violations - Bayu.Uk

CME fines Eagle Seven for alleged violations of NYMEX guidelines

Worldwide derivatives market CME Group has posted a discover of disciplinary motion as to Eagle Seven LLC. Pursuant to a proposal of settlement during which Eagle Seven LLC neither admitted…

bayu December 19, 2023

Forex

FINRA fines Elevation for alleged violations of guidelines prohibiting fraudulent buying and selling

Elevation LLC has agreed to pay a superb of $75,000 as part of a settlement with the Monetary Business Regulatory Authority (FINRA). From January 2016 by April 2022, Elevation’s supervisory…

bayu December 18, 2023

Forex

CTC will get a slap on the wrist for violations of Cboe guidelines

CTC LLC has agreed to pay a effective of $15,000 as part of a settlement masking alleged violations of Cboe Trade guidelines. Throughout in or about December 2022 via in…

bayu December 11, 2023

Forex

ICE imposes high-quality on TFS Derivatives for block commerce violations

ICE Futures U.S. has imposed a high-quality on TFS Derivatives Ltd for violating Alternate guidelines. The related Alternate Rule states: “Rule 4.07(c) – Block Commerce Violations The events to a…

bayu December 7, 2023

Forex

M1 Finance, Open to the Public Investing, SoFi Securities, and SogoTrade fined $2.6M for securities lending violations

US broker-dealer oversight physique FINRA has introduced that it has sanctioned 4 companies – M1 Finance LLC, Open to the Public Investing, Inc., SoFi Securities LLC, and SogoTrade, Inc. –…

bayu December 6, 2023

Forex

Binance agrees to pay over $4B for US regulation violations

Binance Holdings Restricted, the entity that operates the world’s largest cryptocurrency alternate, Binance.com, pleaded responsible on November 21, 2023 and has agreed to pay over $4 billion to resolve the…

bayu November 22, 2023

Forex

Wedbush Securities to pay $175k wonderful for alleged violations of CME guidelines

Worldwide derivatives market CME Group has issued a discover of disciplinary motion towards Wedbush Securities Inc. Pursuant to a proposal of settlement, wherein Wedbush Securities Inc. neither admitted or denied…

bayu November 21, 2023

Forex

SEC fees Laidlaw and Firm (UK) with violations of Regulation Greatest Curiosity

The Securities and Alternate Fee (SEC) right now introduced settled fees in opposition to Laidlaw and Firm (UK) Ltd., a registered broker-dealer, and two of its registered representatives, Richard Michalski…

bayu November 20, 2023

Forex

CME fines, suspends dealer for violations of COMEX guidelines

Worldwide derivatives market CME Group has posted a discover of disciplinary motion in opposition to Ting Jiang. Pursuant to a proposal of settlement by which Ting Jiang neither admitted nor…

bayu November 17, 2023

Forex

HSBC Securities to pay $50k high quality for alleged violations of CME guidelines

Worldwide derivatives market CME Group has posted a discover of disciplinary motion towards HSBC Securities (USA) Inc. Pursuant to a proposal of settlement by which HSBC Securities (USA) Inc. neither…

bayu November 13, 2023