| Paulo Daniel Campião Grade |
Financial Information Duties |
|
29/03/2012: Sentence passed by the Bench of the Petty Criminal Court of Lisbon (2nd Division/2nd Section) on 9 January 2012 that acquitted the defendant from the CMVM decision of imposing a fine |
PDF
1604 Kb |
The CMVM filed an appeal with the Court of Appeal |
|
Banco Português de Gestão, SA |
Unauthorised Financial Intermediation |
Fine:
€40,000 |
28/03/2012: Sentence passed by the Bench of the Petty Criminal Court of Lisbon (2nd Division/3rd Section) on 27 January 2012 wholly confirming the CMVM's condemnatory decision |
PDF
3709 |
The defendant filed an appeal with the Court of Appeal |
| Armando Esteves |
Information Disclosure Duties |
Fine:
€25,000 |
14/03/2012: Sentence passed by the Bench of the Petty Criminal Court of Lisbon (2nd Division/1st Section) on 5 January 2012 wholly confirming the CMVM's condemnatory decision |
PDF
1147 Kb |
The defendant filed an appeal with the Court of Appeal |
|
Citigroup Global Markets Limited |
Market Integrity, Transparency & Fairness |
|
30/12/2011: Sentence passed by the Bench of the Petty Criminal Court of Lisbon (1st Division/3rd Section) on 31 October 2011 repealing CMVM's decision by upholding the exception of breach of the ne bis in idem principle (considering that the facts had already been penalised in another legal system). |
PDF
1732 Kb |
The CMVM filed an appeal with the Court of Appeal |
|
José Pedro Xavier Pereira |
Information Disclosure Duties |
Fine:
€50,000 |
25/07/2011 - Sentence passed by the Bench of the Petty Criminal Court of Lisbon (2nd Division/2nd Section) on 7 June 2011 wholly confirming the CMVM's condemnatory decision |
PDF
1076 Kb |
The defendant filed an appeal with the Court of Appeal |
| GALP Energia, SGPS, SA |
Information Disclosure Duties |
Fine:
€60,000 |
19/07/2011 - Sentence passed by the Bench of the Petty Criminal Court of Lisbon (2nd Division/3rd Section) on 24 June 2011 partially confirming the CMVM's condemnatory decision |
PDF
4316 |
The defendant filed an appeal with the Court of Appeal |
| GALP Energia, SGPS, SA |
Information Disclosure Duties |
Fine:
€35,000 |
06/12/2011: Judgement by the Lisbon Court of Appeal (5th Section) on 25 October 2011 dismissing the appeal and upholding the condemnatory decision |
PDF
1398 Kb |
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26/05/2011 - Sentence passed by the Bench of the Petty Criminal Court of Lisbon (2nd Division/3rd Section) on 15 April 2011 partially confirming the CMVM's condemnatory decision |
PDF
4421 |
The defendant filed an appeal with the Court of Appeal |
| Construtora do Tâmega, SGPS, SA |
Information Disclosure Duties |
Fine:
€25,000 |
18/11/2011: Judgement by the Lisbon Court of Appeal on 28 September 2011 dismissing the appeal and upholding the CMVM's final decision |
PDF
1335 |
|
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23/03/2011 - Sentence passed by the Bench of the Petty Criminal Court of Lisbon (2nd Division/1st Section) on 30 November 2010 confirming the CMVM's condemnatory decision |
PDF
1278 Kb |
The defendant filed an appeal with the Court of Appeal |
| GALP Energia, SGPS, SA |
Information Disclosure Duties |
Fine:
€30,000 |
21/09/2011: Judgement by the Lisbon Court of Appeal (3rd Division) on 6th July 2011 dismissing defendant's appeal and confirming the sentence |
PDF
3478 |
|
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22/03/2011 - Sentence passed by the Bench of the Petty Criminal Court of Lisbon (2nd Division/3rd Section) on 7 January 2011, partially confirming the CMVM's condemnatory decision |
PDF
3330 Kb |
The defendant filed an appeal with the Court of Appeal |
|
Intermoney Portugal – Sociedade Financeira de Corretagem, S.A. (formerly Crédito Agrícola Dealer – Sociedade Financeira de Corretagem, SA) |
Financial Information Duties |
Fine:
€50,000 |
21/09/2011: Judgement passed by the Lisbon Court of Appeal (9th Section) dated 30th June 2011 annulling the contested sentence and referred the case back for a re-trial, due to irreconcilable contradiction based on the decision to charge for the negligent practice of illegal conduct |
PDF
1544 Kb |
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19/01/2011 - Sentence passed by the Bench of the Petty Criminal Court of Lisbon (1st Division/2nd Section), partially confirming the CMVM's condemnatory decision |
PDF
6290 Kb |
The CMVM and Public Prosecutor filed an appeal with the Court of Appeal |
| Sumol + Compal SA |
Information Disclosure Duties |
|
11/07/2011 - Judgement by the Lisbon Court of Appeal (3rd Section) on 01/06/2011, reversing acquittal and ordered a retrial |
PDF
1951 Kb |
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06/01/2011 - Sentence passed by the Bench of the Petty Criminal Court of Lisbon (1st Division/2nd Section) upholding the appeal and acquitting the defendant |
PDF
2494 |
The CMVM and Public Prosecutor filed an appeal with the Court of Appeal |
| Banco Comercial Português, SA |
Information Disclosure Duties |
Fine:
€5,000,000
(€2.500,000
partially suspended)
|
05/03/2012: Judgment by the Constitutional Court (1st Section) dated 15/02/2012 dismissing the appeal filed by the BCP and confirming the decision by the Lisbon Court of Appeal |
PDF
1471 |
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30/12/2011: Judgment by the Constitutional Court (1st Section) dated 08/07/2011 that partially upheld the complaint of the BCP, acknowledging two known constitutionality issues concerning Article 389 of the Securities Code and dismissing the others.
