FINRA Orders Summit Brokerage Services, Inc. to Pay More Than $550,000 in Restitution to Customers Whose Accounts Were Excessively Traded
FINRA Orders Summit Brokerage Services, Inc.
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Regulation
Enforcement, licensing and rule-making from the SEC, FCA, CySEC, ASIC and the rest.
185 stories since 2018 · page 10 of 10
July 2019
ASIC cancels AFS licence of Australasia Wealth Services and Management
ASIC has cancelled AFS licence of Sydney-based financial services provider Australasia Wealth Services and Management Pty Ltd (AWSM) as of 4 June 2019.
June 2019
ASIC Media Release : NSW company director convicted after engaging in phoenix activity
Ms Chanthabouly of Carnes Hill, NSW has been convicted and sentenced by ASIC after pleading guilty to charges related to illegal phoenix activity.
March 2018