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Regulation

Citadel Securities Fined $700K for Alleged Breach of FINRA Rules

  • FINRA accused the company of trading ahead of certain inactive OTC customer orders.
Monday, 20/07/2020 | 02:52 GMT by Celeste Skinner
Execution

ASIC: Credit Suisse Pays US$51.9K Penalty for NXXT Trades

  • Credit Suisse will pay the penalty to comply with MDP infringement notice.
Friday, 03/07/2020 | 02:32 GMT by Celeste Skinner
Regulation

JAFX to Pay Penalty of $600,000 in Prospective Settlement with CFTC

  • The CFTC charged JAFX with operating as an unregistered forex dealer in the US.
Thursday, 18/06/2020 | 07:38 GMT by Celeste Skinner
Regulation

US District Court Orders Eyal Alper to Pay $352,901 for FX Scam

  • Alper has been charged by the CFTC for committing a fraudulent foreign exchange scheme.
Wednesday, 03/06/2020 | 07:30 GMT by Celeste Skinner
Regulation

FINRA Fines Morgan Stanley $300,000 for Reporting Failures

  • The regulator said the bank failed to timely report a number of fixed income transactions.
Thursday, 26/03/2020 | 08:35 GMT by Celeste Skinner
Regulation

ASIC Fines AMP Capital for Derivative Transaction Reporting Breaches

  • The regulator also fined AMP Life Limited, which offers life insurance.
Tuesday, 17/03/2020 | 09:26 GMT by Celeste Skinner
Regulation

US SEC Fines Wells Fargo $500 Million for Misleading Clients

  • The funds from the fine will be distributed to affected clients.
Monday, 24/02/2020 | 08:45 GMT by Celeste Skinner
Regulation

FINRA Fines Wedbush Securities $30,000 for Reporting Failures

  • The company and the regulator have reached a settlement agreement.
Wednesday, 19/02/2020 | 07:48 GMT by Celeste Skinner
News

BitFunder Operator to Pay Restitution of $155,500

  • The restitution obligation is in addition to his 14-month prison sentence.
Wednesday, 23/10/2019 | 06:28 GMT by Celeste Skinner
Regulation

SEC Reaches $4.3 Million Settlement with GFI Securities

  • The broker-dealer was accused of material misstatements regarding customer anonymity.
Monday, 30/09/2019 | 14:08 GMT by Celeste Skinner
Brokers

Polish Court Upholds $2.5 Million XTB Fine

  • The broker was issued with the fine by regulators last September but appealed the decision
Tuesday, 10/09/2019 | 14:13 GMT by David Kimberley
Regulation

AUSTRAC Fines Compass Global Holdings $173,000

  • The agency issued the infringement notice to the company for failing to report international funds transfers.
Tuesday, 10/09/2019 | 09:30 GMT by Celeste Skinner
Regulation

Banc de Binary and CySEC Reach $300,000 Settlement

  • The broker and regulator reached the agreement in March of this year
Wednesday, 14/08/2019 | 09:07 GMT by David Kimberley
Regulation

Prostitutes and Dodgy Loans: Bank of Scotland Fined £45 Million

  • The FCA said the firm failed to inform it of an array of fraudulent activity back in 2007
Friday, 21/06/2019 | 10:08 GMT by David Kimberley
Regulation

Essex Express: 5 Banks Fined 1 Billion Euros for FX Collusion

  • Commenting on the fine, the European Commission said that it "will not tolerate collusive behaviour" in the financial markets
Thursday, 16/05/2019 | 12:02 GMT by David Kimberley
Regulation

FCA Fines UBS AG £27.6m for Transaction Reporting Failures

  • The Swiss firm was able to get a 30 percent reduction on the fine by agreeing to resolve the case with the regulator
Tuesday, 19/03/2019 | 14:50 GMT by David Kimberley
Regulation

FCA Confirms its Record £76M Fine Against Keydata Former CEO

  • Nearly 37,000 people lost out as a result of the poor performance of the so-called “death bonds.”
Wednesday, 16/01/2019 | 22:12 GMT by Aziz Abdel-Qader
Regulation

Commerzbank AG Fined $12 Million for Swap Dealing Violations

  • The firm has been charged by the CFTC with failing to supervise its swap dealing activities.
Friday, 09/11/2018 | 10:54 GMT by Celeste Skinner
Brokers

CFTC Slaps ICAP with $50 Million Fine for Benchmark Manipulation

  • For around five years swaps brokers at ICAP helped its bank clients manipulate the USD ISDAFIX benchmark.
Wednesday, 19/09/2018 | 06:08 GMT by Celeste Skinner
Regulation

US CFTC Charges Twelve FX and Binary Firms with Variety of Infractions

  • The Commodity Futures Trading Commission handed out fines totalling more than $1.2 million.
Sunday, 16/09/2018 | 11:54 GMT by Finance Magnates Staff
Regulation

ING to Pay $5 Million to Settle Misconduct Charges on NYSE

  • This is the second announcement of a fine against the bank this week.
Friday, 07/09/2018 | 06:35 GMT by Celeste Skinner
Brokers

FINRA Fines Interactive Brokers $5.5 Million for Violating SEC Regulation

  • The broker was charged with supervisory failings regarding naked short positions for a period of at least three years.
Monday, 20/08/2018 | 16:40 GMT by Celeste Skinner
Regulation

CFTC Fines Minneapolis Futures Broker $100,000 for Fraudulent Misconduct

  • Christian Robert Mayer has been charged with engaging in a fraudulent trading scheme by the commodities regulator.
Friday, 10/08/2018 | 18:37 GMT by Celeste Skinner
Regulation

CFTC Fines Lansing Trade Group $3.4 million

  • Lansing was charged with trying to manipulate the price of wheat futures and options contracts on the CBOT.
Friday, 13/07/2018 | 07:11 GMT by Celeste Skinner
Regulation

US Jury Finds Former State Street Executive Guilty of Secret Fees Fraud

  • McLellan was one of four State Street’s executives who devised a scheme to overcharge clients without their consent.
Tuesday, 26/06/2018 | 20:12 GMT by Aziz Abdel-Qader
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