FINE

The broker-dealer was accused of material misstatements regarding customer anonymity.

The broker was issued with the fine by regulators last September but appealed the decision

The agency issued the infringement notice to the company for failing to report international funds transfers.

The broker and regulator reached the agreement in March of this year

The FCA said the firm failed to inform it of an array of fraudulent activity back in 2007

Commenting on the fine, the European Commission said that it "will not tolerate collusive behaviour" in the financial markets

The Swiss firm was able to get a 30 percent reduction on the fine by agreeing to resolve the ...

Nearly 37,000 people lost out as a result of the poor performance of the so-called “death bonds.”

The firm has been charged by the CFTC with failing to supervise its swap dealing activities.

For around five years swaps brokers at ICAP helped its bank clients manipulate the USD ISDAFIX benchmark.

The Commodity Futures Trading Commission handed out fines totalling more than $1.2 million.

This is the second announcement of a fine against the bank this week.

The broker was charged with supervisory failings regarding naked short positions for a period of at least three years.

Christian Robert Mayer has been charged with engaging in a fraudulent trading scheme by the commodities regulator.

Lansing was charged with trying to manipulate the price of wheat futures and options contracts on the CBOT.

McLellan was one of four State Street’s executives who devised a scheme to overcharge clients without their consent.

The UK FCA and PRA jointly fined the former Barclay’s chief over lack of supervision of whistleblowing

The SFC has responded to UBS’ failures to record transactions and client consents regarding its facilitation trading activities.

Former interest rate derivatives trader at Deutsche, Guillaume Adolph, has been fined £180,000 and banned by the FCA. ...

The brokerage has already implemented changes to its risk warnings and advertising and on-boarding practices.

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