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13 Sep 2010, 1:06 pm
FINRA announced that it has censured and fined New York-based Trillium Brokerage Services, LLC, $1 million for using an illicit high frequency trading strategy and related supervisory failures. [read post]
28 Aug 2012, 9:45 am
Daniel Sokol Eric Barbier de La Serre and Charlotte Winckler (Jones Day) explain why this past year was A Landmark Year for the Law on Fines Imposed in EU Competition Proceedings. [read post]
12 Aug 2010, 2:29 pm
FINRA censured and fined Morgan Stanley & Co., Inc. $800,000 for failing to make public disclosures required by FINRA's rules governing research analyst conflicts of interest. [read post]
25 Aug 2010, 1:03 pm
FINRA fined Zions Direct, Inc. $225,000 for failing to disclose the potential conflict of interest created by the participation of its affiliate, Liquid Asset Management (LAM), in online CD auctions conducted by Zions involving certificates of deposit (CDs) issued by... [read post]
12 May 2014, 2:00 am
Department of Health and Human Services (HHS) Office for Civil Rights (OCR) $1,975,220 in fines collectively. [read post]
12 Apr 2010, 4:07 pm
FINRA announced that it has fined D.A. [read post]
30 Aug 2018, 8:00 am
Eric Barbier de La Serre and Eileen Lagathu describe The Law on Fines Imposed in EU Competition Proceedings: Converging Towards Hazier Lines. [read post]
20 Jul 2010, 2:16 am
“Hundreds of people face prosecution for killing pests in their back garden after a landmark legal ruling that saw a man fined more than £1,500 for killing a squirrel. [read post]
17 Aug 2010, 9:53 am
From the AP: Singer Erykah Badu has paid a $500 fine and will serve 6 months probation for disorderly conduct (disrobing in public) at Dealey Plaza last March during a music video shoot. [read post]
16 Sep 2009, 7:03 am
“Mobile phone networks could face fines of up to 10% of their turnover from today if they fail to stamp out contract mis-selling. [read post]
18 Aug 2014, 7:36 am
As a result, had the client been convicted, he would have received a significant fine, a mandatory active jail sentence, […] [read post]
16 Jul 2010, 10:07 am
“Companies owned by oil giants BP, Shell and Total were fined a total of £5.35m today for their involvement in the Buncefield oil storage depot explosion and fire ? [read post]
11 Feb 2011, 2:41 am
“Two local authorities have been fined a total of £150,000 by data protection watchdog the Information Commissioner after the theft of two laptops which, contrary to the councils’ policies, were not encrypted. [read post]
8 Jun 2007, 11:00 am
A Toronto, Ontario man was fined for drunk driving while in his mother's motorized wheelchair. [read post]
7 Jun 2011, 3:26 am
“A UK court has fined a man more than £2,000 for illegally obtaining health patients’ personal data, the Information Commissioner’s Office (ICO) has said. [read post]
12 Apr 2011, 11:57 am
FINRA announced that it fined Santander Securities of Puerto Rico $2 million for deficiencies in its structured product business, including unsuitable sales of reverse convertible securities to retail customers, inadequate supervision of sales of structured products, inadequate supervision of accounts... [read post]
30 Dec 2020, 1:03 pm
Ticketmaster agreed on Wednesday to pay a $10 million fine to escape prosecution over criminal charges accusing the company of hacking into the computer system of a startup rival. [read post]
4 Dec 2009, 1:30 am
“The safety record of Britain’s nuclear industry will be tarnished tomorrow when managers at the Sellafield complex in Cumbria are fined for exposing staff to radioactive contamination. [read post]
16 Aug 2019, 8:45 am
Clarke, Melbourne Law School describe OECD-Inspired Reform: The Case of Corporate Fines for Cartel Conduct. [read post]
18 Jan 2012, 2:05 pm
FINRA fined Citigroup Global Markets, Inc. $725,000 for failing to disclose certain conflicts of interest in its research reports and research analysts' public appearances. [read post]
