Enforcement actions and fines
Fines, bans, licence withdrawals and court actions announced by regulators.
93 notices · Latest notice: 6 Nov 2026
- Sunshine Loans ordered to pay $5.5 million penalty for charging customers illegal fees
The Federal Court has ordered small amount lender Sunshine Loans Pty Ltd to pay $5.5 million in civil penalties for charging an illegal fee to thousands of consumers that was prohibited under the National Credit Code.
- FSRA Alerts the Public of Suspected Fraudulent Scheme by Airo Capitals
- ASIC issues over $4.3 million in infringement notices to 22 companies for alleged failure to lodge financial reports
ASIC has issued infringement notices to 22 large proprietary companies as part of ASIC’s ongoing surveillance and enforcement work focused on financial reporting compliance.
- CFTC Secures Court Order Directing Texas Man and His Company to Pay Over $13 Million in Commodities Fraud
- Federal Court upholds $11 million in penalties and disqualification against iSignthis and former director and CEO Nickolas John Karantzis
ASIC has successfully defended the key liability, penalty and disqualification outcomes challenged by iSignthis Ltd (iSignthis), now known as Southern Cross Payments Ltd, and its former director and chief executive…
- Daventryx Limited — Settlement €40.000
The Law Regulating Companies Providing Administrative Services And Related Matters Of 2012
- CDPP discontinues aiding and abetting charge against Clive Palmer for PLC takeover law breach
The Office of the Director of Public Prosecutions (Cth) (CDPP) has discontinued proceedings against Clive Frederick Palmer for aiding and abetting Palmer Leisure Coolum Pty Ltd (PLC) to breach takeover law in 2012.
- Former Youpla Group CEO Bryn Jones and director Ronald Pattenden found to have breached their duties as directors
Former Youpla Group CEO Bryn Jones and director Ronald Pattenden have been found to have breached their duties as directors of Youpla Group companies.
- Former Youpla Group CEO Bryn Jones and director Ronald Pattenden found to have breached their duties as directors
Former Youpla Group CEO Bryn Jones and director Ronald Pattenden have been found to have breached their duties as directors of Youpla Group companies.
- ASIC sues Falcon Capital directors David Anderson and Simon Selimaj alleging First Guardian failures
Hundreds of millions of dollars of Australians' superannuation invested in the First Guardian Master Fund (First Guardian) were exposed to high-risk, undocumented, and conflicted investments, ASIC alleges in new…
- TioMarkets CY Ltd — Withdrawal of CIF licence
The Investment Services and Activities and Regulated Markets Law
- Two Entities Charged in $130 Million Fraud Scheme That Used False SEC Filings to Boost Investor Confidence
The Securities and Exchange Commission today charged two foreign-operated, Colorado-incorporated entities, BG Wealth Sharing Ltd and DSJ Exchange Pty Ltd, for orchestrating a fraud scheme that used false SEC filings…
- FCA stops HTX's crypto promotions
The FCA has secured High Court undertakings to ensure that HTX (formerly Huobi), a global crypto exchange, will not knowingly promote cryptoasset services unlawfully to UK consumers. The FCA took legal action against…
- The DFSA fines Moody’s Investors Service Middle East Limited USD 585,825 for data confidentiality breaches
- Palmer Leisure Coolum Pty Ltd convicted and fined $10,000 for breaching takeover law
Palmer Leisure Coolum Pty Ltd (PLC) has been sentenced for breaching takeover law arising from a proposed takeover of The President’s Club Ltd (TPC).
- CFTC Sues to Block State Enforcement in Utah Amid Ongoing Efforts to Preserve Jurisdiction
- ASIC halts offers in mortgage scheme managed by Murdoch Clarke Mortgage Management Ltd
ASIC has made an interim stop order on the product disclosure statement (PDS) issued by Murdoch Clarke Mortgage Management Ltd (Murdoch Clarke) offering interests in its registered managed investment scheme.
