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We seek to provide information, insights and direction that may enable the Financial Community to effectively and efficiently operate in a regulatory risk-free environment by curating content from all over the web.


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Browsing Stories of Interest: Regulatory Sanctions

Halliburton Paying $29.2 Million to Settle FCPA Violations

July 27, 2017

SEC Charges Two Las Vegas-Based Individuals and Their Company in "Prime Bank" Fraud

July 26, 2017

I Scream, You Scream, FINRA Screams for Ice Cream ... or ... FINRA Deep-Freezes a Broker

July 20, 2017

SEC Charges California Men, Company with Market Manipulation

July 20, 2017

$1 a Day Meal Expenses Brown Bags FinOp - Bill Singer

July 20, 2017

SEC Bars New York Lawyer Who Committed Fraud

July 19, 2017

CA, FL Individuals and Companies in $16Mn Binary Options Fraud Scheme - CFTC

July 18, 2017

FINRA Disciplinary Actions for July 2017

July 17, 2017

NY-Based GDLogix, Daniel LaMarco Charged in $1.5Mn Forex Derivatives Commodity Fraud

July 11, 2017

FL-Based Assurance Cap Mgmt, Principals Must Pay >$2.4Mn in Commodity Pool Fraud - CFTC

July 11, 2017

Rosenthal Collins Cap Markets to Pay $5Mn Penalty for Illegal Wash Sales - CFTC

July 3, 2017

Non-Prosecution Agreements with Ex-Citi Traders Jeremy Lao, Daniel Liao, Shlomo Salant - CFTC

July 3, 2017

NJ Resident and NY-Based Global FX Club Charged with Solicitation Fraud, Misappropriation - CFTC

June 22, 2017

SEC Files Fraud Charges Against Stock Promoters in Market Manipulation Scheme

June 22, 2017

Punishing Barclays for 2008 Would Be Strange Justice

June 20, 2017

Barclays to Plead Guilty Over Disclosures in Qatar Case

June 19, 2017

FINRA Disciplinary Actions for June

June 15, 2017

Deutsche Bank to Pay $170Mn in Euribor-Rigging Settlement

June 12, 2017

FINRA Panel Bars Broker for Failing to Disclose $100Mn in EB-5 Investments

June 7, 2017

Former Trader David Liew Spoofed and Manipulated Gold, Silver Futures - CFTC

June 3, 2017

Alternative to Clawbacks: Deferred Comp at Financial Institutions - William Dudley

June 3, 2017

RIA Overbills Clients Through Newly-Created Mutual Fund

June 2, 2017

Beverly Hills RIA Defrauded Clients - SEC

June 2, 2017

Singapore Fines Credit Suisse, UOB After 1MDB-Linked Probe

May 30, 2017

Deutsche Bank Nears Fed Deal Russia Mirror Trades

May 26, 2017

Citigroup, DOJ Settle Banamex Criminal Investigation

May 26, 2017

Deutsche Bank Said Near Fed Deal on Russia; DOJ Probe Looms

May 25, 2017

SAC Capital's $135 Million Insider Trading Settlement Approved by Judge

May 24, 2017

Court Orders Utah Resident to Pay Fines, Restitution Over Sales of Fraudulent Futures Trading System

May 23, 2017

MoneyGram CCO Personally Liable in BSA/AML Settlement: Powerful Motivator or Chilling Deterrent?

May 21, 2017

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