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Regulators Sanctions

cftc-logo

CFTC orders a London based financial services company to Pay a Civil Monetary Penalty

14/01/2016(0)
CFTC Orders Otkritie Capital International, Ltd. to Pay a $140,000 Civil Monetary Penalty for Violating a CFTC Registration Regulation The U.S. Commodity Futures Trading Commission (CFTC) issued an Order ... Read More
ASIC_regulator

ASIC: Former CEO of a Fund Manager Firm (in liquidation) is permanently banned

03/12/2015(0)
The Australian Securities and Investment Commission has issued a press release to inform about its decision to permanently ban former Equititrust CEO. According to ASIC, the Commission has permanently ... Read More
FCA_regulator

FCA bans former UBS senior trader from any regulated financial activity

19/10/2015(0)
The Financial Conduct Authority (FCA) bans Kweku Mawuli Adoboli from the financial services industry FCA UK, the financial regulatory authority of UK, has issued a press release to inform ... Read More
ASIC_regulator

ASIC bans two persons from providing financial services

06/10/2015(0)
The Australian Securities and Investments Commission (ASIC) has issued today two announcements to inform public that the Commission decided to ban two persons in different cases from providing financial ... Read More
sec-logo

SEC: Worldwide pyramid scheme operator misled investors

05/10/2015(0)
SEC Halts $32 Million Scheme That Promised Riches From Amber Mining The USA regulator, Securities and Exchange Commission (SEC), has issued an announcement to inform that it has filed ... Read More
finra1

FINRA USA Fines Aegis Capital Corp. $950,000

05/08/2015(0)
Two Chief Compliance Officers Fined and Suspended Aegis CEO Fined and Suspended for Failure to Report Liens The Financial Industry Regulatory Authority (FINRA) announced today that it has fined ... Read More
SEC- Headquarters

SEC Charges Purported Investment Adviser With Stealing Client Funds and Conducting a Ponzi Scheme

17/07/2015(0)
The Securities and Exchange Commission charged a purported investment adviser in San Diego with stealing money from clients for personal use and conducting a Ponzi scheme to pay customers making ... Read More
barclays-logo-3

Barclays to pay $800,000 fine for U.S. data reporting errors

17/07/2015(0)
Wall Street’s self-funded watchdog fined a unit of Barclays PLC (BARC.L) $800,000 (512,377 pounds) for violations related to how the bank reported stock trades over a more than two-year ... Read More
Bcsc canada regulator

BCSC panel fines and permanently bans North Vancouver man and two U.S. citizens for market manipulation

14/07/2015(0)
A British Columbia Securities Commission (BCSC) panel has fined Mark Aaron McLeary, Robert Hainey, and Jerry Williams for engaging in market manipulation of shares in a company quoted on ... Read More
Cyprus Securities and exchange commission (cysec)

CySec: Withdraw of CIF authorisation

10/07/2015(0)
The Cyprus Securities and Exchange Commission (CySec) the Cypriot financial regulatory authority, has issued an announcement informing that: On its meeting of 6 July 2015, has decided, pursuant, of ... Read More
Broker Cyprus TopFX