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fines

finra1

FINRA Fines Wells Fargo Advisors and Wells Fargo Advisors Financial Network $1.5 Million for Anti-Money Laundering Failures

19/12/2014(0)
Firms Failed to Subject Over 200,000 New Accounts to Identity Verification The Financial Industry Regulatory Authority (FINRA) today announced that it has ordered two St. Louis-based broker-dealers under common ... Read More
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Company not registered with the CFTC as a Retail Foreign Exchange Dealer ordered to pay over $2.5 Million in Monetary Sanctions

17/12/2014(0)
The U.S. Commodity Futures Trading Commission (CFTC) today announced that the Honorable Ronnie L. White of the U.S. District Court for the Eastern District of Missouri entered a Consent ... Read More
HK stock MARKET

U.S. stocks slip from records; oil falls

13/11/2014(0)
U.S. equity prices edged off record highs on Wednesday led by weakness in the financial sector after six global banks were fined a total of $4.3 billion for currency ... Read More
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Levine on Wall Street: Revenue Models

12/06/2014(0)
Is Uber’s valuation reasonable? Aswath Damodaran thinks no, Andrew Ross Sorkin thinks yes, but two data points from Henry Blodget that may or may not be true are that ... Read More
gas

British Gas must pay £5.6m for blocking firms from switching

10/04/2014(0)
British Gas has been ordered to pay £5.6m in compensation and fines for blocking businesses from switching suppliers and failing to tell others their contracts were ending, Ofgem said. ... Read More
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