fines

Industry

Citigroup fined $30 million

Citigroup has been fined $30 million by Massachusetts authorities, reports The New York Times’ DealBook.

By Staff |October 4, 2013

1 min read

Industry

JPMorgan Chase negotiating massive fine

The Washington Post reports JPMorgan Chase is negotiating an $11 billion settlement with authorities over toxic mortgage securities the firm sold during the crisis.

By Staff |September 26, 2013

1 min read

Industry

Two reps fined $2.5M

IIROC has found David Charles Phillips and John Russell Wilson failed to tell their clients that certain First Leaside Group products were high risk.

By Staff |September 25, 2013

3 min read

Industry

Goldcorp chair settles with OSC for $200,000

The regulator has approved a settlement agreement reached between staff and Ian Telfer.

By Staff |September 20, 2013

2 min read

SEC slaps $13.9 million penalty on Rajat Gupta

The Securities and Exchange Commission (SEC) today obtained a $13.9 million penalty against former Goldman Sachs board member Rajat K. Gupta for illegally tipping corporate secrets to former hedge fund manager Raj Rajaratnam.

By Staff |July 19, 2013

2 min read

NY regulator fines Japanese bank $250 million

The New York Times’ DealBook reports New York State has slapped a $250 million fine on Bank of Tokyo-Mitsubishi UFJ. The penalty stems from claims that the bank “transferred illicit funds on behalf of Iran and other countries blacklisted from doing business in the United States,” says the report.

By Staff |June 20, 2013

1 min read

fines

Citigroup fined $30 million

JPMorgan Chase negotiating massive fine

Two reps fined $2.5M

Goldcorp chair settles with OSC for $200,000

JPMorgan Chase slapped with $920M in fines

SEC slaps $13.9 million penalty on Rajat Gupta

JPMorgan facing fine for energy manipulation

SEC hopes Goldman trader trial will offer redemption

IIROC rep fined $15,000

NY regulator fines Japanese bank $250 million