Violations

cftc-logo

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
western union

Western Union agreed to pay $586m for Anti-Money Laundering Violations

20/01/2017(0)
Western Union Admits Anti-Money Laundering and Consumer Fraud Violations, Forfeits $586 Million in Settlement with Justice Department and Federal Trade Commission Company also Agrees to Implement Anti-Fraud Program and ... Read More
Securities Exchange Commission

Broker ITG to pay more than $24.4 million to settle charges

13/01/2017(0)
The Securities and Exchange Commission today announced that broker ITG agreed to pay more than $24.4 million to settle charges that it violated federal securities laws when it prompted ... Read More
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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
Securities Exchange Commission

SEC Charges Three Individuals and Broker-Dealer With Violating Market Structure Rules

19/12/2016(0)
The Securities and Exchange Commission today announced settled cease-and-desist proceedings against the CEO of a Utah-based broker-dealer and two registered persons associated with the firm for causing the firm’s ... Read More
Securities Exchange Commission

Embraer Paying $205 Million to Settle FCPA Charges

25/10/2016(0)
The Securities and Exchange Commission today announced a global settlement along with the U.S. Department of Justice and Brazilian authorities that requires aircraft manufacturer Embraer S.A. to pay more ... Read More
Securities Exchange Commission

Credit Suisse Paying $90 Million to settle charges

06/10/2016(0)
The Securities and Exchange Commission today announced that Credit Suisse AG has agreed to pay a $90 million penalty and admit wrongdoing to settle charges that it misrepresented how ... Read More
lendup

Fintech Upstart LendUp Fined by CFPB, California Regulator

29/09/2016(0)
Fintech upstart LendUp was fined by the Consumer Financial Protection Bureau and a California state regulator over widespread violations of payday- and installment-lending laws. The San Francisco-based lender, which ... Read More
Bafin

BaFin establishes a reporting platform for whistleblowers

08/07/2016(0)
With effect from 2 July 2016, BaFin has established a central contact point for so-called “whistleblowers”. Whistleblowers may use this contact to report violations of supervisory provisions. Anonymity of whistleblowers will ... Read More
sec

SEC announced fraud charges against 10 individuals involved in schemes to trick investors

04/05/2016(0)
The Securities and Exchange Commission today announced fraud charges against 10 individuals involved in schemes to trick investors into buying shares of a particular company stock. The schemes were ... Read More
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