fine

US regulator; Commodity Futures Trading Commission (CFTC) has filed and simultaneously settled charges that Roy Scarboro, Jr of Archdale, NC, fraudulently solicited approximately $713,000 from customers to trade off-exchange foreign currency (forex).

Monday, 05/09/2011 | 10:39 GMT by Adil Siddiqui

Brokers

CFTC fines FXCM UK $140,000 for acting as a counterparty to US retail forex clients

Update: FXCM published a statement which explains why this happened - basically FXCM was caught between CFTC's and FSA's rules whereas CFTC required FXCM to shut down US accounts, FSA required FXCM to provide sufficient notice.

Wednesday, 03/08/2011 | 22:14 GMT by Adil Siddiqui

Regulation

FSA Bans And Fines Self Employed Trader Barnett Michael Alexander £700,000 For Market Abuse

Wednesday, 15/06/2011 | 11:21 GMT by FMAdmin Someone

Brokers

E*Trade fined up to $300,000 by Dubai FSA for AML failings

Tuesday, 03/05/2011 | 12:45 GMT by Michael Greenberg

Brokers

Dubai FSA Censures Saxo Bank for Client Take-On and AML Systems and Controls Failings

Sunday, 20/03/2011 | 13:33 GMT by Michael Greenberg

Brokers

FXGM clears the air following CySec's fine

Tuesday, 27/04/2010 | 13:48 GMT by Michael Greenberg

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