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Regulation

Racehorses and Nightclubs: UK Wealth Manager Charged in “Most Serious” FCA Investigation

  • Former WealthTek partner John Dance faces nine criminal charges for allegedly defrauding clients of over £64 million over nearly a decade.
  • However, the regulator claims that 84% of affected clients are expected to receive full compensation.
Thursday, 19/12/2024 | 08:10 GMT by Damian Chmiel
CryptoCurrency

Binance Irked by SEC’s Move to Query CEO of US Affiliate

  • BAM's CEO and CFO do not have 'unique firsthand knowledge' about customer assets.
  • In other news, the SEC delayed a decision on ARK Invest's spot BTC application.
Tuesday, 15/08/2023 | 14:19 GMT by Solomon Oladipupo
CryptoCurrency

FTX’s Bankman-Fried Pleads Not Guilty to $40M Chinese Bribery Charge

  • The FTX Founder also pleaded not guilty to campaign law violations.
  • Three of Bankman-Fried's top associates have pleaded guilty to criminal charges.
Thursday, 30/03/2023 | 19:57 GMT by Solomon Oladipupo
CryptoCurrency

New York Charges Celsius Network's Co-Founder Alex Mashinksy with Fraud

  • The New York Attorney General said Mashinsky left many investors in "financial ruin."
  • Celsius Network filed for bankruptcy in July last year.
Friday, 06/01/2023 | 13:00 GMT by Solomon Oladipupo
Institutional FX

Julio Herrera Pleads Not Guilty to Bribery Charges

  • Herrera reportedly donated £500,000 through Britannia Financial Group.
  • He has denied conspiracy and bribery charges against him.
Tuesday, 06/09/2022 | 10:57 GMT by Bilal Jafar
Retail FX

US SEC Charges 18 for Hacking Retail Brokerage Accounts to Buy Microcap Stocks

  • The individuals gained over $1 million in illicit profit from the unauthorized purchases.
  • The SEC described the cross-border scheme as 'brazen and sophisticated'.
Tuesday, 16/08/2022 | 15:58 GMT by Solomon Oladipupo
Retail FX

Australian Authorities Charge Chris Marco with 50 Counts of Fraud

  • Marco operated an unregistered investment scheme.
  • He has been charged under section 409 of the Criminal Code (WA).
Wednesday, 20/07/2022 | 07:03 GMT by Bilal Jafar
Retail FX

CFTC Charges Florida Man with Defrauding Investors Out of $9.8M

  • The CFTC charged the Florida resident and his investment firm with fraud.
  • The Florida resident is alleged to have promised fake returns through his commodity pool.
Tuesday, 01/02/2022 | 10:32 GMT by Nicholas Otieno
Institutional FX

Nikola to Pay $125 Million to Settled SEC Fraud Charges

  • The electric truck manufacturer, Nikola agreed to pay millions to settle fraud charges.
  • The SEC accuses Nikola of defrauding investors.
Wednesday, 22/12/2021 | 07:11 GMT by Nicholas Otieno
Regulation

CFTC Charges Former Yukom Employees, Imposes Trading Bans

  • The orders have been filed against Liora Welles, Yair Hadar, and Shira Uzan.
Tuesday, 01/10/2019 | 06:00 GMT by Celeste Skinner
Exchanges

Poland Authority Charges Crypto Exchange BitMarket Co-Founder

  • The investigation into the exchange follows on from it closing down suddenly in July.
Thursday, 12/09/2019 | 13:36 GMT by Celeste Skinner
Regulation

New Zealand's FMA Charges Man of Conducting Forex Scam

  • The man managed to solicit almost NZ$100,000 from consumers under the scheme, the FMA said.
Wednesday, 29/05/2019 | 06:22 GMT by Celeste Skinner
Regulation

Former London-Based Forex Traders Wait for Verdict on Collusion Charges

  • The defense of the three accused men argued that their chats did not break the law.
Friday, 26/10/2018 | 07:09 GMT by Celeste Skinner
Regulation

CFTC Charges FX Trader Jason Amada and Firm with Fraud

  • The complaint from the regulator alleges that in two months Amada caused around $280,000 in losses.
Thursday, 30/08/2018 | 06:12 GMT by Celeste Skinner
Regulation

Polish Court Sentences Two for Forex Scam

  • A Polish Court sentenced Mariusz O. and Robert S. to time in prison for extorting more than $672,900 from investors.
Wednesday, 22/08/2018 | 08:40 GMT by Celeste Skinner
Regulation

US DoJ Officially Charges Former Yukom CEO Lee Elbaz for Wire Fraud

  • The Israeli national was charged with three counts of wire fraud, and one count of conspiracy to commit wire fraud.
Monday, 26/03/2018 | 10:21 GMT by Finance Magnates Staff
News

Federal Indictment Charges Michigan Man With Selling Bitcoin Without License

  • Although it's not illegal to possess bitcoins, a license is needed to exchange them.
Tuesday, 31/10/2017 | 17:48 GMT by Aziz Abdel-Qader
Brokers

Exclusive: NFA Charged FXCM for Using Own LP for No Dealing Desk Execution

  • US regulator NFA filed charges against FXCM and its principles on multiple counts.
Tuesday, 07/02/2017 | 04:20 GMT by Victor Golovtchenko
Blogs

Hidden Charges in Your Brokerage

  • Brokers and even prime brokers and banks charge many fees that are either hidden or somewhere in the fine print.
Tuesday, 13/12/2016 | 15:59 GMT by Guest Contributors
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