Enforcement actions and fines
Fines, bans, licence withdrawals and court actions announced by regulators.
93 notices · Latest notice: 6 Nov 2026
- CFTC Secures Court Order Directing Florida Man to Pay Over $6 Million for Options Fraud and Imposing Trading Bans
- CFTC Grants Multiple Whistleblower Awards Totaling Over $150 Million
- CFTC Secures Court Orders Directing Texas and Florida Residents to Pay Over $500,000 in Disgorgement and Civil Monetary Penalties and Imposing Trading Bans for Commodity Pool Fraud
- CFTC Resolves Action Against Swaps Trader for Making False Statements
- CFTC Orders Gabriel Perez to Pay $172,000 for Insider Trading of Mention Market Event Contracts
- R.I.A.L Raising Investment Advisory Ltd — Withdrawal of CIF authorisation
The Investment Services and Activities and Regulated Markets Law
- Eurotrade Investment RGB Ltd — Fine €100
The Cyprus Securities and Exchange Commission Law
- I.W.G International Wealth Group Ltd — Fine €100
The Cyprus Securities and Exchange Commission Law
- Eurotrade Investment RGB Ltd — Fine €100
The Cyprus Securities and Exchange Commission Law
- Robomarkets Ltd — Settlement €100.000
Τhe Investment Services and Activities and Regulated Markets Law, Regulation (EU) No 600/2014
- CFTC Resolves Actions Against Former Alameda CEO, and Alameda and FTX Co-Founder
- FINYX (CYPRUS) INVESTMENTS LTD — Withdrawal of AIFM authorization
The Alternative Investment Fund Managers Law
- CPI Holdings Public Limited — Total fine €1.500
The Transparency Requirements (Securities Admitted to Trading on a Regulated Market) Law
- Karyes Investment Public Company Ltd — Total fine €16.500
The Transparency Requirements (Securities Admitted to Trading on a Regulated Market) Law
- Agroton Public Ltd — Total fine €8.500
The Transparency Requirements (Securities Admitted to Trading on a Regulated Market) Law
- Cyprus Trading Corporation PLC — Total fine €9.500
The Transparency Requirements (Securities Admitted to Trading on a Regulated Market) Law
- Ermes Department Stores PLC — Total fine €7.000
The Transparency Requirements (Securities Admitted to Trading on a Regulated Market) Law
- 07.08.2026 Dome Investments Public Company Limited — Total fine €16.500
The Transparency Requirements (Securities Admitted to Trading on a Regulated Market) Law
- Woolworth (Cyprus) Properties PLC — Total fine €6.500
The Transparency Requirements (Securities Admitted to Trading on a Regulated Market) Law
- Toxotis Investments Public Limited — Total fine €17.000
The Transparency Requirements (Securities Admitted to Trading on a Regulated Market) Law
- A. Tsokkos Hotels Public Limited — Total fine €16.500
The Transparency Requirements (Securities Admitted to Trading on a Regulated Market) Law
- MLK Foods Public Company Ltd — Total fine €8.500
The Transparency Requirements (Securities Admitted to Trading on a Regulated Market) Law
- KDM Shipping Public Limited — Total fine €17.000
The Transparency Requirements (Securities Admitted to Trading on a Regulated Market) Law
- Unifast Finance & Investments Public Company Limited — Total fine €1.500
The Transparency Requirements (Securities Admitted to Trading on a Regulated Market) Law
- VARA Notice of Fines – Shelbit General Trading L.L.C
The Virtual Assets Regulatory Authority (“VARA”) is issuing this Notice of Fines in respect of enforcement action taken against Shelbit General Trading L.L.C, commercially operating as Shelbit or Shelbit Exchange…
- NFA orders New York-based firm Hardee Brothers LLC and its principal to withdraw from and not reapply for NFA membership
July 22, Chicago—NFA has ordered Hardee Brothers LLC, an NFA Member commodity pool operator and commodity trading advisor in New York, N.Y., to withdraw from and not reapply for NFA membership or principal status…
- VARA Notice of Fines – Peken Global Limited (“Kucoin”)
The Virtual Assets Regulatory Authority (“VARA”) is issuing this Notice of Fines in relation to VARA’s earlier Investor and Marketplace Alert of 5 March 2026, concerning Peken Global Limited, commercially operating…
- VARA Notice of Fines – MX Global LTD (“MEXC”)
The Virtual Assets Regulatory Authority (“VARA”) is issuing this Notice of Fines in relation to enforcement actions taken against MX Global LTD, commercially operating as MEXC (the “Entity”). It follows VARA’s…
- VARA Notice of Fines – CoinMENA FZE
The Virtual Assets Regulatory Authority (“VARA”) is issuing this Notice of Fines regarding ongoing supervisory controls, and enforcement actions taken against CoinMENA FZE (Ref: VL/23/09/001) (“CoinMENA”).
