|
Carat GP Fine
|
05 November 2025 |
2025
|
Carat GP
|
FR
|
Inadequate Supervision
|
AMF
|
€2,500,000
|
$2,891,762
|
|
First Trust Fine - $10M - Gifts & Entertainment - FINRA - Oct-25
|
31 October 2025 |
2025
|
First Trust
|
US
|
Gifts & Entertainment
|
FINRA
|
$10,000,000
|
$10,000,000
|
|
Macquarie - $TBC - Inadequate Supervision - ASIC - Sep-25 - Shield Fund Contraventions
|
23 September 2025 |
2025
|
Macquarie
|
AU
|
Inadequate Supervision
|
ASIC
|
$-
|
$-
|
|
Mizuho Traders Fine Upheld - £381k - Spoofing - FCA - Jul-25
|
30 June 2025 |
2025
|
Mizuho
|
GB
|
Spoofing
|
FCA
|
£381,000
|
$506,925
|
|
Bank of New York Mellon Fine - $500k - Record Keeping CFTC - Sep-25
|
03 September 2025 |
2025
|
Bank of New York Mellon
|
US
|
Record Keeping
|
CFTC
|
$500,000
|
$500,000
|
|
Santander Fine - $500k - Record Keeping CFTC - Sep-25
|
03 September 2025 |
2025
|
Santander
|
US
|
Record Keeping
|
CFTC
|
$500,000
|
$500,000
|
|
SMBC Fine - $500k - Record Keeping CFTC - Sep-25
|
03 September 2025 |
2025
|
SMBC
|
US
|
Record Keeping
|
CFTC
|
$500,000
|
$500,000
|
|
Citigroup Fine - $1.5m - Trade Reporting - CFTC - Sep-25
|
03 September 2025 |
2025
|
Citigroup
|
US
|
Trade Reporting
|
CFTC
|
$1,500,000
|
$1,500,000
|
|
UBS Fine - $5m - Inadequate Supervision - CFTC - Sep-25
|
03 September 2025 |
2025
|
UBS
|
US
|
Inadequate Supervision
|
CFTC
|
$5,000,000
|
$5,000,000
|
|
Andrew Buckanavage Fine - $178k - Failure to Provide Testimony - FINRA - Sep-25
|
02 September 2025 |
2025
|
Andrew Buckanavage
|
US
|
Failure to Provide Testimoney
|
FINRA
|
$177,962.80
|
$177,962.80
|
|
Societe Generale Fine - A$3.8m - Market Manipulation - ASIC- Sep-25
|
01 September 2025 |
2025
|
Societe Generale
|
AU
|
Market Manipulation
|
ASIC
|
$3,880,100 AUD
|
$2,561,060
|
|
Capital Finance and Investments LLP Fine - $1k - Failure to Appear - SEBI - Aug-25
|
27 August 2025 |
2025
|
Capital Finance and Investments
|
IN
|
Failure to Appear
|
SEBI
|
₹1,00,000
|
$1,130
|
|
TerraCom Fine - $7.5m - Whistleblower Protections - ASIC - Aug-25
|
25 August 2025 |
2025
|
TerraCom
|
AU
|
Whistleblower Protections
|
ASIC
|
$7,500,000
|
$7,500,000
|
|
Mercer Super Trust - Insufficient Systems - ASIC- Aug-25
|
13 August 2025 |
2025
|
Mercer Super trust
|
AU
|
Inadequate Supervision
|
ASIC
|
TBD
|
TBD
|
|
National Australia Bank Fine - $15.5m - Consumer Protection - ASIC - Aug-25
|
12 August 2025 |
2025
|
National Australia Bank
|
AU
|
Consumer Protection
|
ASIC
|
$15,500,000
|
$15,500,000
|
|
Bruce Conway Fine - $160k - Insider Trading - SEC - Aug-25
|
06 August 2025 |
2025
|
Bruce Conway
|
US
|
Insider Trading
|
SEC
|
$160,936.22
|
$160,936.22
|
|
MediaAlpha Fine - $45m - Unfair and Deceptive Practices - FTC - Aug-25
|
05 August 2025 |
2025
|
MediaAlpha
|
US
|
Unfair and Deceptive Practices
|
FTC
|
$45,000,000
|
$45,000,000
|
|
Assurance IQ Fine - $100m - Fraud - FTC - Aug-25
|
05 August 2025 |
2025
|
Assurance IQ
|
US
|
Fraud
|
FTC
|
$100,000,000
|
$100,000,000
|
|
MUFG Fine - $9.8m - Substituted Compliance - SEC - Aug-25
