BaFin Fines abcfinance €90,000 for Money Laundering Reporting Failures
Germany's Federal Financial Supervisory Authority (BaFin) has fined abcfinance GmbH a total of €90,0...
ChloeDisputes
ASIC Sues Former Adviser Osama Saad Over A$34 Million from Collapsed Super Funds
The Australian Securities and Investments Commission (ASIC) has sued former financial adviser Osama ...
Chloe
Finfluencer Regulation Intensifies in 2026 as Brokers Face Compliance Blind Spots
Finfluencer regulation intensified in 2026 as regulators in the UK, US, Canada, Australia, and India...
Bery
FCA Secures £851,000 Confiscation Orders for Crypto Fraud Victims
The UK Financial Conduct Authority (FCA) has secured confiscation orders totaling £851,402 following...
Fanny
BDSwiss Ordered to Drop Swiss Cross and Name in Landmark Swissness Ruling
BDSwiss, the retail broker ordered by the Bern Commercial Court to remove the cross from its logo an...
Bery
FINRA Fines Vanguard Marketing Corporation $950,000 for Cost Basis Reporting Errors
Vanguard Marketing Corporation (VMC) has agreed to pay a $950,000 fine as part of a settlement with ...
Fanny
Truist Investment Services to Pay $275k FINRA Fine for Cancel and Rebill Violations
Truist Investment Services, Inc. (TIS) has agreed to pay a $275,000 fine as part of a settlement wit...
Fanny
SEC lawsuit targets SQN Capital and CEO Jeremiah Silkowski over alleged fraud
The Securities and Exchange Commission (SEC) has filed a lawsuit against SQN Capital Management LLC ...
Bery
mBank forex exit to halt new positions on October 1
mBank forex exit plans will stop the bank's brokerage arm from accepting new forex and CFD positions...
Bery
CFTC's Undefined 'Gaming' Leaves Prediction Markets in Regulatory Limbo
The Commodity Futures Trading Commission (CFTC) has acknowledged that the terms "gaming" and "involv...
Bery
UBS Securities Fined $32,500 by Nasdaq for Market Access Control Failures
UBS Securities LLC has agreed to pay a $32,500 fine as part of a settlement with The Nasdaq Stock Ma...
Fanny
FINRA Fines Colorado Financial Service Corporation $45,000 for Supervisory Failures
Colorado Financial Service Corporation has agreed to pay a $45,000 fine as part of a settlement with...
David
CFTC Wins Consent Orders Against Centurion Capital Rep and Algo Capital Sales Agent
The Commodity Futures Trading Commission (CFTC) announced that the U.S. District Court for the South...
Bery
CME Group Fines StoneX Financial for Reporting Failures
CME Group has issued a disciplinary notice against StoneX Financial, Inc. for reporting failures tha...
Bery
ASIC bans former Sequoia director Garry Crole for 10 years
The Australian Securities and Investments Commission (ASIC) has banned Garry Peter Crole, former man...
David
FINRA Fines J.P. Morgan Securities $250K for Margin Disclosure Failures
J.P. Morgan Securities LLC (JPMS) has agreed to pay a $250,000 fine as part of a settlement with the...
Fanny
ASIC Urges Digital Asset Firms to Act Before Licensing Deadline
The Australian Securities and Investments Commission (ASIC) has reminded digital asset firms that th...
Fanny
ASIC Crypto License Applications Pass 45 Before September Deadline
The Australian Securities and Investments Commission (ASIC) recorded more than 45 applications tied ...
Bery
AFCA Proposes A$1.26 Million Scam Cap as Rules Consultation Opens
The Australian Financial Complaints Authority (AFCA) proposed raising its direct scam-loss cap to A$...
Bery
Santander US Capital Markets to pay $50k fine for alleged NYMEX rule violations
CME Group has posted a notice of disciplinary action against Santander US Capital Markets LLC. A Pan...
Fanny
