FINE

Multiple regulatory breaches and internal accounting failures by the group prompted a $256,180 fine.

A small group of ANZ traders engaged in misconduct on the BBSW market between 2010-12.

ETrade US was fined for licensing lapses by the Hong Kong regulator.

A $200,000 settlement is due to be paid to the US regulator by the defunct company.

Simon Posen, who ran the operation on his own, has been banned from trading in CFTC regulated markets.

BaFin has opened its own investigation into Deutsche Börse potentially misleading the public.

The bank did not account for numerous conventional options positions between January 2010 and July 2016.

The broker’s clean track record saved it 75 percent of the original penalty.

An eighteen month investigation into Falcon Brokers Ltd. has concluded with its harshest penalties to date.

McVean Trading and Investments LLC brokerage has been charged with inserting false information into the market.

The bank has offered to forfeit bonuses owed to 10 ex-managers, which would absolve them of damage claims and ...

For the EU it seems that if you don't like the message, fine the messenger.

Citic Securities, Haitong Securities, and Guosen Securities have all been fined by the Chinese regulator.

A NY regulator has fined BNP $350m after a dozen traders manipulated FX prices back in the 2000s.

AvaTrade's Israeli branch is fined for suggesting that it's safer to trade with a licensed brokerage.

Plus500 has reached a settlement with Belgium's FSMA, focusing on its offering of specific instruments.

Jes Staley is facing a probe from US and UK regulators over his alleged unmasking of a whistleblower.

Following a lengthy suspension, CySEC has rescinded the CIF license of CommexFX.

Christoper Niehaus was fined $46,000 from the FCA for improperly sharing sensitive client information over WhatsApp.

Neil Pecker Vision Financial Partners were slapped with a $6.5m fine and a permanent ban by the CFTC.

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