The appeal continues in so far as the two issues allowed, as a final decision was taken that the other issues raised by the BCP are not known. |
PDF
15325 Kb |
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08/06/2011 - Summary Decision of the Constitutional Court held that this Court can not consider the appeal filed by the defendant against the Lisbon Court of Appeal's judgement |
PDF
3360 Kb |
The defendant lodged a complaint with the Conference |
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12/05/2011 - Judgement by the Lisbon Court of Appeal (3rd Section) deemed the appeal to be unfounded and confirmed the contested sentence |
PDF
6254 Kb |
The defendant filed an appeal with the Constitutional Court |
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20/09/2010 - Sentence passed by the Petty Criminal Court of Lisbon (1st Division/1st Section), confirming the CMVM's condemnatory decision |
PDF
4444 Kb |
The defendant filed an appeal with the Court of Appeal |
|
Banco Espírito Santo de Investimento, SA |
Information Disclosure Duties |
Fine:
€31,000 |
30/07/2010 - Sentence passed by the Bench of the Petty Criminal Court of Lisbon (1st Division/2nd Section), partially confirming the CMVM's condemnatory decision |
PDF 1817Kb |
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|
Portugal Telecom, SGPS, SA |
Information Disclosure Duties |
|
04/02/2011 - Judgement passed by the Lisbon Court of Appeal (9th Section) of 09/12/2010 that decided to refer the case back for a re-trial |
PDF
1291 Kb |
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30/06/2010 - Decision passed by the Bench of the Petty Criminal Court of Lisbon (1st Division / 3rd Section) revoking the CMVM's condemnatory decision and acquitting the defendant |
PDF 510Kb |
The CMVM filed an Appeal |
|
Conserve Italia - Consorzio Italiano fra Cooperative Agricole - Società Cooperativa Agrícola (ex-Círio de Rica, S.p.A.) |
Market Integrity, Transparency & Fairness |
Fine:
€38,000
(€19,000 partially suspended)
|
01/07/2010 - Judgement by the Lisbon Court of Appeal (5th Section) partially confirming the CMVM's decision |
PDF
1380Kb |
|
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25/06/2010 - Sentence passed by the Bench of the Petty Criminal Court of Lisbon (1st Division/1st Section), partially confirming the CMVM's condemnatory decision |
PDF 1686Kb |
The defendant has filed an appeal with the Court of Appeal |
|
EDP - Energias de Portugal, SA |
Information Disclosure Duties |
|
15/03/2011 - Judgement by the Lisbon Court of Appeal (5th Section) deemed the appeal to be unfounded and confirmed the contested sentence |
PDF
4405Kb |
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06/05/2010 - Sentence passed by the Bench of the Petty Criminal Court of Lisbon (1st Division/2nd Section) upholding the appeal and acquitting the defendant |
PDF
4108Kb |
The CMVM and Public Prosecutor filed an appeal with the Court of Appeal |
|
Sport Lisboa e Benfica - Sociedade Desportiva de Futebol -SAD |
Information Disclosure Duties |
|
02/03/2011 - Judgement by the Lisbon Court of Appeal (5th Section) on 9 December 2010 that decided to refer the case back for a re-trial |
PDF
1379Kb |
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22/04/2010 - Decision passed by the Bench of the Petty Criminal Court of Lisbon (1st Division / 3rd Section) revoking the CMVM's condemnatory decision and acquitting the defendant |
PDF
1163Kb |
CMVM and the District Attorney's Office filed an appeal |
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| Banco Comercial Português, SA |
Information Disclosure Duties |
|
30/12/2011: Judgment by the Lisbon Court of Appeal (5th Section) dated 28/06/2011 partially upholding the appeals by the CMVM and the Public Prosecution, and referred the case back for a re-trial as to the administrative offenses attributed to BCP for breach of the registry duties, and confirms the decision appealed against where the BCP was acquitted practicing Administrative Infractions for breaching duties to prevent conflicts of interests and provide quality information to the supervisory entity |
PDF
4117 Kb |
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08/11/2010 - Sentence passed by the Bench of the Petty Criminal Court of Lisbon (1st Division/1st Section) dismissing the CMVM's condemnatory decision and acquitting the defendant |
PDF
4160 |
The CMVM filed an appeal with the Lisbon Court of Appeal |
|
27/01/2012 - Judgment by the Lisbon Court of Appeal (9th section) dated 15/12/2011 dismissing the appeal against the decision declaring the administrative infraction of excessive intermediation as prescribed. |
PDF1032 Kb |
