Estonian Regulator Slapped €32,000 Fine on Admiral Markets AS The regulator found a lack of clarity on the broker's changing terms.
TopForex Operator Settles with CySEC for €270,000 The Goldenburg Group manages multiple forex brands under its CIF license.
FINRA Slaps $6.5 Million Fine on LPL Financials The regulatory authority fined LPL for failing to establish a supervisory system to meet compliance requirements.
Barclays Fined £26 Million for Mistreating Borrowers The bank has already initiated the redressing program and paid over £273 million.
US Court Slaps $7 Million Fine on TFS-ICAP for Misleading Clients The former CEO and emerging markets desk head were penalized with $500,000 each.
StoneX Gets $20,000 Fine for Alleged Trade Transfer Violations The company did not admit or deny the allegations.
FCA Slaps £3.44 Million Fine on TFS-ICAP The FX options broker was found guilty of communicating misleading information to clients.
FINRA Slaps $475,000 Fine on CitiGroup Global Markets The authority fined CitiGroup for failing to disclose potential conflict of interest related to equity research reports.
Australia’s AUSTRAC Issues $1.24 Million Fine to State Street The Australian agency issued the fine to the bank for failing to report international funds transfers.
Standard Chartered Faces $13.6M Fine for Indian Bank Takeover The British bank did not comply with the local regulatory rules for transactions in the 13-year-old deal.
Morgan Stanley Accepts $175,000 Fine from FINRA to Settle Charges FINRA has accused the bank of failing to supervise one of its registered representatives.
Citadel Securities Fined $700K for Alleged Breach of FINRA Rules FINRA accused the company of trading ahead of certain inactive OTC customer orders.
ASIC: Credit Suisse Pays US$51.9K Penalty for NXXT Trades Credit Suisse will pay the penalty to comply with MDP infringement notice.
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.
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.
FINRA Fines Morgan Stanley $300,000 for Reporting Failures The regulator said the bank failed to timely report a number of fixed income transactions.
ASIC Fines AMP Capital for Derivative Transaction Reporting Breaches The regulator also fined AMP Life Limited, which offers life insurance.
US SEC Fines Wells Fargo $500 Million for Misleading Clients The funds from the fine will be distributed to affected clients.
FINRA Fines Wedbush Securities $30,000 for Reporting Failures The company and the regulator have reached a settlement agreement.
BitFunder Operator to Pay Restitution of $155,500 The restitution obligation is in addition to his 14-month prison sentence.