SFC Reprimands And Fines Guangdong Securities Limited $3 Million For Breach Of Anti-Money Laundering...

The Securities and Futures Commission (SFC) has reprimanded Guangdong Securities Limited (GSL), now known as Sinolink Securities (Hong Kong) Company Limited (Sinolink), and fined...

Federal Court in Florida Orders Anthony J. Klatch II, Lindsey Heim, and their Company...

The U.S. Commodity Futures Trading Commission (CFTC) announced that Judge Susan C. Bucklew of the U.S. District Court for the Middle District of Florida...

BNP Paribas pays $350 mln to settle New York currency probe

May 24 French bank BNP Paribas on Wednesday agreed to pay $350 million to New York’s banking regulator for allowing more than a dozen...

FXCM Group Comments on ESMA and FCA Statements

FXCM Group, LLC ("FXCM Group" or “FXCM”), a leading international provider of online foreign exchange trading, CFD trading, spread betting and related services, today released a statement...

Investor Compensation Fund for Falcon Brokers Ltd Clients

Pursuant to the provisions of paragraph 24 of Directive DI144-2007-15 of 2015 and further to a relevant decision of the Cyprus Securities and Exchange...

CFTC Charges Arizona Resident Cory Williams and His Company, Williams Advisory Group, LLC, with...

The U.S. Commodity Futures Trading Commission (CFTC) today announced the filing of a civil enforcement action in the U.S. District Court for the District...

CFTC Orders Convergent Wealth Advisors LLC to Pay an $800,000 Civil Monetary Penalty for...

The U.S. Commodity Futures Trading Commission (CFTC) today filed an Order instituting proceedings and settling charges against Convergent Wealth Advisors LLC (Convergence), an investment...

SEC charged an investment adviser for a Ponzi-like scheme

The Securities and Exchange Commission charged last week a Westchester, New York-based investment adviser with fraud stemming from lies to retail investors about the...

FINRA Appoints Nathaniel Stankard As Senior Advisor To The CEO

The Financial Industry Regulatory Authority (FINRA) has announced the appointment of Nathaniel Stankard as Senior Advisor to the CEO, effective immediately. In his new...

SEC, MSRB, FINRA to Hold Compliance Outreach Program for Municipal Advisors

The Securities and Exchange Commission, Municipal Securities Rulemaking Board (MSRB), and Financial Industry Regulatory Authority (FINRA) today announced the opening of registration for the...

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