The Banksters

The U.S. Commodity Futures Trading Commission issued an Order filing and settling allegations that Barclays PLC, Barclays Bank PLC, and Barclays Capital Inc. Attempted on many occasions to manipulate and made false reports concerning the U.S. Dollar International Swaps and Derivatives Association Fix (USD ISDAFIX), a global benchmark for interest rate products. For more info visit http://www.cftc.gov/PressRoom/PressReleases/pr7180-15

E*TRADE agreed to pay $5 million to a group of states to resolve allegations the company failed to warn investors about the risks of auction-rate preferred securities. For more info visit https://www.nasaa.org/7015/state-securities-regulators-announce-settlement-with-etrade-in-auction-rate-securities-investigations/?qoid=current-headlines

NASD censured and fined Citigroup Global Markets, Inc., American Express Financial Advisors, and Chase Investment Services a total of $21.25 million for suitability and supervisory violations relating to mutual fund sales practices between January 2002 and July 2003. For more info visit https://www.marketwatch.com/story/correct-citi-amex-jp-morgan-fined-over-fund-sales

In 2008 The North Carolina Office of the Commissioner of Banks brought a successful enforcement action against Bank of America for Deceptive Practices and imposed fines and penalties in the amount of $1,611,500 . For more info visit https://www.nccob.gov/Online/Shared/DocumentsDisplay.aspx?FileNameAndPath=u:Enforcements8_171_Redacted.pdf .

The order finds that SG Americas submitted missing or incorrect data for approximately 27.6 million transactions and had inadequate processes designed to validate the accuracy of its submissions. Broker-dealers are required to provide trade data, which the SEC uses to carry out its enforcement and regulatory obligations, including investigations of insider trading and other fraudulent activity. For more info visit https://www.sec.gov/news/press-release/2020-142 .

The Securities and Exchange Commission today announced that Deutsche Bank Securities has agreed to pay a $9.5 million penalty for failing to properly safeguard material nonpublic information generated by its research analysts. Deutsche Bank also published an improper research report and failed to properly preserve and provide certain electronic records sought by the SEC during its investigation.  
 According to the SECs order, Deutsche Bank encouraged its equity research analysts to communicate frequently with customers as well as its own sales and trading personnel, but lacked adequate policies and procedures to prevent analysts from disclosing yet-to-be-published views and analyses, changes in estimates, and short-term trade recommendations during morning calls, trading day squawks, idea dinners, and non-deal road shows

The Financial Industry Regulatory Authority fined 10 firms a total of $43.5 million for allowing their equity research analysts to solicit investment banking business and for offering favorable research coverage in connection with the 2010 planned initial public offering of Toys R Us. For more info visit https://www.finra.org/media-center/news-releases/2014/finra-fines-10-firms-total-435-million

To resolve market timing allegations brought by the New York Attorney General, MFS agreed to pay $175 million in restitution to injured investors, cut its management fees by an estimated $125 million over the next five years and pay a penalty of $50 million. For more info visit https://web.archive.org/web/20101119022149/http://www.ag.ny.gov/media_center/2004/feb/feb05a_04.html

In 2019 The Securities and Exchange Commission brought a successful enforcement action against Truist Financial for Securities Violations and imposed fines and penalties in the amount of $5,709,753 . For more info visit https://www.sec.gov/news/press-release/2019-26 .

Market timing For more info visit https://www.nj.gov/oag/newsreleases05/pr20050308a.html

Riggs Bank pleaded guilty to a federal criminal violation of the Bank Secrecy Act in connection with what was said to be Riggs' repeated and systemic failure accurately to report suspicious monetary transactions associated with bank accounts owned and controlled by Augusto Pinochet of Chile and by the government of Equatorial Guinea. For more info visit https://www.justice.gov/archive/tax/usaopress/2005/txdv050530.html

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Risk management deficiences For more info visit https://www.occ.gov/static/enforcement-actions/ea2020-067.pdf

Credit Agricole agreed to pay $156 million in a Deferred Prosecution agreement with the Manhattan District Attorney's Office to settle settling allegations it helped foreign clients evade U.S. International economic sanctions. This agreement was made in coordination with settlements with several federal agencies. For more info visit https://www.justice.gov/usao-dc/pr/cr-dit-agricole-corporate-and-investment-bank-admits-sanctions-violations-agrees-forfeit