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16/04/2010 - Decision passed by the Bench of the Petty Criminal Court of Lisbon (1st Division / 1st Section) wherein the prior issues and the invalidities invoked by BCP are ruled as unfounded and rendering the churning infraction as invalid |
PDF
1511Kb |
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|
Armindo Rodrigo Vieira Leite |
Information Disclosure Duties |
Fine:
€65,000 |
07/01/2009 - Sentence passed by the Bench of the Petty Criminal Court at Lisbon (1st Division/1st Section), partially confirming the CMVM's condemnatory decision
|
PDF 931Kb |
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Sporting - Sociedade Desportiva de Futebol, SAD |
Information Disclosure Duties |
|
16/09/2010 – Judgement by the Lisbon Court of Appeal (3rd Section) that considered the appeal as unfounded and confirmed the contested sentence |
PDF
2090 Kb |
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06/11/2009 - Sentence passed by the Bench of the Petty Criminal Court at Lisbon (1st Division/3rd Section) upholding the appeal and acquitting the defendant |
PDF 850Kb
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The CMVM has filed an appeal with the Court of Appeal |
|
Finanser - Sociedade Financeira de Corretagem, SA |
Unauthorised Financial Intermediation and Financial Intermediary's Duties
|
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05/06/2009 - Sentence passed by the Bench of the Petty Criminal Court at Lisbon (2nd Division/1st Section), dismissing the case |
PDF 372Kb
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António José da Silva Veiga |
Qualifying Holdings |
Fine:
€26,000
(wholly suspended) |
05/05/2010 – Judgement by the Lisbon Court of Appeal (9th Section) partially confirming the CMVM's decision
|
PDF
1381Kb
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22/04/2009 - Sentence passed by the Bench of the Petty Criminal Court at Lisbon (1st Division/3rd Section), partially confirming the CMVM's decision
|
PDF 1033Kb |
The defendant has filed an appeal with the Court of Appeal |
|
Miguel Maria de Sá Pais do Amaral |
Information Disclosure Duties |
Fine:
€75,000
(€50,000 partially suspended) |
16/03/2011 – Judgement by the Constitutional Court on 16/02/2011 confirming the previous summary decision, whereby it can not consider the appeal filed by the defendant against the Judgement of the Lisbon Court of Appeal |
PDF
378 |
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16/09/2010 – Summary decision of the Constitutional Court held that it can not consider the appeal filed by the defendant against the Judgement of the Lisbon Court of Appeal |
PDF
2555 Kb |
The defendant lodged an objection |
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26/01/2010 – Judgement by the Lisbon Court of Appeal (3rd Section) upholding the CMVM's appeal and confirming the defendant's conviction |
PDF 4382Kb |
Yes |
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06/03/2009 - Sentence passed by the Bench of the Petty Criminal Court at Lisbon (1st Division/1st Section), upholding the appeal and acquitting the defendant
|
PDF 964Kb |
The CMVM and the defendant have filed an appeal with the Court of Appeal |
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|
BPN Imofundos - SGFII, SA |
Market Integrity, Transparency & Fairness
and
Supervision of Collective Investment Schemes
|
Fine:
€30,000 |
02/02/2009 - Sentence passed by the Bench of the Petty Criminal Court at Lisbon (2nd Division/2nd Section), partially confirming the CMVM's condemnatory decision |
pp.1 - 20 8177Kb
pp. 21 - 36 6278Kb |
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Inapa - Investimentos, Participações e Gestão, SA
|
Disclosure Information Duties |
Fine:
€200,000 |
14/08/2009 - Summary Decision by the Constitutional Court (3rd Section) denying the motion by the Lisbon Court of Appeal (05/05/2009) on the grounds of untimeliness
|
PDF 118Kb |
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21/11/2008 - Sentence passed by the Bench of the Petty Criminal Court at Lisbon (1st Division/3rd Section), dismissing the appeal and confirming the CMVM's condemnatory decision |
PDF
8082Kb
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Inapa has filed an appeal with the Court of Appeal |
|
Pararede, SGPS, SA |
Disclosure Information Duties |
Fine:
€100,000 |
15/02/2010 - Judgement passed by the Lisbon Court of Appeal dismissing the invalidity raised by the defendant Pararede |
PDF
415Kb |
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15/02/2010 - Judgement passed by the Lisbon Court of Appeal revoking the decision passed by the Petty Criminal Court and upholding the CMVM's decision |
PDF
999Kb |
Pararede has filed an appeal |