- ASIC seeks leave to appeal NSW Supreme Court decision against former Rex non-executive directors
ASIC is seeking leave to appeal the decision of the Supreme Court of NSW that former Regional Express Holdings Limited (Rex) non-executive directors The Hon John Sharp AM, Siddharth Khotkar and Lincoln Pan did not…
- Financial Services and Credit Panel cancels registration of NSW financial adviser Evan Byrnes for two and a half years
The Financial Services and Credit Panel (FSCP) has cancelled financial adviser Evan James Byrnes’ registration and prohibited him from being registered as a relevant provider for two and a half years.
- ASIC accepts cancellation of company auditor Benjamin Peters’ registration after audit surveillance
ASIC has accepted Benjamin Alfred Peters’ application for the cancellation of his registration as a company auditor after raising concerns about his role as lead auditor and engagement partner in the audit of a large…
- ASIC cancels Australian credit licence of Walker Stores Pty Ltd (in Liquidation) (Receivers and Managers Appointed)
ASIC has cancelled the Australian credit licence of Walker Stores Pty Ltd (in Liquidation) (Walker Stores) following two payments of compensation by the Compensation Scheme of Last Resort (CSLR).
- CFTC Secures Court Order Directing Louisiana Man and His Companies to Pay Over $9 Million in Forex Fraud
- Former chief executive banned after misconduct led to £4m losses in high-risk investments
The FCA has banned Jeffrey Dawkins, the former chief executive of Vector Wealth Ltd, after he dishonestly acted as a front for a disqualified director using the company to sell high-risk bonds. Mr Dawkins has also…
- Visy and Pratt companies pay over $4.1 million in infringement notices for failing to lodge financial reports on time
Infringement notices totalling $4.158 million have been paid by 21 companies within the Visy/Pratt group for allegedly failing to lodge their financial reports for the year ended 30 June 2025 on time.
- ASIC cancels AFS licence of Kyle Clifford Frost
ASIC has cancelled the Australian financial services (AFS) licence of NSW financial adviser Kyle Clifford Frost (AFS licence number 543780). The licence cancellation took effect on 15 October 2026.
- Former Rex director Lim Kim Hai disqualified for 4 years and ordered to pay $800,000 penalty for directors’ duties and continuous disclosure contraventions
The NSW Supreme Court has disqualified former Rex chief executive officer and executive chair Lim Kim Hai from managing corporations for four years and ordered him to pay a pecuniary penalty of $800,000.
- Panacea Capital director Brian Creigh charged with criminal offences
Brian Jacques Creigh, of Morton Bay, Queensland, has been charged with carrying on a financial services business without an Australian Financial Services (AFS) licence and dealing with proceeds of crime.
- CFTC Secures Federal Court Orders Requiring Former Long Island Resident and His Firm to Pay Over $288 Million for Operating a Commodity Pool Ponzi Scheme
- ASIC's annual report outlines strong enforcement and consumer outcomes
ASIC published its Annual Report for 2025-26 which showed ASIC secured court orders for civil penalties of $830 million and helped secure more than $580 million in repayments and refunds for consumers and investors…
- ASIC cancels Australian credit licence of MWL Financial Services Pty Ltd (In Liquidation)
ASIC has cancelled the Australian credit licence of MWL Financial Services Pty Ltd (In Liquidation) ACN 095 907 574 (MWL) following a payment by the Compensation Scheme of Last Resort (CSLR).
- ASIC bans former MWL financial adviser Pardeep Singh for four years
ASIC has banned former MWL Financial Services Pty Ltd (MWL) financial adviser Pardeep Singh (authorised representative number 001264972) from providing any financial services for four years.
