The Securities and Exchange Commission (SEC) has yesterday informed the public that it has charged AR Capital LLC, its founder…
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Tag: fine
Nomura pays misled bond clients $25m after SEC charges
The Securities and Exchange Commission (SEC) has yesterday informed the public that it has instituted two related enforcement actions against…
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ESMA fines the trade repository Regis-TR S.A. €56,000 for data access failures
EU’s securities markets’ regulator ESMA has just informed the public that it has fined the trade repository Regis-TR S.A. €56,000…
Read MoreFieldstone Financial Management Group charged with fraud
The U.S. Securities and Exchange Commission (SEC) announced yesterday that it has charged Fieldstone Financial Management Group LLC and its…
Read MoreFormer banker slapped on the wrist for crypto mining, while still employed
The regulatory wheels of justice may move slowly, but it appears that the long arm of the law of the…
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NSSC fines FPE Trading $165,000
The Nova Scotia Securities Commission announced earlier today that it has ordered Jean-Smaille Germeil and FPE Trading to pay an administrative…
Read MoreUBS fined $15m over deficiencies in anti-money laundering programs
UBS (NYSE:UBS) has agreed to pay $15 million total fine to FINRA, SEC and FinCEN. The financial services company failed to…
Read MoreCitadel Securities, Natixis and MUFG fined $6m for providing deficient blue sheet data
Three brokers will pay more than $6 million in order to settle Securities and Exchange Commission (SEC) charges. Citadel Securities LLC,…
Read MoreMoody’s fined $16.25 million by SEC
The Securities and Exchange Commission (SEC) has announced that Moody’s Investors Service Inc., one of the nation’s largest credit ratings…
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CFTC penalizes Société Générale $450K for failure to report FX swap trades on time
The U.S. Commodity Futures Trading Commission (CFTC) today issued an Order filing and simultaneously settling charges against Societe Generale SA (EPA:…
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