Tag: fine
United States SEC Fines Hedge Fund Two Sigma $90 Million for...
United States SEC Fines Hedge Fund Two Sigma $90 Million for Failure in Fiduciary Duties to Address Identified Vulnerabilities in Investment Models for 4...
United States SEC Fines Wells Fargo & Merrill Lynch $60 Million...
United States SEC Fines Wells Fargo & Merrill Lynch $60 Million for Failing to Consider Best Interest of Clients in Cash Sweep Option &...
United States SEC Fines 2nd Largest Asset Manager Vanguard in $106...
United States SEC Fines 2nd Largest Asset Manager Vanguard in $106 Million Settlement for Misleading Statements on Capital Gains Distributions & Tax to Retail...
United States Department of Justice Fines Cryptocurrency Exchange BitMEX (HDR Global...
United States Department of Justice Fines Cryptocurrency Exchange BitMEX (HDR Global Trading) $100 Million & 2-Year Probation for Money Laundering & KYC Failures to...
United States Department of Justice Files Anti-Trust Lawsuit Against Leading Private...
United States Department of Justice Files Anti-Trust Lawsuit Against Leading Private Equity Firm $624 Billion KKR for Avoiding Pre-Merger Filings Involving at Least 16...
United States SEC Fines 3 Investment Advisors $540,000 for Acting as...
United States SEC Fines 3 Investment Advisors $540,000 for Acting as Unregistered Brokers for StraightPath Venture Partners in Selling Shares of Pre-IPO Companies &...
United States SEC Fines 12 Financial Firms $63.1 Million for Using...
United States SEC Fines 12 Financial Firms $63.1 Million for Using Unapproved Off-Channel Communications, Maintaining & Preserving Electronic Communications, 12 Firms Fined are 3...
United States SEC Fines Commission-Free Brokerage Robinhood Broker-Dealers $45 Million for...
United States SEC Fines Commission-Free Brokerage Robinhood Broker-Dealers $45 Million for Multiple Failures Including Failing to Investigate & File Suspicious Transactions, Adequately Protect Customers...
United States SEC Fines BMO Capital Markets $40 Million in Penalty,...
United States SEC Fines BMO Capital Markets $40 Million in Penalty, Disgorgement & Prejudgement Interest for Failing to Supervise Employees in Selling $3 Billion...
Singapore MAS Fines Individual (Mitsui & Co Subsidiary Regency Steel Asia...
Singapore MAS Fines Individual (Mitsui & Co Subsidiary Regency Steel Asia Chairman) Gui Boon Sui $254,000 for Using Non-Authorised Brokerage Trading Accounts & False...