- VARA Investor and Marketplace Alert - VESTA PRIME PORTAL CO. L.L.C
The Virtual Assets Regulatory Authority (VARA) issues this alert in relation to the company VESTA PRIME PORTAL CO. L.L.C (commercially advertising as “Vesta Investments”), a company using the domain name…
- VARA Steps Up Enforcement to Safeguard Dubai’s Virtual Asset Market 19 Unlicensed Firms Penalised and Public Warning Issued
Dubai, UAE – The Dubai Virtual Assets Regulatory Authority (VARA) has strengthened its enforcement programme to protect the integrity of Dubai’s Virtual Asset ecosystem, taking action against entities found to be…
- VARA Notice of Fines – Morpheus Software Technology FZE
The Virtual Assets Regulatory Authority (“VARA”) is issuing this Notice of Fines regarding ongoing supervisory controls, and enforcement actions taken against Morpheus Software Technology FZE (Ref: VL/23/10/002)…
- In a decisive move to enhance market integrity and protect investors, the SCA refers a licensed company to the Public Prosecution and imposed a fine of AED 5 million for misleading clients
The Securities and Commodities Authority (SCA) has imposed a record fine of AED 5 million on a licensed company and referred the matter to the Public Prosecution, in a decisive move to safeguard market integrity and…
- Referral of Board Members of an Unlisted Public Joint Stock Company to the Public Prosecution
In line with its supervisory mandate and ongoing efforts to support the national economy, ensure the integrity of financial transactions, and safeguard the rights of UAE-based investors, the Securities and…
- VARA Consumer and Marketplace Alert – Misrepresentation of Participation in the DLD Real Estate Tokenisation Project
The Dubai Virtual Assets Regulatory Authority (VARA), in coordination with the Dubai Land Department (DLD), issues this alert in relation to entities falsely claiming or otherwise purporting to participate in the…
- Securities and Commodities Authority Successfully Recovers AED 4.1 Million for Investors through Amicable Settlements in 2024
In line with its pivotal role in enhancing transparency and protecting investor rights, the Securities and Commodities Authority (SCA), through amicable settlements, successfully recovered AED 4.1 million in favor of…
- The SCA Imposes AED 1.15 Million Fines on Non-Compliant Companies to Enhance Financial Market Integrity
The Securities and Commodities Authority (SCA) has taken stringent measures against several companies for violating regulations and non-compliance with anti-money laundering and counter-terrorism financing (AML/CFT)…
- VARA Continues to Strengthen Enforcement Programme, Issues Fines and Public Warnings Against Engaging with Unlicensed Virtual Asset Firms
- Update: VARA Investor and Marketplace Alert - Bored Gen DMCC
Further to the Virtual Assets Regulatory Authority (VARA) notice dated 4 October 2023 in relation to the enforcement action and ongoing investigation regarding the issuance, marketing and distribution of Islamic Coin…
- VARA Investor and Marketplace Alert - Bored Gen DMCC
The Virtual Assets Regulatory Authority (VARA) is issuing this Alert to draw the immediate attention of all investors and market participants regarding the unauthorised Issuance, Marketing and Retail Distribution of…
- VARA Notice of Fines – OPNX Exchange
- VARA Notice of Written Reprimand – OPNX Exchange [opnx.com]
Following the Investor and Marketplace Alert dated 12 April 2023 in relation to opnx.com [OPNX] conducting unregulated activity, Dubai’s Virtual Assets Regulatory Authority [VARA] has issued a formal Letter of…
- FTX Exchange FZE – VARA Revocation of Approval and Suspension of MVP Licence
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