- LIBOR/EURIBOR-related bans
The FCA has reviewed its regulatory action against individuals whose convictions have recently been overturned by the Court of Appeal.As these convictions formed the basis on which the FCA took its action, we have…
- Titanedge Securities Ltd — Total Fine €100.000
The Investment Services and Activities and Regulated Markets Law
- ESMA's third Sanctions Report highlights the need for greater convergence in enforcement
ESMA's third Sanctions Report highlights the need for greater convergence in enforcement 15 October 2026 Market Abuse Supervisory convergence Transparency The European Securities and Markets Authority (ESMA), the…
- Two plead guilty after clients lose £2m in fraud case
Two people who worked at financial advice firms have pleaded guilty to fraud after 4 clients lost £2m. Kerry Nelson, the director of Nexus Independent Financial Advisers Limited and Nexus Investment Managers Limited,…
- SEC Seeks Final Judgment Against Former Western Asset Co-CIO Ken Leech in Cherry Picking Case
The Securities and Exchange Commission today moved for entry of a final judgment by consent against Stephen Kenneth Leech II, the former co-chief investment officer of registered investment adviser Western Asset…
- SEC Coordinates with Global Financial Regulators to Raise Fraud Awareness During World Investor Week
The Securities and Exchange Commission, in coordination with other U.S. and global financial regulators, today issued a joint investor bulletin as part of World Investor Week (WIW). The bulletin encourages investors…
- Toxotis Investments Public Ltd, A. Tsokkos Hotels Public Ltd, Dome Investments Public Company Ltd and Karyes Investment Public Company Ltd — Suspension of trading of shares
The Investment Services and Activities and Regulated Markets Law
- Lydya Financial Ltd — Fine €1300
The Cyprus Securities and Exchange Commission Law
- Lydya Financial Ltd — Fine €1300
The Cyprus Securities and Exchange Commission Law
- DFSA | The DFSA fines Vault Wealth Limited USD 109,200 for carrying on unauthorised financial services in Dubai International Financial Centre
- SEC Charges Meyer Global Management and Its CEO With Defrauding Retail Investors in Private Funds That Held Interests in SpaceX and Other Pre-IPO Securities
The Securities and Exchange Commission today charged private fund adviser Meyer Global Management LLC (MGM) and its CEO, Owen E.H. Meyer, with defrauding investors and MGM-managed funds in connection with investments…
- SEC Charges Two Individuals With Orchestrating Fraud Scheme That Targeted Veterans
The Securities and Exchange Commission today announced charges against Christopher Kenji Dinelli and Jacob David “Kobe” Frankel for allegedly orchestrating a fraud scheme that raised more than $8.7 million from 35…
- CFTC Secures Court Order Directing Louisiana Man and Arkansas Woman to Pay Over $31 Million for Digital Assets, Precious Metals Fraud
- SEC Charges Multiple Entities in Fraud Schemes Totaling at Least $15 Million That Used WhatsApp and Other Platforms to Lure Investors
The Securities and Exchange Commission today charged multiple entities that are likely operated by individuals located overseas for defrauding hundreds of retail investors, including many in the U.S., through…
- SEC Charges Registered Investment Adviser Zoe Financial for Failure to Disclose Conflict of Interest
The Securities and Exchange Commission today announced settled charges against New York-based investment adviser Zoe Financial Inc. for failing to fully and fairly disclose material facts concerning conflicts of…
- CFTC Charges Cash FX Group S.A., and CEO; Three Others With $950 Million Fraud Scheme
- SEC Charges South Florida Resident and His Company for Alleged Investment Scheme Defrauding Law Enforcement
The Securities and Exchange Commission today charged CMI Capital LLC and its founder and manager, Michael D. Williams, for an alleged fraudulent investment scheme that raised approximately $860,000 from at least 18…
- SEC Censures OTC Link LLC for Repeated Compliance Failures Related to Regulation SCI
The Securities and Exchange Commission today censured New York-based broker dealer OTC Link LLC and ordered it to pay a $575,000 civil penalty for longstanding violations of Regulation Systems Compliance and…
- Eurotrade Investments RGB Ltd — Withdrawal of CIF licence
The Investment Services and Activities and Regulated Markets Law
About these notices
Every item comes from the regulator’s own website or feed and is checked several times a day. Titles are shown as the regulator published them; Invvex does not add findings. A notice is not a full list — always check the regulator’s public register before dealing with a firm.
- Capital Market Authority (UAE, formerly SCA)
- Dubai Financial Services Authority (DIFC)
- Financial Services Regulatory Authority (ADGM)
- Virtual Assets Regulatory Authority (Dubai)
- Financial Conduct Authority (UK)
- Cyprus Securities and Exchange Commission
- Australian Securities and Investments Commission
- U.S. Securities and Exchange Commission
- U.S. Commodity Futures Trading Commission
- National Futures Association (U.S.)
- European Securities and Markets Authority
- International Organization of Securities Commissions