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Pharmaceutical Company Paying Penalty for Misleading Investors About Sales Metric

Fine

$: 4100000

CFTC issued a penalty against Merrill Lynch

Fine

$: 2500000

Telia agreed to pay penalties to U.S. and international authorities

Fine

$: 965000000

Sirtex pays penalty for alleged continuous disclosure breach

Fine

$: 100000

Introducing Kingsview Futures fined by NFA

Fine

$: 50000

The Securities and Exchange Commission today charged the investment services subsidiary of SunTrust Banks

Fine

$: 1100000

Merrill Lynch (Australia) Futures Limited ("MLAF”) penalised by ASIC

Fine

$: 60000

Steven Andrew Soong, of Concord New South Wales, has been banned by ASIC from managing corporations for three and a half years.

Suspension

FINRA fined C.L. King & Associates

Fine

$: 750000

ASIC has banned Daniel Gerard Manley from providing financial services for five years

Suspension