#financialpenalties

[reyx-baron]

CFTC imposes penalties of $250k on Peter Bryant and Bryant Capital

The Commodity Futures Trading Commission (CFTC) has taken action against Peter L. Bryant of Texas and his company, Bryant Capital Trade Mana

Abstract：The Commodity Futures Trading Commission (CFTC) has taken action against Peter L. Bryant of Texas and his company, Bryant Capital Trade Management Corporation (Bryant Capital). The CFTC has issued an order that both files and settles charges related to fraudulent activities and regulatory non-compliance. These actions pertain to Bryant's role as an unregistered commodity trading advisor (CTA) and the failure to register as required.

[reyx-baron]

Swiss Banking Giant UBS To Pay $1.4B for Penalties

UBS agrees to pay $1.44 billion in fines for alleged fraud in sale of mortgage-backed securities.

Abstract：UBS agrees to pay $1.44 billion in fines for alleged fraud in sale of mortgage-backed securities.