FINE

NFA takes a parting shot at Forex Club – fines it $300k

Busy week for the NFA after it charged FXDD for administrative violations today it couldn’t resist and took a parting shot at Forex Club – who gave up on its forex license few months ago anyway. The NFA charged and ...

FINRA Fines Hold Brothers for Manipulative Trading and Other Violations

The Financial Industry Regulatory Authority (FINRA), along with NYSE Arca, Inc., The NASDAQ Stock Market LLC, NASDAQ OMX BX, ...

NYSE Fined by SEC for Giving Head-Start in Market Data

NYSE Euronext, has announced that it has reached a settlement agreement with the SEC relating primarily to alleged violations ...

US Regulator Fines Russian Bank for Japanese Yen 'Wash Sales'

The U.S. Commodity Futures Trading Commission issued an Order filing and settling charges against SMP Bank (SMP), headquartered in ...

CFTC Fines LMC Asset Management for Unregulated FX Dealings

The U.S. Commodity Futures Trading Commission today issued an order settling charges that LMC Asset Management, of Deerfield Beach exercised discretionary ...

Open E Cry gets CFTC fine for inadequate supervision

Open E Cry a registered futures commission merchant, was fined $250,000 for failing to diligently supervise the handling of ...

Morgan Stanley gets regulatory sting

Morgan Stanley has agreed to pay $5 million to settle federal regulators’ charges of violating competition rules in futures ...

$140,000 Please -Trading Point gets slap on wrist

When the US regulators said DO NOT chase the US public as potential clients they meant it! Cyprus based ...

CFTC fines fraudulent FX Broker

US regulator; Commodity Futures Trading Commission (CFTC) has filed and simultaneously settled charges that Roy Scarboro, Jr of ...

CFTC fines FXCM UK $140,000 for acting as a counterparty to US retail forex

Update: FXCM published a statement which explains why this happened - basically FXCM was caught between CFTC's and FSA's ...

FSA Bans And Fines Self Employed Trader Barnett Michael Alexander £700,000 For Market Abuse

by Adil Siddiqui, Independent Financial Services professional. The FSA has been closely monitoring Financial Markets and the transparent functioning ...

E*Trade fined up to $300,000 by Dubai FSA for AML failings

Much like Saxo being ‘censured‘ by the Dubai FSA for similar procedural deficiencies DFSA just announced that it settled ...

Dubai FSA Censures Saxo Bank for Client Take-On and AML Systems and Controls Failings

We do not know the exact details by Saxo Bank has probably paid some sum to settle these charges. ...

FXGM clears the air following CySec's fine

FXGM, which yesterday was handed a 25,000 euros fine by CySec, has decided to clear the air concerning the reasons ...

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