Search for: "Fine"
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15 Dec 2009, 2:10 am
"A review of how cautions and on-the-spot fines are used for serious crimes was launched today by Jack Straw, Home Secretary Alan Johnson and Attorney General Baroness Scotland. [read post]
11 May 2010, 8:30 am
“A Shropshire firm has been fined £75,000 after a worker was left partially blind and deaf when he was thrown from a machine. [read post]
6 Apr 2010, 12:56 pm
In its first enforcement action involving a broker-dealer stock borrow program, the Financial Industry Regulatory Authority (FINRA) announced today that it has fined Citigroup Global Markets, Inc. $650,000 for disclosure and supervisory violations relating to the operation of its Direct... [read post]
11 Apr 2013, 1:00 am
Antitrust Fines of Corporate Participants of Global Cartels. [read post]
23 Feb 2007, 12:05 pm
Consumerinfo.com has agreed to a pay a second fine for deceiving consumers. [read post]
14 Mar 2012, 3:28 am
“A senior salesman at Credit Suisse has been fined £210,000 by the Financial Services Authority for playing a guessing game with clients to enable them to identify private information about a forthcoming bond issue.” Full story The Guardian, 13th March 2012 Source: www.guardian.co.uk [read post]
25 Jul 2008, 8:07 am
“A self-employed painter and decorator has been given a £30 on-the-spot fine for smoking in his own van because it is classified as a workplace. [read post]
4 Oct 2011, 12:10 pm
FINRA has fined Merrill Lynch, Pierce, Fenner & Smith Inc., $1 million for supervisory failures that allowed a registered representative at Merrill Lynch's branch office in San Antonio, Texas, to use a Merrill Lynch account to operate a Ponzi scheme.... [read post]
19 Feb 2013, 12:53 pm
FINRA has fined five affiliates of ING $1.2 million for failing to retain or review millions of emails for periods ranging from two months to more than six years. [read post]
15 Mar 2012, 6:23 am
See the whole story here: Oklahoma firm fined for paying bribes in Mexico, Panama – KansasCity.com. [read post]
15 Apr 2021, 5:00 am
UK Merger Control: Finely tailored but time for a new suit? [read post]
23 Jul 2009, 3:53 pm
FINRA announced today that it fined five bank broker-dealers a total of $1.65 million for deficient supervision and procedures related to variable annuity (VA), mutual fund or unit investment trust (UIT) transactions. [read post]
28 Dec 2020, 10:57 am
The Baltimore Ravens were fined $250,000 by the NFL for violating COVID-19 protocols, a person with direct knowledge of the punishment told The Associated Press on Monday. [read post]
5 Nov 2009, 8:48 am
“A pet food firm has been fined £100,000 after one of its workers was crushed to death in a machine at a Northamptonshire factory. [read post]
15 Jul 2009, 8:37 am
“A pensioner who refused to pay his television licence fee for six years in protest over his claim that the BBC is ‘biased’ in its reporting has been fined £240. [read post]
23 Aug 2006, 12:13 pm
South Carolina has paid $49 million in fines to date for failing to meet the federal government's deadline for getting its child support tracking system online. [read post]
4 Mar 2013, 12:45 pm
FINRA fined Ameriprise Financial Services, Inc. and its affiliated clearing firm, American Enterprise Investment Services Inc. [read post]
20 May 2009, 7:25 am
“A couple claimed their number plate had been stolen and berated police in a local newspaper to avoid speed camera fines, a court has heard. [read post]
14 Jan 2011, 2:02 am
“A Kent rugby club has been fined £2,000 and deducted 50 points following a deliberate attack which left an opposing player blind in one eye. [read post]
28 Oct 2015, 1:00 pm
A Maryland appeals court has reinstated a $5.65 million fine against CashCall Inc., saying the company known for television ads aimed at people seeking loans operated as a “credit services business” in Maryland without a license. [read post]
