ETrade HK Fined for Unauthorized Marketing in Hong Kong ETrade US was fined for licensing lapses by the Hong Kong regulator.
US CFTC Fines Ikon Global Markets for Inadequate Recordkeeping A $200,000 settlement is due to be paid to the US regulator by the defunct company.
CFTC Fines New York Resident $635,000 for Commodity Futures Scam Simon Posen, who ran the operation on his own, has been banned from trading in CFTC regulated markets.
Deutsche Börse CEO’s Trading Probe Continues Despite $12m Settlement BaFin has opened its own investigation into Deutsche Börse potentially misleading the public.
FINRA Fines Goldman Sachs $2.5 Million for Incomplete Reporting The bank did not account for numerous conventional options positions between January 2010 and July 2016.
ISA Fines Israeli Forex Brokerage RFX $35K over Incomplete Reports The broker’s clean track record saved it 75 percent of the original penalty.
CySEC Slaps €195k Fine, Ban on Falcon Brokers Limited’s Leadership An eighteen month investigation into Falcon Brokers Ltd. has concluded with its harshest penalties to date.
CFTC Fines Futures Commission Merchant MTI $5 Million for Live Cattle Fraud McVean Trading and Investments LLC brokerage has been charged with inserting false information into the market.
Deutsche Bank Proposes to Forgo Bonuses to Ex-Executives for Legal Immunity The bank has offered to forfeit bonuses owed to 10 ex-managers, which would absolve them of damage claims and ...
EU Fines Moody’s for its Credit Rating of EU Financial Bodies For the EU it seems that if you don't like the message, fine the messenger.
Chinese Regulatory Authorities Take Aim at Brokerage Abuse with Fines Citic Securities, Haitong Securities, and Guosen Securities have all been fined by the Chinese regulator.
BNP Paribas Slapped with $350m Fine After FX Trading Manipulation A NY regulator has fined BNP $350m after a dozen traders manipulated FX prices back in the 2000s.
Israeli Regulator Fines ATRADE for Misleading Advertising AvaTrade's Israeli branch is fined for suggesting that it's safer to trade with a licensed brokerage.
Breaking: Plus500 Settles with Belgium Regulator for €550K Plus500 has reached a settlement with Belgium's FSMA, focusing on its offering of specific instruments.
Barclays’ CEO Faces Probe, Pay Cut After Whistleblower Allegations Jes Staley is facing a probe from US and UK regulators over his alleged unmasking of a whistleblower.
CommexFX’s CIF License Withdrawn Following String of Suspensions, Fines Following a lengthy suspension, CySEC has rescinded the CIF license of CommexFX.
WhatsApp Snafu Earns Jefferies MD, Christoper Niehaus $46k Fine from FCA Christoper Niehaus was fined $46,000 from the FCA for improperly sharing sensitive client information over WhatsApp.
CFTC Fines Binary Options Provider, Vision Financial Partners $6.5M Neil Pecker Vision Financial Partners were slapped with a $6.5m fine and a permanent ban by the CFTC.
US Department of Justice Closes Probe into Deutsche Bank’s FX Activities A US DoJ investigation has been closed, yielding no fine for Deutsche Bank after a probe into its FX ...
CySEC Slaps €64,000 Fine on PriorFX for Multiple Charges PriorFX is regulated by CySEC, license 221/13, and therefore has to comply with Cypriot regulations.