|
05 August 2025 |
2025
|
MUFG
|
US
|
Substituted Compliance
|
SEC
|
$9,800,000
|
$9,800,000
|
|
Sigma Broking Fine - £1.1m - Transaction Reporting Failures - FCA - Jul-25
|
28 July 2025 |
2025
|
Sigma Broking
|
GB
|
Trade Reporting
|
FCA
|
£1,087,300
|
$1,462,584
|
|
Jeremy Clark Fine - $80k - Conflict of Interest - CIRO - Jul-25
|
23 July 2025 |
2025
|
Jeremy Clark
|
US
|
Conflicts of Interest
|
CIRO
|
$80,000
|
$80,000
|
|
First National Bank - Liquidity Issues - OCC - Jul-25
|
15 July 2025 |
2025
|
First National Bank
|
US
|
Liquidity
|
OCC
|
TBD
|
TBD
|
|
Interactive Brokers Fine - $11.8m - AML - OFAC - Jul-25
|
06 July 2025 |
2025
|
Interactive Brokers
|
US
|
Sanction Violations
|
OFAC
|
$11,832,136
|
$11,832,136
|
|
Barclays Bank Fine - £39.3 - AML - FCA - Jul-25
|
06 July 2025 |
2025
|
Barclays
|
GB
|
AML
|
FCA
|
£39,314,700
|
$52,632,554
|
|
Monzo Fine - £21M - Inadequate Oversight - FCA - Jul-25
|
06 July 2025 |
2025
|
Monzo
|
GB
|
Inadequate Supervision
|
FCA
|
£21,091,300
|
$28,677,503
|
|
Jane Street Fine - $566.3m - Market Manipulation - SEBI - Jul-25
|
06 July 2025 |
2025
|
Jane Street
|
US
|
Market Manipulation
|
SEBI
|
₹4,843,57,70,168
|
$566,300,00
|
|
Neil Woodford FCA Fine - £5.9m - Duty of Care - FCA - Jul-25
|
30 June 2025 |
2025
|
Woodford Investment Management
|
GB
|
Liquidity
|
FCA
|
£40,000,000
|
$54,926,000
|
|
Woodford Investment Management Fine - £40m - Liquidity Failures - FCA - Jul-25
|
30 June 2025 |
2025
|
Woodford Investment Management
|
GB
|
Liquidity
|
FCA
|
£40,000,000
|
$54,926,000
|
|
James "Jes" Staley Ban and Fine Upheld by Upper Tribunal - £1m - FCA - Jun-25
|
12 November 2024 |
2025
|
-
|
GB
|
Lack of Candour
|
FCA
|
£1,107,306
|
$1,522,246
|
|
Velox Clearing Fine - $1.3m - Inadequate Supervision - FINRA - Jun-25
|
22 June 2025 |
2025
|
Velox Clearing
|
US
|
Inadequate Supervision
|
FINRA
|
$1,300,000
|
$1,300,000
|
|
GVA Capital Fine - $215m - Sanction Violations - OFAC - Jun-25
|
11 June 2025 |
2025
|
GVA Capital
|
US
|
Sanction Violations
|
OFAC
|
$215,988,868
|
$215,988,868
|
|
Rialto Markets Fine - $50k - Inadequate Supervision - FINRA - Jun-25
|
10 May 2025 |
2025
|
Rialto Markets
|
US
|
Inadequate Supervision
|
FINRA
|
$50,000
|
$50,000
|
|
23andMe Fine - £2.3m - GDPR - ICO - Jun-25
|
04 June 2025 |
2025
|
23AndMe
|
GB
|
GDPR
|
ICO
|
£2,310,000
|
$3,171,780
|
|
Trive Credit Fine - €180k - GDPR - AEPD - May-25
|
28 May 2025 |
2025
|
Trive Credit
|
ES
|
AEPD
|
|
€180,000
|
$202,149
|
|
Macquarie Bank - ASIC Sues Macquarie for Misleading and Misreporting Short Sales - May 2025
|
13 May 2025 |
2025
|
Macquarie
|
AU
|
Trade Reporting
|
ASIC
|
-
|
-
|
|
Macquarie Bank - Additional License Conditions - ASIC - May 2025
|
06 May 2025 |
2025
|
Macquarie
|
AU
|
Trade Reporting
|
ASIC
|
-
|
-
|
|
Karen Pignet-Aiach, Gad Aiach, Michaël Chetrit and Mikostart Fine - €700,000 - AMF - May 2025
|
10 February 2025 |
2025
|
-
|
FR
|
Insider Trading
|
AMF
|
€700,000
|
$777,000
|
|