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21/11/2008 - Sentence passed by the Bench of the Petty Criminal Court at Lisbon (2nd Division/3rd Section), upholding the appeal and acquitting the defendant |
PDF 7096Kb |
The CMVM has filed an appeal with the Court of Appeal |
|
LJ Carregosa - Sociedade Financeira de Corretagem, SA
|
Unauthorised Financial Intermediation and Financial Intermediary's Duties
|
Fine:
€50,000 |
14/08/2009 - Order by the Lisbon Court of Appeal granting the defendant's motion for withdrawal of the appeal |
PDF 1074Kb |
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08/04/2009 - Sentence passed by the Bench of the Petty Criminal Court at Lisbon (1st Division/2nd Section), that found the defendant guilty of breaching the duty of asset segregation
|
PDF 1392Kb |
The defendant has filed an appeal with the Court of Appeal |
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04/12/2008 - Judgement by the Lisbon Court of Appeal (9th Section) revoking the Judgement passed by the District Court and determining the hearing in question
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PDF
3585Kb |
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21/01/2008 - Sentence passed by the Bench of the Petty Criminal Court at Lisbon (1st Division/2nd Section), rendering the CMVM's condemnatory decision invalid due to issues related to the burden of proof thus disfavouring the merit review appeal
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PDF
927Kb |
The CMVM has filed an appeal with the Court of Appeal
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|
PT Multimedia - Serviços de Telecomunicações e Multimédia, SGPS, SA |
Information Disclosure Duties |
Fine:
€200,000 |
20/12/2007 - Judgement by the Lisbon Court of Appeal denies granting the appeal and confirms the sentence in the conviction against the defendant concerning the payment of a €200,000.00 fine |
PDF
3175Kb |
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24/07/2007 - Sentence passed by the Bench of the Magistrates Criminal Court in Lisbon (2nd Division/2nd Section), in the administrative infraction proceeding, which confirmed the CMVM's decision rendered in the Administrative Infraction Proceeding No. 18/2005, of imposing on the defendant a fine in an amount of € 200,000.00 for the breach of Article 7 Securities Code (CdVM). Disclosure of the verbatim judicial decision, pursuant to Article 422/1 & /2 CdVM. The current decision did not become res judicata |
pp. 1-26 3941Kb
pp. 27-38 1938Kb
pp. 39-53 2434Kb
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Yes |
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Lisbon Brokers - Sociedade Corretora, SA
|
Financial Intermediary Duties
|
Fine:
€50,000 |
10/02/2011 - An appeal to the Court of Appeal was cancelled due to withdrawal by the defendant |
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04/11/2010 - Sentence passed by the Bench of the Magistrates Criminal Court in Lisbon (2nd Division/2nd Section),on 15th October 2010 in the administrative infraction proceeding, which confirmed the CMVM's decision concerning seven of the nine administrative infractions (the procedure for the other two were declared to be prescribed) and upheld the EUR 50,000 fine imposed by the CMVM |
PDF
3989 Kb |
Lisbon Brokers filed an appeal with the Appeal Court |
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07/01/2009 - Order of the Judge of the Constitutional Court considers that the proceedings had lapsed due to appellants's waiver |
PDF
221Kb |
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26/11/2009 - Judgement by the Lisbon Court of Appeal (3rd Section) which dismissed the invalidity raised by the defendant |
PDF
387Kb |
Lisbon Brokers appealed to the Constitutional Court |
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26/11/2009 - Judgement by the Lisbon Court of Appeal (3rd Section) which upheld the appeals of the CMVM and the Public Prosecutor and revoked the decision of the Magistrates Court, which should be replaced by another that proceeds to judgement, considering all the evidence gathered in the administrative infraction process as valid |
PDF 1978Kb |
The Lisbon Brokers argued the invalidity of this ruling
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03/12/2008 - Sentence passed by the Bench of the Magistrates Criminal Court in Lisbon (2nd Division/2nd Section), upholding the appeal and determining the reformulation of the CMVM's decision |
PDF 4621Kb |
CMVM and the District Attorney's Office filed an appeal |
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09/10/2007 - Petty Criminal Court - Timely acceptance of the application for appeal and the scheduling of the hearing.
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PDF
25Kb |
No |