The Securities and Exchange Commission (SEC) today charged investment adviser Inspire Investing LLC with making misleading statements.

NFA命令佛罗里达州公司Trinity Trading Group LLC及其委托人不要重新申请NFA会员资格和委托人身份。

TradeUP Securities, Inc. has agreed to pay a fine of $300,000 as a part of a settlement with the Financial Industry Regulatory Authority (FINRA).

英国金融行为监管局（FCA）禁止弗朗西斯·巴克曼（Francis Buckman）履行与任何受监管活动相关的任何职能。

澳大利亚证券和投资委员会（ASIC）将根据新的金融市场基础设施（FMI）法获得新的权力。

First Horizon agreed to pay a civil penalty of $325,000 to resolve the SEC’s charges.

Dalmore Group LLC has agreed to pay a fine of $375,000 as a part of a settlement with the Financial Industry Regulatory Authority (FINRA).

The firms agreed to pay combined civil penalties of more than $1.3 million to settle the SEC’s charges.

作为与金融业监管局（FINRA）和解的一部分，Pershing LLC已同意支付15万美元罚款。

FMA指控该个人多次交易并鼓励其他人交易或持有HGH股票。

CySEC today issued an update regarding its decision to prohibit Petros Zachariades from exercising his management duties at Crowd Tech Ltd.

ASIC has suspended the Australian financial services (AFS) licence of Olritz Financial Group Pty Ltd until 5 March 2025.

ASIC正在提醒消费者注意数字黄金金库中的可疑投资机会。

The Australian Prudential Regulation Authority (APRA) has proposed changes to the capital framework for banks.

To settle the SEC’s charges, the companies agreed to pay more than $3 million combined in civil penalties.

The Financial Industry Regulatory Authority (FINRA) has suspended John C. Shen for 30 days due to his use of WeChat.

新西兰金融市场管理局（FMA）已取消Rockfort Markets Limited的衍生品发行人（DI）许可证。

The CFTC commenced actions to revoke the registrations of Purvesh Mankad, CTAX Partners, LLC and CTAX Series, LLC.

Equiniti, formerly known as American Stock Transfer & Trust Company, lost millions of dollars of client funds.

ASIC has cancelled the Australian financial services licence (AFSL) of former national financial advisory business Libertas.

ASIC announced today the takedown of more than 7,300 phishing and investment scam websites.

MAS today issued a one-year prohibition order against a former representative of HSBC Bank, Aw Jun Ray, Reko Corinthians.

美国证券交易委员会（SEC）今天宣布对卡尔·C（Carl C.）提出指控。伊坎和他的上市公司伊坎企业有限公司

CFTC今天发布命令，同时对Get Money Tradez LLC提出指控并和解。