DPP Law Fine - £60k - GDPR - ICO - April-25
|
13 April 2025 |
2025
|
DPP Law
|
GB
|
GDPR
|
ICO
|
£60,000
|
$82,449
|
|
Advanced Computer Software Group Fine - £3m - GDPR - ICO - Mar-25
|
26 March 2025 |
2025
|
DPP Law
|
GB
|
GDPR
|
ICO
|
£3,076,320
|
$3,982,142
|
|
London Metal Exchange (LME) Fine - £9,245,900 - FCA - March 2025
|
19 March 2025 |
2025
|
London Metal Exchange
|
GB
|
Inadequate Supervision
|
FCA
|
£9,245,900
|
$12,019,207
|
|
Robinhood Fine - $26m - FINRA - Mar 2025
|
06 March 2025 |
2025
|
Robinhood
|
US
|
Inadequate Supervision
|
FINRA
|
$26,000,000
|
$26,000,000
|
|
Cantor Fitzgerald Fine - €452,790 - Failure to Report Suspicious Transactions – Bank of Ireland - Feb 2025
|
25 February 2025 |
2025
|
Cantor Fitzgerald
|
IE
|
STOR Reporting
|
Bank of Ireland
|
€452,790
|
$473,663
|
|
Brink’s Global Services Fine - $37m - Inadequate Supervision - FinCEN - Feb-25
|
06 February 2025 |
2025
|
Brink’s Global Services
|
US
|
Inadequate Supervision
|
FinCEN
|
$37,000,000
|
$37,000,000
|
|
BigOption, BinaryBook, and BinaryOnline Fine - $451 Million - CFTC - Jan 2025
|
29 January 2025 |
2025
|
Big Option
|
US
|
Fraud
|
CFTC
|
$451,000,000
|
$451,000,000
|
|
Infinox Capital Limited - Fine - FCA - Transaction Reporting Failures
|
27 January 2025 |
2025
|
Infinox
|
GB
|
Trade Reporting
|
FCA
|
£99,200
|
$123,578
|
|
John Lowe, Randy Grewal, Richard Ringel, and David Cooper - Fine - SEC - $2.5M - Jan 2025
|
15 January 2025 |
2025
|
-
|
US
|
Insider Trading
|
SEC
|
$2,540,000
|
$2,540,000
|
|
Robinhood Fine - $45M - SEC - Regulatory Violations - Jan 2025
|
13 January 2025 |
2025
|
Robinhood
|
US
|
Record Keeping
|
SEC
|
$45,000,000
|
$45,000,000
|
|
EcoR1 Capital Fine - €10M - Marking the Close – AMF - Dec 2024
|
13 December 2024 |
2024
|
EcoR1
|
FR
|
Marking the Close
|
AMF
|
€10,000,000
|
$10,473,500
|
|
Eric Cobb/SeaCrest Fine - $375k - Cherry Picking – SEC - DEC 2024
|
12 December 2024 |
2024
|
Seacrest
|
US
|
Cherry Picking
|
SEC
|
$375,000
|
$375,000
|
|
Netflix Fine - €4.7m - GDPR - AP (Dutch DPA) - Nov-24
|
26 November 2024 |
2025
|
Netflix
|
NL
|
GDPR
|
AP
|
€4,750,000
|
$4,962,562
|
|
Ken Leech Charge - Unfair Allocations (Cherry-Picking) - SEC - Nov 2024
|
25 December 2024 |
2024
|
-
|
US
|
Cherry Picking
|
SEC
|
-
|
-
|
|
Macquarie Bank London Fine - £13m - Fictitious Trades - FCA - Nov 24
|
18 November 2024 |
2024
|
Macquarie
|
GB
|
Fictitious Trades
|
FCA
|
£13,031,400
|
$16,442,368
|
|
Metro Bank Fine - £16.7m - Inadequate Transaction Monitoring - FCA - Nov 24
|
12 November 2024 |
2024
|
Metro Bank
|
GB
|
Inadequate Supervision
|
FCA
|
£16,675,200
|
$21,465,984
|
|
Desjardins Securities Fine - $225k - Inadequate Supervision - CIRO - Nov-24
|
05 November 2024 |
2024
|
Desjardins Securities
|
CA
|
Inadequate Supervision
|
CIRO
|
$225,000
|
$225,000
|
|
Royal Mutual Funds Fine - $135k - Inadequate Supervision - CIRO - Oct-24
|
31 October 2024 |
2024
|
Royal Mutual Funds
|
CA
|
Inadequate Supervision
|
CIRO
|
$135,000
|
$135,000
|
|
