Investors harmed by misconduct
The firm refused the ombudservice’s recommendation to compensate an investor who lost more than $100,000 in exempt-market investments
Insurance rep failed to disclose conviction that occurred in Hong Kong
Bank allegedly manipulated interest-rate benchmarks during financial crisis
FINRA levied a fine of US$12.5 million after years of warnings about leaks of confidential information
Regulator says firm overcharged exchange and clearing fees
The self-regulatory organization found 15 systems issues at the firm that gave rise to various reporting violations
The Fed has ordered the firm to pay a civil penalty of US$36.3 million and announced enforcement proceedings against former managing director
Leonid Momotok was involved in an international scheme to hack into newswires and trade on stolen inside information
John Briner and his former firm have been ordered to pay US$280,000 and have been banned permanently