A Brazilian sugar company and its Swiss trading subsidiary settled CFTC charges for wash sales violations and "executing noncompetitive trades."

A firm settled SEC charges for operating as an unregistered securities dealer in the acquisition and sale of billions of shares of convertible notes from at least 23 issuers.

A federal District Court dismissed a lawsuit by paid subscribers against a financial news website; the subscribers had alleged that the website acted illegally as an unregistered investment adviser.

A firm settled FINRA charges for "inaccurately report[ing] transactions in TRACE-Eligible Securities without the required 'No Remuneration' indicator."

A controlling shareholder and his publicly traded company settled SEC charges for failing to disclose material information concerning pledges of company securities that were used as collateral "to secure personal margin loans."