USA financial regulator

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FINRA fined Credit Suisse Securities USA $16.5 million for AML and other violations

06/12/2016(0)
The Financial Industry Regulatory Authority (FINRA) announced today that it has fined Credit Suisse Securities (USA) LLC $16.5 million for anti-money laundering (AML), supervision and other violations. FINRA found ... Read More
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Former CBOE Member to pay $21.8 Million in a Ponzi Scheme

01/12/2016(0)
CFTC Obtains $21.8 Million Default Judgment against Former CBOE Member Alvin Guy Wilkinson and his Connecticut-based Firms for Misappropriation of Customer Funds and Fraudulent Solicitation in Ponzi Scheme The ... Read More
finra1

FINRA fines investment firm for $3.4 Million

23/11/2016(0)
FINRA Sanctions Oppenheimer & Co. $3.4 Million for Reporting Violations, Failing to Comply With Discovery Obligations in Arbitrations, and Other Supervisory Failures The Financial Industry Regulatory Authority (FINRA) announced ... Read More
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