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Stay up-to-date as we innovate in compliance tech and data consolidation.
Stay up-to-date as we innovate in compliance tech and data consolidation.
SteelEye | 13 December 2024
SteelEye | 12 December 2024
SteelEye | 30 September 2024
SteelEye | 24 September 2024
SteelEye | 23 September 2024
Title | Date | Enforcement Year | Company | Country | Primary Violation | Regulator | Fine Amount | Fine Amount (USD) |
---|---|---|---|---|---|---|---|---|
James "Jes" Staley Ban and Fine Upheld by Upper Tribunal - £1m - FCA - Jun-25 | 26 June 2025 | 2025 | - | GB | Lack of Candour | FCA | £1,107,306 | $1,522,246 |
Macquarie Bank - ASIC Sues Macquarie for Misleading and Misreporting Short Sales - May 2025 | 14 May 2025 | 2025 | Macquarie | AU | Trade Reporting | ASIC | - | - |
Macquarie Bank - Additional License Conditions - ASIC - May 2025 | 07 May 2025 | 2025 | Macquarie | AU | Trade Reporting | ASIC | - | - |
Karen Pignet-Aiach, Gad Aiach, Michaël Chetrit and Mikostart Fine - €700,000 - AMF - May 2025 | 05 May 2025 | 2025 | - | FR | Insider Trading | AMF | €700,000 | $777,000 |
London Metal Exchange (LME) Fine - £9,245,900 - FCA - March 2025 | 19 March 2025 | 2025 | London Metal Exchange | GB | Inadequate Oversight | FCA | £9,245,900 | $12,019,207 |
Robinhood Fine - $26m - FINRA - Mar 2025 | 06 March 2025 | 2025 | Robinhood | US | Inadequate Oversight | FINRA | $26,000,000 | $26,000,000 |
Cantor Fitzgerald Fine - €452,790 - Failure to Report Suspicious Transactions – Bank of Ireland - FEB 2025 | 27 February 2025 | 2025 | Cantor Fitzgerald | IE | STOR Reporting | Bank of Ireland | €452,790 | $473,663 |
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 |
Ken Leech Charge - Unfair Allocations (Cherry-Picking) - SEC - Nov 2024 | 25 November 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 Oversight | FCA | £16,675,200 | $21,465,984 |
WisdomTree Fine - $4M - ESG Fund Misstatements - SEC - Oct 24 | 15 October 2024 | 2024 | Wisdomtree | US | Greenwashing | SEC | $4,000,000 | $4,000,000 |
Citadel Securities Fine - $1M - Trade Reporting – FINRA - Oct 2024 | 09 October 2024 | 2024 | Citadel | US | Trade Reporting | FINRA | $1,000,000 | $1,000,000 |
Merrill Lynch Fine - $2m - Trade Reporting Errors - FINRA - Sep 2024 | 30 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 | 23 September 2024 | 2024 | International Financial Group | US | Churning | FINRA | $500,000 | $500,000 |
CLSA Australia Fine - $144k - ASIC - Trade Reporting Errors - Aug 2024 | 29 August 2024 | 2024 | CLSA | AU | Trade Reporting | ASIC | $144,300AUD | $97,871 |
Western International Securities Fine - $475k - FINRA - Churning - Jul 2024 | 29 July 2024 | 2024 | Western International Securities | US | Churning | FINRA | $475,000 | $475,000 |
Biosynex Fine - €930k - Insider Trading – AMF - July 2024 | 25 July 2024 | 2024 | Biosynex | FR | Insider Trading | AMF | €930,000 | $100,8910 |
J.P. Morgan Securities Fine - $200m - Data Completeness - CFTC - May 2024 | 23 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 | 18 January 2024 | 2024 | TD Securities | US | Spoofing | SEC | $22,300,000 | $22,300,000 |
Bank of Nova Scotia Fine - $127.4M - Spoofing – Jan 2020 | 31 January 2020 | 2020 | Bank of Nova Scotia | US | Spoofing | CFTC | $127,400,000 | $127,400,000 |
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