The Financial Industry Regulatory Authority (FINRA) announced it has fined J.P. Morgan Securities, LLC $1.25 million for failing to conduct timely or adequate background checks on approximately 8,600, or ... Read More
The Commodity Futures Trading Commission (CFTC) obtained $1,127,855 in restitution for defrauded pool participants and $3,383,565 in civil monetary penalties in a federal court Default Judgment Order against Defendants ... Read More
The Commodity Futures Trading Commission (CFTC) issued an order filing and settling charges against FCStone Merchant Services LLC (FCStone Merchant) for entering into multiple noncompetitive trades and against INTL ... Read More
The European Securities and Markets Authority (ESMA) has issued two Statements on Initial Coin Offerings (ICOs), one on risks of ICOs for investors and one on the rules applicable ... Read More
The Financial Conduct Authority, the conduct and prudential regulator for financial services firms and financial markets in the UK, has issued a warning to inform public and investors in ... Read More
The former Principal of Sherwin Financial Planners Pty Ltd and Chairman of Wickham Securities Ltd, Bradley Thomas Sherwin, was sentenced in the Brisbane District Court to a total of ... Read More
The Financial Conduct Authority has today announced that Capita Financial Managers Limited (CFM) has been publicly censured and will pay up to £66 million to those investors who suffered ... Read More
The European Securities and Markets Authority (ESMA) has added 4 new Q&As to its Questions and Answers (Q&A) document on the implementation of investor protection topics under the Market ... Read More
The European Securities and Markets Authority (ESMA) has opened a public consultation on a proposed amendment to the Regulatory Technical Standard (RTS 1) which details the implementation of the ... Read More
Citibank will refund more than $3.3 million to around 39,500 current and former customers for failing to refund customers when credit card accounts were closed with an outstanding credit ... Read More
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