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NFA Responds To Two Complaints And Hits Interactive Brokers With $300,000 Penalty
- Following two complaints that Interactive Brokers was allegedly not exercising correct procedures relating to client funds, and using unregistered introducing brokers, the NFA yesterday issued the firm with a $300,000 fine.
Tuesday, 09/07/2013 | 06:52 GMT by
Andrew Saks McLeod
CySEC Releases Announcement Confirming Reasoning for Handing LQD Markets €80,000 Penalty, Confirms Settlement
- Subsequent to yesterday's exclusive report by Forex Magnates that Cypriot regulator CySEC has demanded LQD Markets to pay 80,000 euros, the regulator today confirmed the reason for the imposition, and the total amount, now mutually settled in full.
Tuesday, 25/06/2013 | 10:16 GMT by
Andrew Saks McLeod
Royal Bank of Scotland Group Prosecuted by CFTC For Manipulation and False Reporting of Yen and Swiss Franc LIBOR
Wednesday, 06/02/2013 | 13:41 GMT by
Andrew Saks McLeod
CFTC Revokes Pro Trading Course LLC's Commodity Trading Advisor Registration
Sunday, 20/01/2013 | 13:24 GMT by
Andrew Saks McLeod
NFA takes a parting shot at Forex Club - fines it $300k
Friday, 26/10/2012 | 08:02 GMT by
Michael Greenberg
FINRA Fines Hold Brothers for Manipulative Trading and Other Violations
Tuesday, 25/09/2012 | 22:58 GMT by
Adil Siddiqui
NYSE Fined by SEC for Giving Head-Start in Market Data
Sunday, 16/09/2012 | 22:57 GMT by
Adil Siddiqui
US Regulator Fines Russian Bank for Japanese Yen 'Wash Sales'
Monday, 27/08/2012 | 23:20 GMT by
Adil Siddiqui
CFTC Fines LMC Asset Management for Unregulated FX Dealings
Wednesday, 18/07/2012 | 19:25 GMT by
Adil Siddiqui
Open E Cry gets CFTC fine for inadequate supervision
Friday, 08/06/2012 | 05:32 GMT by
Adil Siddiqui
$140,000 Please -Trading Point gets slap on wrist
Wednesday, 02/05/2012 | 06:53 GMT by
Adil Siddiqui
CFTC fines fraudulent FX Broker
- 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
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
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
E*Trade fined up to $300,000 by Dubai FSA for AML failings
Tuesday, 03/05/2011 | 12:45 GMT by
Michael Greenberg
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
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