Fined - Compliancex | Compliancex

Posts Tagged “Fined”

Egyptian Steel Tycoon Fined $3 Billion For Money-Laundering

by The Compliance Exchange on October 4, 2012

Ahmed Ezz, an Egyptian steel magnate, has been fined almost 20 billion Egyptian pounds ($3 billion) and sentenced to seven years in prison for money-laundering today

Leave your comment • Tagged as: Arabiya, Complianced, Fined, Laundering, Money, Prison
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Finra Says Former Brookstone Securities Compliance Officer ‘Looked the Other Way’

by James Welsh on June 27, 2012

Former Brookstone Securities chief compliance officer, David Locy failed to stop the firm from misleading elderly investors.

Leave your comment • Tagged as: Antony Lee Turbeville, Barred, Broker-Dealer, Brookstone Securities, Chief Compliance Officer, Christopher Dean Kline, collateralized mortgage debt obligations, Compliance, David Locy fined, David William Locy, elderly investors, Financial Industry Regulatory Authority, Fined, Lakeland Florida, retirement savings
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JPMorgan Hearings Coming, Fired Citadel Programmer Indicted, SEC Sues China Natural Gas Chairman: CompliancEX News Roundup 5/15/2012

by The Compliance Exchange on May 15, 2012

How Bank Handles Bad Bet, JPMorgan Hearings Coming, Fired Citadel Programmer Indicted, Senator Presses SEC Over Decision, SEC Sues China Natural Gas Chairman, Habib Bank Fined $844,000