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U.S financial services firm pay penalty to settle failure

14/03/2019(0)
The Securities and Exchange Commission (SEC) announced that Wedbush Securities Inc. will pay a $250,000 penalty and has agreed to be censured to settle its failure to supervise charge ... Read More
JPMorgan

J.P. Morgan Securities fined $1.25 Million

22/11/2017(0)
The Financial Industry Regulatory Authority (FINRA) announced it has fined J.P. Morgan Securities, LLC $1.25 million for failing to conduct timely or adequate background checks on approximately 8,600, or ... Read More
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Deutsche Bank and its UK subsidiary to pay $775 million penalty

29/03/2017(0)
DB Group Services (UK) Limited (DBGS), a wholly owned subsidiary of Deutsche Bank AG (Deutsche Bank), was sentenced today for its role in manipulating London Interbank Offered Rates (LIBOR) ... Read More
ASIC_regulator

Credit Suisse pays $170,000 in infringement notice penalty

15/03/2017(0)
Credit Suisse Equities (Australia) Limited (Credit Suisse) has paid a penalty of $170,000 to comply with an infringement notice from the Markets Disciplinary Panel (MDP). The MDP had reasonable grounds ... Read More
bgc-partner

Global brokerage BGC Partners pays $90,000 penalty

23/02/2017(0)
BGC Partners (Australia) Pty Limited (“BGC”) has paid a total penalty of $90,000 to comply with an infringement notice given to it by the Markets Disciplinary Panel (“MDP”). The MDP ... Read More
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E*TRADE ordered to pay a $280,000 penalty

27/01/2017(0)
The U.S. Commodity Futures Trading Commission (CFTC) today issued an Order filing and settling charges against E*TRADE Securities LLC (E*TRADE Securities), an Introducing Broker, and E*TRADE Clearing LLC (E*TRADE ... Read More
Shopping carts are seen outside a new Wal-Mart Express store in Chicago

Judge denies $80 million penalty in Wal-Mart truck drivers lawsuit: AP

26/01/2017(0)
A federal judge refused to order Wal-Mart Stores Inc (WMT.N) to pay $80 million in penalties in a lawsuit alleging the retailer failed to pay hundreds of truck drivers ... Read More
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CFTC Orders CNCGC Hong Kong Ltd. to Pay a $150,000 Penalty

18/01/2017(0)
On 53 occasions, CNCGC HK failed to file required Form 304 reports, and on two occasions the firm filed late Form 304 reports The U.S. Commodity Futures Trading Commission ... Read More
Securities Exchange Commission

BNY Mellon has agreed to pay a $6.6 million penalty

13/01/2017(0)
The Securities and Exchange Commission today announced that BNY Mellon has agreed to pay a $6.6 million penalty to settle charges stemming from miscalculations of its risk-based capital ratios ... Read More
cftc-logo

CFTC Orders Goldman Sachs to Pay $120 Million Penalty for Attempted Manipulation

22/12/2016(0)
The U.S. Commodity Futures Trading Commission (CFTC) issued an Order today filing and settling charges against The Goldman Sachs Group, Inc., and Goldman, Sachs & Co. (collectively, Goldman or ... Read More
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