Tag: fine
Crypto Exchange Binance United States CEO Brian Shroder Leaves and Succeeded...
Crypto Exchange Binance United States CEO Brian Shroder Leaves and Succeeded by Chief Legal Officer Normal Reed, Binance United States to Reduce 100 of...
United States SEC Fines Energy & Technology Group Monolith Resources $225,000...
United States SEC Fines Energy & Technology Group Monolith Resources $225,000 for Using Employee Separation Agreement to Waive Rights to Whistleblower Awards Related to...
United States Commodity Futures Trading Commission Fines Goldman Sachs $5.5 Million...
United States Commodity Futures Trading Commission Fines Goldman Sachs $5.5 Million for Failure to Record Phone Lines Again in 2020 Due to Hardware &...
United States SEC Fines Citigroup $2.9 Million for Using Unverified Method...
United States SEC Fines Citigroup $2.9 Million for Using Unverified Method to Calculate & Record Indirect Expenses for Underwriting Fees, Did Not Know Basis...
UK Office of Gas & Electricity Markets Fines Morgan Stanley $6.8...
UK Office of Gas & Electricity Markets Fines Morgan Stanley $6.8 Million for Energy Traders Using Whatsapp & Not Maintaining Electronic Communications
25th August 2023...
United States SEC Fines Wells Fargo $35 Million & to Pay...
United States SEC Fines Wells Fargo $35 Million & to Pay 10,900 Investment Advisory Account Holders $40 Million for Overcharging $26.8 Million in Advisory...
United States SEC Fines FinTech Investment Advisor Titan Global $1 Million...
United States SEC Fines FinTech Investment Advisor Titan Global $1 Million for Misleading Advertising of 2,700% Hypothetical Returns from Titan Crypto Strategy
24th August 2023...
Hong Kong SFC Fines Changjiang Corporate Finance $2.5 Million & Suspended...
Hong Kong SFC Fines Changjiang Corporate Finance $2.5 Million & Suspended Partially for 1 Year for 6 IPO Sponsor Failures Including Due Diligence, Advisory...
Hong Kong SFC Fines China Industrial Securities International Brokerage $446,000 for...
Hong Kong SFC Fines China Industrial Securities International Brokerage $446,000 for Internal Control Failures for Suspicious Trading & Recording of Order Instructions, Only 5,000...
United States SEC Fines 11 Firms $289 Million for Record Keeping...
United States SEC Fines 11 Firms $289 Million for Record Keeping Failures & Using Off-Channel Communications Including iMessage, Whatsapp & Signal Since 2019, Firms...
