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regulators

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NFA bars N.Y. firm Grace Financial Group LLC and its principal Christopher T. Bondy

12/08/2015(0)
National Futures Association (NFA) has permanently barred Grace Financial Group LLC (Grace), an NFA Member introducing broker, and Christopher T. Bondy (Bondy), a principal and associated person (AP), from NFA membership. The Decisions ... Read More
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SEC Charges 32 Defendants in Scheme to Trade on Hacked News Releases

12/08/2015(0)
Hackers, Traders Allegedly Reaped More Than $100 Million of Illegal Profits The Securities and Exchange Commission today announced fraud charges against 32 defendants for taking part in a scheme ... Read More
fca-building

FCA warning against unauthorised firm: International Asset Management Group Ltd / IAM Group

10/08/2015(0)
FCA has issued a press release to inform that the below firm has been providing financial services or products in the UK without its authorisation. Almost all firms and individuals ... Read More
finra1

FINRA Bars Former Caldwell Broker for Churning Customer Accounts

10/08/2015(0)
The Financial Industry Regulatory Authority (FINRA) announced today that it has permanently barred Richard Adams, a former registered representative of Caldwell International Securities Corp., from the securities industry for ... Read More
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CFTC Charges New York Resident Gary Creagh and his Company

10/08/2015(0)
CFTC Charges New York Resident Gary Creagh and his Company, Wall Street Pirate Management, LLC, with Making False Statements to the National Futures Association The U.S. Commodity Futures Trading ... Read More
ASIC_regulator

ASIC bans former representative of Macquarie Equities Limited

10/08/2015(0)
ASIC has banned Mr Shawn Hickman, of Middle Cove, New South Wales, from providing financial services for six years after he engaged in unauthorised discretionary trading on his clients’ ... Read More
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CFTC Orders Morgan Stanley & Co. LLC to Pay a $300,000 Civil Monetary Penalty

07/08/2015(0)
CFTC Orders Morgan Stanley & Co. LLC to Pay a $300,000 Civil Monetary Penalty for Violations of Customer Protection Rule for Cleared Swaps and Related Supervision Failures Order Finds ... Read More
bank-of-england

Bank of England maintains Bank Rate at 0.5% and the size of the Asset Purchase Programme at £375 billion

06/08/2015(0)
The Bank of England’s Monetary Policy Committee (MPC) sets monetary policy in order to meet the 2% inflation target and in a way that helps to sustain growth and employment.  ... Read More
cftc

New York Federal Court Orders New York Financial Advisor Wayne P. Weddington III and His Companies to Pay More than $1 Million

06/08/2015(0)
The U.S. Commodity Futures Trading Commission (CFTC) announced that Judge Colleen McMahon of the U.S. District Court for the Southern District of New York entered a Consent Order of ... Read More
fca-building

FCA warning against unauthorised firm: Lamberg Kapital Ltd

06/08/2015(0)
FCA has issued a press release to inform that the below firm has been providing financial services or products in the UK without its authorisation. Almost all firms and individuals ... Read More
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