UBS (NYSE:UBS) has agreed to pay $15 million total fine to FINRA, SEC and FinCEN. The financial services company failed to…
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Tag: fine
Citadel 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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FINRA fines Credit Suisse $16.5 million for AML deficiencies
The U.S. based regulator Financial Industry Regulatory Authority (FINRA) announced today that it has fined Credit Suisse Securities (USA) LLC…
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NFA orders London based The Cambridge Strategy Asset Management to pay $60,000 fine
National Futures Association (NFA) has ordered The Cambridge Strategy Asset Management Limited (Cambridge), an NFA Member commodity pool operator (CPO)…
Read MoreCFTC fines and bans Georgia man over $900k for fraudulent trading pool
The U.S. Commodity Futures Trading Commission (CFTC) obtained a federal court Consent Order imposing a permanent injunction against Defendants Hendrik…
Read MoreCFTC orders Barclays to pay $800,000 for supervision failures
The U.S. Commodity Futures Trading Commission (CFTC) today issued an Order filing and simultaneously settling charges against Barclays Capital, Inc….
Read MoreCFTC issues over $4 million penalty on binary brokers Vault Options and Global Trader 365
The U.S. Commodity Futures Trading Commission (CFTC) today announced that Judge John Z. Lee of the U.S. District Court for…
Read MoreE-Trade fined by FINRA $900K for best execution and client order information violations
The Financial Industry Regulatory Authority (FINRA) announced today that it has censured and fined E*TRADE Financial Corp (NASDAQ: ETFC) $900,000 for…
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