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Interactive-Brokers-Fang-Li

Interactive Brokers Japan fined JPY 20 million

26/01/2017(0)
Japan Exchange Regulation (hereinafter “JPX-R”) has inspected Interactive Brokers Securities Japan,Inc. (hereinafter “the Company”) and deemed that there was insufficient trading management to prevent acceptance of orders, etc., which ... Read More
Facebook

Facebook Faces EU Scrutiny Over WhatsApp Purchase

21/12/2016(0)
The European Union on Tuesday accused Facebook Inc. of giving “incorrect or misleading information” to investigators who were probing its purchase of chat app WhatsApp in 2014, a surprise ... Read More
dfs-investigation

Bank fined $215 Million by DFS for violating Anti Money Laundering Laws

07/11/2016(0)
DFS Investigation Uncovers Intentional Actions to Obscure U.S. Dollar Clearing Transactions, Including Counterfeit and Falsified Invoices involving China and Russia and Omission of Information Regarding Possible U.S. Dollar Trades ... Read More
nfa log

UK located commodity pool operator and commodity trading advisor ordered to pay a $60,000 fine

07/11/2016(0)
NFA orders London, England, commodity pool operator and commodity trading advisor The Cambridge Strategy Asset Management Limited to pay $60,000 fine National Futures Association (NFA) has ordered The Cambridge Strategy ... Read More
nfa log

NFA permanently bars introducing broker

05/10/2016(0)
National Futures Association (NFA) has permanently barred Chicago, Ill., introducing broker Vankar Trading Corp. (Vankar) from membership and from acting as principal of an NFA Member. In addition, NFA has barred John ... Read More
cftc-logo

CFTC announced a fine of $940,000 to a commodity futures trader for fraud

07/06/2016(0)
The U.S. Commodity Futures Trading Commission (CFTC) today announced that Judge William J. Zloch of the U.S. District Court for the Southern District of Florida (Fort Lauderdale) entered an ... Read More
Alstom

Alstom Gets Break on Fine

02/02/2015(0)
Court Granted Delay in $772 Million Payment Because of Possible Business Impact When the U.S. Justice Department announced a record $772 million foreign-bribery settlement with Alstom SA in December, ... Read More
Moody’s Investors Service logo

Moody’s appeals Hong Kong regulator’s penalty for report on mainland firms

09/01/2015(0)
Moody’s Investors Service began an appeal Thursday against a decision by the Hong Kong Securities and Futures Commission to fine the company HK$23 million (roughly US$3 million) for breaching ... Read More
finra1

FINRA Fines Pershing LLC $3 Million for Customer Protection Rule Violations and Supervisory Failures

30/12/2014(0)
The Financial Industry Regulatory Authority (FINRA) announced today that it has censured and fined Pershing LLC $3 million for violating the Customer Protection Rule and for related supervisory failures. ... Read More
ASIC logo

Former financial adviser jailed for two years

21/11/2014(0)
A former Perth-based financial adviser today was jailed for two years for stealing almost $1.5 million worth of shares. Todd Michael King was sentenced to two years jail and ... Read More
Broker Cyprus TopFX