Alpine Securities, SEC
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The SEC has brought charges against Alpine Securities, its former CEO Christopher Doubek, and its current COO Joseph Walsh.
ASIC, Australian Forex market, CFD trading, featured, retail investors
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ASIC has released Report 735 Retail investor research capturing retail investor motivations, attitudes and behaviours.
featured, Gregg Smith, JPMorgan, JPMorgan spoofing, Michael Nowak
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A federal jury convicted two former precious metals traders at JPMorgan of fraud, attempted price manipulation, and spoofing.
Angel Oak, featured, SEC
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Angel Oak and Negandhi have agreed to settle charges and pay a penalty of $1.75 million and $75,000, respectively.
Axiance, CySEC, CySEC fine, featured, ICC Intercertus Capital Ltd
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The CySEC settlement with ICC Intercertus Capital Limited is for the possible violation of Article 42 of Regulation (EU) No 600/2014.
Specialized payments platform Paysafe Limited (NYSE:PSFE) today announced its financial results for the second quarter of 2022.
CFTC, featured, SwapStar Capital
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The CFTC has proposed a final judgment, which reflects the terms of a settlement between the Commission and SwapStar Capital LLC.
CIF, CySEC, featured
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A CIF’s recovery plan should be in place to enable it to deal with periods of financial distress and recover from financial losses.
Bloom Protocol, SEC
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The SEC has announced charges against Bloom Protocol, LLC for conducting an unregistered ICO of crypto asset securities.
featured, Rakuten, Rakuten Securities
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Rakuten Securities and Rakuten Investment Management will establish Rakuten Securities Holdings, Inc through a joint stock transfer.