RBC Dominion Securities Fine - $1m - Off Market Trades - CIRO - Oct-24
|
28 October 2024 |
2024
|
RBC Dominion Securities
|
CA
|
Off Market Trades
|
CIRO
|
$1,000,000
|
$1,000,000
|
|
WisdomTree Fine - $4M - ESG Fund Misstatements - SEC - Oct 24
|
14 October 2024 |
2024
|
Wisdomtree
|
US
|
Greenwashing
|
SEC
|
$4,000,000
|
$4,000,000
|
|
Citadel Securities Fine - $1M - Trade Reporting – FINRA - Oct 2024
|
08 October 2024 |
2024
|
Citadel
|
US
|
Trade Reporting
|
FINRA
|
$1,000,000
|
$1,000,000
|
|
Merrill Lynch Fine - $2m - Trade Reporting Errors - FINRA - Sep 2024
|
29 September 2024 |
2024
|
Merrill Lynch
|
US
|
Trade Reporting
|
FINRA
|
$2,000,000
|
$2,000,000
|
|
Macquarie Bank Fine - $4.995M - Marking the Close - ASIC - Sep 24
|
24 September 2024 |
2024
|
Macquarie
|
AU
|
Marking the Close
|
ASIC
|
$4,995,000 AUD
|
$3,446,550
|
|
Independent Financial Group Fine - $500k - FINRA - Churning - Sep 2024
|
22 September 2024 |
2024
|
International Financial Group
|
US
|
Churning
|
FINRA
|
$500,000
|
$500,000
|
|
CLSA Australia Fine - $144k - ASIC - Trade Reporting Errors - Aug 2024
|
28 August 2024 |
2024
|
CLSA
|
AU
|
Trade Reporting
|
ASIC
|
$144,300AUD
|
$97,871
|
|
Stifel Nicolaus Canada Fine - $500k - Inadequate Supervision - CIRO - Aug-24
|
13 August 2024 |
2024
|
Stifel
|
CA
|
Inadequate Supervision
|
CIRO
|
$500,000
|
$500,000
|
|
Western International Securities Fine - $475k - FINRA - Churning - Jul 2024
|
28 July 2024 |
2024
|
Western International Securities
|
US
|
Churning
|
FINRA
|
$475,000
|
$475,000
|
|
Biosynex Fine - €930k - Insider Trading – AMF - July 2024
|
24 July 2024 |
2024
|
Biosynex
|
FR
|
Insider Trading
|
AMF
|
€930,000
|
$100,8910
|
|
Uber Fine - €290m - GDPR - AP (Dutch DPA) - Jul-24
|
21 July 2024 |
2024
|
Netflix
|
NL
|
GDPR
|
AP
|
€290,000,000
|
$316,056,500
|
|
J.P. Morgan Securities Fine - $200m - Data Completeness - CFTC - May 2024
|
22 May 2024 |
2024
|
J.P. Morgan
|
US
|
Data Completeness
|
CFTC
|
$200,000,000
|
$200,000,000
|
|
TD Securities Fine 2024 - Spoofing - $22.3m - SEC - Jan 24
|
30 January 2024 |
2024
|
TD Securities
|
US
|
Spoofing
|
SEC
|
$22,300,000
|
$22,300,000
|
|
Sigma Broking Fine - £530k - Transaction Reporting Failures - FCA - Oct-22
|
03 October 2022 |
2022
|
Sigma Broking
|
GB
|
Trade Reporting
|
FCA
|
£531,600
|
$600,787
|
|
Bank of Nova Scotia Fine - $127.4M - Spoofing – Jan 2020
|
30 January 2020 |
2020
|
Bank of Nova Scotia
|
US
|
Spoofing
|
CFTC
|
$127,400,000
|
$127,400,000
|
|
SAC Capital Advisors Fine - $1.8bn - Insider Trading - DOJ - Nov-13
|
04 November 2013 |
2013
|
SAC Capital Advisors
|
US
|
Insider Trading
|
DOJ
|
$1,800,000,000
|
$1,800,000,000
|
|
Amaranth Advisors Fine - $7.5m - Market Manipulation - CFTC - Aug-09
|
12 August 2009 |
2009
|
Amaranth Advisors
|
US
|
Market Manipulation
|
CFTC
|
$7,500,000
|
$7,500,000
|
|
Amaranth Advisors Fine - $7.5m - Market Manipulation - FERC - Aug-09
|
12 August 2009 |
2009
|
Amaranth Advisors
|
US
|
Market Manipulation
|
FERC
|
$7,500,000
|
$7,500,000
|
