Thursday, February 11, 2016

MORGAN STANLEY RESOLVES CLAIMS RELATED TO IT'S RESIDENTIAL BACKED SECURITIES SALES

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FROM:  U.S. JUSTICE DEPARTMENT  Thursday, February 11, 2016 Morgan Stanley Agrees to Pay $2.6 Billion Penalty in Connection with Its Sa...
Sunday, December 27, 2015

JPMORGAN CHASE ORDERED TO PAY $100 MILLION FOR DISCLOSURE FAILURES

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FROM:  U.S. COMMODITY FUTURES  CFTC Orders JPMorgan Chase Bank, N.A. to Pay $100 Million for Failure to Disclose Conflicts of Interest ...
Sunday, December 13, 2015

FORMER OFFSHORE BROKERAGE HEAD PLEADS GUILTY TO CHARGES STEMMING FROM INTERNATIONAL PUMP AND DUMP SCHEME

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FROM:  U.S. JUSTICE DEPARTMENT  Thursday, December 10, 2015 Former Head of Offshore Brokerage Pleads Guilty to Conspiracy to Commit Int...
Sunday, November 15, 2015

SEC SAYS FALSE TWEETS SENT TWO STOCKS DROPPING

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FROM:  U.S. SECURITIES  AND EXCHANGE COMMISSION  PRESS RELEASE SEC Charges: False Tweets Sent Two Stocks Reeling in Market Manipulation...
Sunday, October 25, 2015

COURT ORDERS $31 MILLION RESTITUTION AND PENALTY PAYMENT AGAINST MAN, COMPANY FOR FRAUD

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FROM:  U.S. COMMODITY FUTURES TRADING COMMISSION  October 20, 2015 Federal Court in Ohio Orders over $31 Million in Restitution and Civ...
Friday, October 2, 2015

CFTC ANNOUNCES DEUTSCHE BANK AG ORDERED TO PAY $2.5 MILLION PENALTY IN CASE INVOLVING SWAPS REPORTING VIOLATIONS AND SUPERVISION FAILURES

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FROM:  U.S. COMMODITY FUTURES TRADING COMMISSION  September 30, 2015 CFTC Orders Deutsche Bank AG to Pay a $2.5 Million Civil Monetary ...