Genesis World Capital, LLC has agreed to a $21
million penalty to settle costs introduced in opposition to the agency by the Securities
and Change Fee (SEC). This matter includes allegations by the
regulator that the...
The Australian Securities and Exchange Commission (ASIC) informed on Wednesday that the Federal Court had fined Australian Investment Exchange Limited (AUSIEX) and Commonwealth Securities Limited (CommSec). The cumulative penalty exceeds $27...
The Financial Industry Regulatory
Authority (FINRA) has slammed a $100,000 fine on Dealerweb Inc., operator of an
electronic interdealer platform for mortgage-backed securities.
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