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Bourne supremacy ends: CFTC charges him with fraudulently mismarking swaps
Deutsche BankSaturday November 10, 2018 8:55AM ET
The Commodity Futures Trading Commission (CFTC) announced today that it filed and settled charges against Jacob Bourne, a former managing director of Deutsche Bank Securities Inc., for fraudulently mismarking swap valuations to conceal significant trading losses.
CFTC orders Commerzbank to pay $12 million for swap dealing violations
CommerzbankSaturday November 10, 2018 8:54AM ET
The Commodity Futures Trading Commission (CFTC) issued an Order filing and simultaneously settling charges against Commerzbank for numerous violations of the Commodity Exchange Act (CEA) and CFTC Regulations.
Ice-making company fined $350K for Fisheries Act violation
Arctic Glacier CanadaFriday November 9, 2018 2:34PM ET
On November 5, 2018, Arctic Glacier Canada Inc. pleaded guilty, in the Provincial Court of British Columbia, to violating subsection 36(3) of the Fisheries Act.
Westpac fined $2.4 million in rate case, fraction of penalty sought
WestpacFriday November 9, 2018 7:04AM ET
The Federal Court of Australia ordered Westpac Banking Corporation (Westpac) pay a pecuniary penalty of $3.3 million for contravening s12CC of the Australian Securities and Investments Commission Act 2001 (Cth) (ASIC Act) through its involvement in setting BBSW in 2010.
Citibank to pay more than $38 million for improper handling of ADRs
CitigroupThursday November 8, 2018 3:27AM ET
The Securities and Exchange Commission (SEC) announced that Citibank N.A. has agreed to pay $38.7 million to settle charges of improper handling of “pre-released” American Depositary Receipts (ADRs).
Not meeting honey rules cost Auckland businessman more than $26,000
honeyMonday November 5, 2018 7:01AM ET
An Auckland businessman has been fined more than $26,000 for offences related to making false therapeutic claims about honey and failing to ensure he was a registered exporter.
German shipping operator sentenced to pay $3.2 million for falsifying logs to hide oil
MSTSaturday November 3, 2018 9:52AM ET
A German shipping company, MST Mineralien Schiffahrt Spedition und Transport GmbH (MST), pleaded guilty and was sentenced in Portland, Maine, for obstruction of justice and for maintaining false official records to conceal deliberate pollution from one of its ships, the MV Marguerita, announced Assistant Attorney General Jeffrey B. Clark for the Justice Department’s Environment and Natural Resources Division and United States Attorney Halsey B. Frank for the District of Maine.
Northrop Grumman to pay $27.45 million to settle False Claims Act allegations
Northrop GrummanSaturday November 3, 2018 9:50AM ET
The Justice Department announced that Northrop Grumman Systems Corporation (NGSC) has agreed to settle civil allegations that it violated the False Claims Act (FCA), 31 U.S.C. §3729, by overstating the number of hours its employees worked on two battlefield communications contracts with the United States Air Force.
U.S. indicts Chinese, Taiwan firms for targeting Micron trade secrets
MicronThursday November 1, 2018 4:11PM ET
A federal grand jury indicted a state-owned enterprise of the People’s Republic of China (PRC), a Taiwan company, and three individuals, charging them with crimes related to a conspiracy to steal, convey, and possess stolen trade secrets of an American semiconductor company for the benefit of a company controlled by the PRC government.
Former PDVSA executive director pleads guilty in billion-dollar money laundering conspiracy
PDVSAThursday November 1, 2018 5:56AM ET
A former executive director at the Venezuelan state-owned oil company, Petróleos de Venezuela, S.A. (PDVSA), pleaded guilty today for his role in a billion-dollar international scheme to launder funds embezzled from PDVSA.
Ex-Afren executives sentenced for fraud, money-laundering
Osman ShahenshahTuesday October 30, 2018 4:11AM ET
Two former executives of collapsed oil company Afren were sentenced to up to six years in prison on Monday after they were convicted of fraud and money laundering over a $300 million business deal, Britain\'s Serious Fraud Office (SFO) said.
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