... Read More
Broker Cyprus TopFX