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FINRA disciplinary action update 2025/41
Disciplinary decisions issued November 1 – 7, 2025.
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FCA naming and shaming gets real
Challenge by firm to seek judicial review of FCA decision fails but case provides an insight into FCA decision-making and the approach to investigation announcements.
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Avida Finans sanctioned and given reprimand for insufficient credit checks
The loan firm granted customers loans on more than 30 occasions which should not have been approved.
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BitQueen’s £5.5 billion fraud busted and Qian jailed after cross-border efforts
Metropolitan Police secure successful conviction after seven-year investigation with CPS, NCA and international cooperation.
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Lack of secure archive and other failings lead to fine for investment adviser in France
Carat GP and its two directors have incurred a fine of €2.5m. The firm and one of its directors have also been barred by the AMF.
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ASIC roundup: Concern after SMSF advice review, HESTA pays infringement notices
The Australian Securities and Investments Commission’s latest actions and news, November 3 – 7, 2025.
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Texas sues Johnson & Johnson, Kenvue, alleges deceptive Tylenol marketing
The suit hinges on violations of Texas law and could have broader ramifications for pharmaceuticals.
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JPMorgan Chase fined record €45m by German regulator for AML failures
Wall Street’s largest bank has been accused of delays in SAR submissions in relation to anti-money-laundering and terrorist financing obligations.