FINRA fines Maxim Group for alleged rule violations
Maxim Group LLC has agreed to pay a fine of $35,000 as a part of a settlement with the Financial Industry Regulatory Authority (FINRA).
Regulatory News
Regulatory News
CFTC obtains Court order directing Michael Staryk to pay over $6M for options fraud
The Commodity Futures Trading Commission announced today the U.S. District Court for the District of Connecticut entered a default judgment against defendant Michael Frederick Staryk.
FCA bans former law firm owner from financial services
The FCA has banned Nurul Miah, also known as Neil Mia and Neil Miah, from working in financial services.
FINRA imposes $130k fine on FMSbonds
FMSbonds, Inc has agreed to pay a fine of $130,000 as a part of a settlement with the Financial Industry Regulatory Authority (FINRA).
Upper Tribunal upholds Crispin Odey ban
The ban from the financial services industry imposed by the UK Financial Conduct Authority (FCA) on Crispin Odey has been upheld by the Upper Tribunal.
German regulator orders Cadence Growth Capital to submit documents regarding its relations with placement agents
Germany’s Federal Financial Supervisory Authority (Bafin) has ordered Cadence Growth Capital GmbH to submit its contracts with placement agents.
HK watchdog bans former rep of Sun Hung Kai Investment Services for 42 months
The Securities and Futures Commission (SFC) has prohibited Ms Mok Cheuk Ling from re-entering the industry for 42 months.
SEC charges Ernest Ossei Boateng, Intercontinental Wealth Network in alleged $16M Ponzi scheme
The Securities and Exchange Commission (SEC) today charged Ernest Ossei Boateng and two companies he controls, Intercontinental Wealth Network LLC and I Wealth Network LP.
LEADING BROKERS
LATEST NEWS
Cboe Equities to introduce separate Fat Finger Protection limits for Non-RTH sessions
October 3, 2026
CME Group puts on hold its plans to launch 24/7 10-Barrel Crude Oil contract
October 3, 2026
TP ICAP Global Markets Americas to pay $165k fine for alleged NYMEX rule violations
October 2, 2026
CMC Markets CEO Lord Peter Cruddas commits to purchase £5 million in shares
October 2, 2026
SEC announces settled charges against J.P. Morgan for alleged violations of Securities Exchange Act
October 2, 2026
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Regulatory News
FINRA fines Maxim Group for alleged rule violations
Maxim Group LLC has agreed to pay a fine of $35,000 as a part of a settlement with the Financial Industry Regulatory Authority (FINRA).
CFTC obtains Court order directing Michael Staryk to pay over $6M for options fraud
The Commodity Futures Trading Commission announced today the U.S. District Court for the District of Connecticut entered a default judgment against defendant Michael Frederick Staryk.
FCA bans former law firm owner from financial services
The FCA has banned Nurul Miah, also known as Neil Mia and Neil Miah, from working in financial services.
FINRA imposes $130k fine on FMSbonds
FMSbonds, Inc has agreed to pay a fine of $130,000 as a part of a settlement with the Financial Industry Regulatory Authority (FINRA).
Upper Tribunal upholds Crispin Odey ban
The ban from the financial services industry imposed by the UK Financial Conduct Authority (FCA) on Crispin Odey has been upheld by the Upper Tribunal.
German regulator orders Cadence Growth Capital to submit documents regarding its relations with placement agents
Germany’s Federal Financial Supervisory Authority (Bafin) has ordered Cadence Growth Capital GmbH to submit its contracts with placement agents.
HK watchdog bans former rep of Sun Hung Kai Investment Services for 42 months
The Securities and Futures Commission (SFC) has prohibited Ms Mok Cheuk Ling from re-entering the industry for 42 months.
SEC charges Ernest Ossei Boateng, Intercontinental Wealth Network in alleged $16M Ponzi scheme
The Securities and Exchange Commission (SEC) today charged Ernest Ossei Boateng and two companies he controls, Intercontinental Wealth Network LLC and I Wealth Network LP.
Regulatory News
LEADING BROKERS
LATEST NEWS
- Cboe Equities to introduce separate Fat Finger Protection limits for Non-RTH sessions
October 3, 2026 - CME Group puts on hold its plans to launch 24/7 10-Barrel Crude Oil contract
October 3, 2026 - TP ICAP Global Markets Americas to pay $165k fine for alleged NYMEX rule violations
October 2, 2026 - CMC Markets CEO Lord Peter Cruddas commits to purchase £5 million in shares
October 2, 2026 - SEC announces settled charges against J.P. Morgan for alleged violations of Securities Exchange Act
October 2, 2026
FNG NEWSLETTER
Don't Miss a Story!
With FNG's Newsletter you'll get all the latest breaking FX Industry news stories - in a concise daily email, directly to your Inbox.
You have Successfully Subscribed!
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