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1293 Penalties Found: Showing 661 - 672

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FCA warns against Cinven clone of FCA authorised firm

Date 03/09/2018
Type Warning

SEC Charges Company and Executives in Oil-and-Gas Offering Fraud

Date 03/09/2018
Type Fine
Amount 100,000.00

SEC announced settled charges against Merrill Lynch, Pierce, Fenner & Smith Inc.

Date 03/09/2018
Type Fine
Amount 1,250,000.00

Securities and Exchange CommissionSEC today announced settled charges against an Austin, Texas-based investment adviser

Date 03/09/2018
Type Fine
Amount 715,871.56

FCA warns against Marcela Cunderle (clone)

Date 03/09/2018
Type Warning

The FSMA warns the public against the activities of certain companies

Date 03/08/2018
Type Warning

NYSE to Pay $14 Million Penalty for Multiple Violations

Abuse

Date 03/07/2018
Type Fine

FCA warns against Remington Mining

Unregulated

Date 03/06/2018
Type Warning

FCA fines and bans former Deutsche Bank trader

Abuse

Date 03/06/2018
Type Fine
Amount 180,000.00

FCA warns against Cabbot Law Group

Unregulated

Date 03/06/2018
Type Warning

FCA bans former Co-operative Bank Chair, Paul Flowers, from the financial services industry

Non Compliant

Date 03/06/2018
Type Termination

IFSC warns against FXBROKERPRO LTD

Date 03/02/2018
Type Warning